Construction Manual

Job 0177
Job 0177
Job 0177
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
Construction Manual (MCT 14-6)
Issued by
Division of Construction
EDMUND G. BROWN, JR.

Governor
MALCOLM DOUGHERTY
Director, Department of Transportation
NORMA ORTEGA
Acting Chief Deputy Director
KARLA SUTLIFF MARK LEJA

Chief Engineer Chief, Division of Construction
JOHN STAYTON ANGELA SHELL

Assistant Division Chief, Construction Chief, Office of Construction Support
CONSTRUCTION PUBLICATIONS MOHAN BONALA

Editing Team Technical Support
Copyright 2014 California Department of Transportation
All Rights Reserved. (No part of this manual may be reproduced in any form or by any electronic or
mechanical means including information storage and retrieval systems without the permission in
writing from the California Department of Transportation).
Visit our website to download an electronic copy of this manual:

http://www.dot.ca.gov/hq/construc/constmanual/
Table Of Contents
S T A T E O F C A L I F O R N I A D E P A R T M E N T OF T R A N S P O R T A T I O N
CONSTRUCTION MANUAL
TABLE OF CONTENTS
Chapter-Section
1 Caltrans Construction Organization
1-0 Construction Manual Overview

1-1 Construction Organization
1-2 Public Relations
1-3 Personnel Development
1-4 Facilities and Equipment
1-5 Field Expenses and Purchases
2 Safety and Traffic
2-1 Safety
2-2 Traffic
2-3 Major Construction Incidents
3 General Provisions
3-0 Introduction
3-1 General
3-2 Bidding
3-3 Contract Award and Execution
3-4 Scope of Work
3-5 Control of Work
3-6 Control of Materials
3-7 Legal Relations and Responsibility to the Public
3-8 Prosecution and Progress
3-9 Payment
4 Construction Details
4-00 Introduction
4-10 Dust Control
4-11 Quality Control and Assurance
4-12 Temporary Traffic Control
4-15 Existing Facilities
California Department of Transportation Construction Manual September 2014

Table of Contents TOC.1
CONSTRUCTION MANUAL
TABLE OF CONTENTS
Chapter-Section
4-16 Clearing and Grubbing

4-17 Watering
4-18 Dust Palliative
4-19 Earthwork
4-20 Landscape
4-21 Erosion Control
4-22 Finishing Roadway
4-24 Stabilized Soils
4-25 Aggregate Subbases
4-26 Aggregate Bases
4-27 Cement Treated Base
4-28 Lean Concrete Base
4-29 Treated Permeable Bases
4-37 Bituminous Seals
4-39 Asphalt Concrete
4-40 Concrete Pavement
4-41 Concrete Pavement Repair
4-42 Groove and Grind Pavement
4-46 Ground Anchors and Soil Nails
4-47 Earth Retaining Systems
4-48 Temporary Structures
4-49 Piling
4-50 Prestressing Concrete
4-51 Concrete Structures
4-52 Reinforcement
4-53 Shotcrete
4-54 Water Proofing
4-55 Steel Structures
4-56 Signs
4-57 Wood and Plastic Lumber Structures
4-58 Preservative Treatment of Lumber, Timber, and Piling
4-59 Painting

TOC.2 Table of Contents
CONSTRUCTION MANUAL
TABLE OF CONTENTS
Chapter-Section
4-61 Culvert and Drainage Pipe Joints

4-62 Alternative Culverts
4-64 Plastic Pipe
4-65 Concrete Pipe
4-66 Corrugated Metal Pipe
4-67 Structural Metal Plate Pipe
4-68 Subsurface Drains
4-69 Overside Drains
4-70 Miscellaneous Drainage Facilities
4-72 Slope Protection
4-73 Concrete Curbs and Sidewalks
4-74 Pumping Equipment and Controls
4-75 Miscellaneous Metal
4-80 Fences
4-81 Monuments
4-82 Markers and Delineators
4-83 Railings and Barriers
4-84 Traffic Stripes and Pavement Markings
4-85 Pavement Markers
4-86 Electrical Systems
4-88 Geosynthetics
4-90 Concrete
4-91 Paint
4-92 Asphalts
4-93 Liquid Asphalts
4-94 Asphaltic Emulsions
4-95 Epoxy
5 Contract Administration
5-0 Conduct of the Work

5-1 Project Records and Reports
5-2 Funds

Table of Contents TOC.3
CONSTRUCTION MANUAL
TABLE OF CONTENTS
Chapter-Section
5-3 Change Orders

5-4 Disputes
5-5 Emergency Contract Administration
6 Sampling and Testing
6-1 Sample Types and Frequencies

6-2 Acceptance of Manufactured or Fabricated Material and Products
6-3 Field Tests
7 Environmental Stewardship
7-1 Environmental Rules and Requirements
8 Employment Practices
8-1 Labor Compliance

8-2 Equal Employment Opportunity
8-3 Disadvantaged Business
9 Projects Funded by Others
9-1 Construction Contract Administration for Projects Funded by Others

9-2 Projects Administered by a Local Agency on the State Highway System
INDEX

TOC.4 Table of Contents
Chapter 1- Caltrans
Construction Organization
Chapter 1 Caltrans Construction Organization
Bracketed section numbers refer to the 2006 Standard Specifications. Section 0
Construction
Section 0 Construction Manual Overview
Manual
Overview
1-001 Purpose 1-001
When applying Caltrans policy to the administration of construction contracts, Purpose
knowing how to not only interpret contract documents and plans but also how to apply
engineering experience and judgment is extremely important. The Construction
Manual cannot replace this valuable experience and judgment.
Caltrans intends this manual as a resource for all personnel engaged in contract
administration. The manual establishes policies and procedures for the construction
phase of Caltrans projects. However, this manual is not a contract document. It
imposes no obligations or requirements on contractors. Resident engineers and other
Caltrans personnel who administer Caltrans contracts must never attempt to use the
manual as a substitute or supplement to the specifications and other contract
requirements.
1-002 Scope 1-002
This manual covers topics in two general areas: Scope
1. Policies and procedures related to the duties of Caltrans construction personnel.
This topic includes internal policies and procedures for the following areas:
Safety
Training
Acquiring and using resources
Public relations
Coordinating with other Caltrans units and outside agencies and organizations
2. Construction contract administration. This topic includes the following areas:
Making timely and accurate contract payments
Ensuring and documenting the contractors compliance with contract
requirements
The manual uses the Standard Specifications and some of the more frequently used
special provisions as the basis for contract administration instructions and guidelines.
Before attempting to apply these instructions and guidelines, the engineer working in
the field must have a thorough understanding of the specifications and other contract
requirements.
The manual contains many references to other publications and documents, including
other Caltrans manuals and publications. However, we have made a concerted effort to
minimize any repetition of information found in other publications.

Construction Manual Overview 1-0.1
1-003 1-003 Format
Format The manual has been carefully organized to reflect, as much as possible, the general
organization of the Standard Specifications. Chapters are organized to logically lead
the user through the general process of contract administration. For quick reference, an
outline of many sections is included at the beginning of those sections, and the major
headings are shown in the outside margin of each page.
1-004 1-004 Changes

Changes The Division of Construction issues Construction Policy Bulletins (CPBs) to change
policies and procedures. CPBs supersede any conflicting information, guideline, or
instruction in the manual.
Be alert for new or revised specifications that may affect the current manual guidelines
for contract administration. As specifications, practices, procedures, and policies
change, CPBs will be issued. From time to time, subsequent revisions will be made to
the manual.
If you find that a policy contained in this manual is unclear or has been superseded and
no CPB has been issued covering the changed policy, you can use the following
procedure to recommend a manual change:
Complete Form CEM-9001, Construction Manual Proposed Change, and send it
to [email protected]. Explain the reason for the proposed
change, and attach a draft of the proposed revision.
The Division of Construction will review the proposed change and make a
decision regarding any future revision.

1-0.2 Construction Manual Overview
Section 1 Construction Organization

1-101 General
1-102 Division of Construction Organization
1-102A Division of Construction Chief
1-102B Office Chiefs and Staff
1-102C Construction Field Coordinator
1-103 District Construction Organization
1-103A District Director
1-103B District Construction Deputy Director
1-103C Construction Manager
1-103D Construction Engineer
1-104 Office of Structure Construction Organization
1-104A Office of Structure Construction Chief
1-104B Structure Construction Manager
1-104C Structure Construction Engineer
1-105 Construction Project Organization
1-105A Using Personnel From the Office of Structure Construction
1-105B Resident Engineer
1-105C Structure Representative
1-105D Assistant Resident Engineer
1-105E Field Office Engineer
1-105F Specialists and Coordinators
1-106 Local Projects

Construction Organization 1-1.i
Bracketed section numbers refer to the 2006 Standard Specifications.
Section 1
Section 1 Construction Organization Construction
Organization
1-101 General 1-101
According to the California Government Code, the powers and duties of Caltrans General
include constructing transportation systems.
The Streets and Highways Code directs Caltrans to lay out and construct all state
highways between the termini designated by law and on the locations determined by
the California Transportation Commission. This code also authorizes Caltrans to enter
into those contracts that are required for Caltrans to perform its duties.
The Caltrans director has delegated to the deputy director of Project Delivery various
responsibilities for administering construction contracts. In turn, the deputy director of
Project Delivery has delegated many of these responsibilities to the Division of
Construction chief.
The majority of Caltrans construction contracts receive federal aid. Consequently,
federal regulations take precedence over state law and Caltrans policy.
1-102 Division of Construction Organization 1-102
The following are the responsibilities of various personnel in the Division of Division of
Construction. Construction
Organization
1-102A Division of Construction Chief
The Division of Construction chief leads the program to deliver quality transportation
products and services. The Division of Construction chief does the following:
Establishes the divisions direction, definition, policies, and objectives.
Develops and uses performance measures to determine program efficiency and
effectiveness.
Acts as a consultant to the districts and service centers.
1-102B Office Chiefs and Staff
Within the Division of Construction, office chiefs and their staff assist in the following:
Developing and improving program performance measures.
Providing reviews to document the understanding and application of processes for
administering contracts.
Providing expert assistance on complex and sensitive contract administration
issues.
Office chiefs and their staff collaborate with the construction industry and other
stakeholders to improve the administration of construction contracts.

Construction Organization 1-1.1
1-102C Construction Field Coordinator
Construction field coordinators are responsible for the following:
Counseling assigned districts on Division of Construction policy.
Validating that district construction contracts are administered fairly and in good
faith.
Advising district construction managers on complex and sensitive issues in
construction contracts.
1-103 1-103 District Construction Organization

District Construction A district must manage all construction contracts in accordance with statutory
Organization requirements, Caltrans directives, and Division of Construction policies.
The following include the responsibilities of various district personnel for
administering construction contracts:
1-103A District Director
Within district boundaries, the district director must efficiently administer and operate
the Caltrans construction activities within the district.
1-103B District Construction Deputy Director
The district construction deputy director must execute the Caltrans construction
activities within district boundaries. The duties of the position include the following:
Planning and directing the activities of the district construction division.
Budgeting for personnel and other resources as necessary to administer contracts
and provide for the works integrity and safety.
Obtaining and providing training for all activities related to contract administration
and construction engineering.
Ensuring district construction complies with statutory requirements, Caltrans
directives, and Division of Construction objectives.
Coordinating construction activities with other district functions.
Recommending to the Division of Construction chief revisions to the policies and
procedures outlined in this manual.
1-103C Construction Manager
In districts with large construction programs, the construction manager must execute
within district boundaries the assigned portion of Caltrans construction activities. The
duties of the position include the following:
Budgeting for personnel and other resources necessary to administer contracts.
Obtaining and providing training for all activities related to contract administration
and construction engineering.
Coordinating construction activities with other district functions.

1-1.2 Construction Organization
1-103D Construction Engineer
The construction engineer must execute the portion of Caltrans construction activities
assigned and is accountable for the performance of the assigned construction
employees. The duties of the position include the following:
Supervising assigned personnel.
Ensuring adequate training for those assigned personnel who are or may be
assigned as resident engineers, encouraging diligent pursuit of their Caltrans
Resident Engineer Certificate.
Ensuring that materials and completed work comply with plans, specifications, and
design criteria.
Approving or not approving a resident engineers recommendation for change
orders and time extensions.
Ensuring that the maintenance of project records complies with this manual.
Ensuring the performance of all safety-related activities.
Ensuring compliance with regulations and specifications related to labor and civil
rights.
Collaborating with the districts project development unit on constructability
reviews and providing expert assistance on construction matters for design and
traffic engineers.
Ensuring that the practice of civil engineering on assigned contracts complies with
the Professional Engineers Act.
1-104 Office of Structure Construction Organization 1-104
The Office of Structure Construction is responsible for the technical control of structure Office of Structure
work. Engineers from the Office of Structure Construction are assigned to all districts Construction
to provide field engineering for structures. The district may request that the assigned Organization
structure representative act as the resident engineer on projects where structure work
predominates.
The Office of Structure Construction has the ultimate responsibility and authority for
decisions relating to the structural adequacy of contract work on structures.
1-104A Office of Structure Construction Chief
For construction contracts, the Office of Structure Construction chief must uniformly
provide statewide structure construction services to the districts. The duties of the
position include the following:
Planning and directing the statewide activities of the Office of Structure
Construction.
Budgeting for structure construction personnel and other resources, as necessary,
to administer contracts.
Obtaining and providing training for all engineering activities for structure
construction.
Ensuring that statewide structure construction complies with regulations, Caltrans
policies, and program objectives.

Coordinating the statewide activities of structure construction with all district
functions and with other Division of Engineering Services functions.
Recommending to the Division of Construction chief revisions to the Division of
Constructions policies and objectives.
Producing and distributing policies and procedures for inspecting and
administering structure construction work.
1-104B Structure Construction Manager
The structure construction manager is responsible for the structure construction staff
within a designated area of the state. The area may include one or more districts or a
portion of a metropolitan area or district. The duties of the position include the
following:
Assigning structure construction staff within the managers assigned area,
including approving requests to assign structure engineers to act as resident
engineers on projects.
Obtaining and providing adequate training for all structure construction staff
within a designated area.
Advising and assisting the district about change orders and claims involving
structure work.
Providing the structure construction headquarters in Sacramento with status
information on all contracts within the managers area.
Informing the district managers of structure construction activities within their
areas.
1-104C Structure Construction Engineer
The structure construction engineer must execute the structure portion of construction
projects and is accountable for the performance of assigned structure construction
employees. The duties of the position include the following:
Supervising the activities of structure construction personnel.
Ensuring adequate training for assigned structure construction personnel.
Collaborating with the Division of Engineering Services and the districts design
unit on constructability reviews, and providing expert assistance on structure
construction methods.
Ensuring structure materials and completed structure work generally comply with
the contract plans, specifications, and design policies.
Providing concurrence and advice to the district for change orders and time
extensions on structure work items.
Ensuring and verifying that the maintenance of project records complies with this
manual.
Ensuring the performance of all safety-related activities.
Ensuring that the practice of civil engineering on contracts in the assigned area
complies with the Professional Engineers Act.

1-105 Construction Project Organization 1-105
The number of state personnel required on a contract varies with the particular Construction Project
circumstances involved. A resident engineer may be assigned to a single contract or Organization
may be assigned as resident engineer over several contracts. Field office assistants,
assistant resident engineers, and other support personnel are assigned as necessary.
The district must obtain maximum efficiency on the project with a minimum number
of personnel. This expectation means that all personnel must have adequate training.
Depending on the project size, a full-time office assistant may be assigned for the
clerical work.
In some instances, several smaller projects may be grouped together and administered
from a single field office, making it possible to employ full-time clerical office
assistants.
Personnel furnished by engineering consultants may be assigned to the project as
assistant resident engineers. The resident engineer must be familiar with the terms of
the engineering consultant contract. The resident engineer must also monitor the
performance of the consultant personnel.
1-105A Using Personnel From the Office of Structure Construction
When structure work predominates, the districts may use structure construction
personnel as resident engineers. Upon district request, the Office of Structure
Construction will select staff acceptable to the district as resident engineers.
All resident engineers, whether from the Office of Structure Construction or district
personnel, report and act through the district.
To ensure optimum use of combined district and structure construction personnel, the
project personnel may be interchanged freely when conditions require, particularly
when work load varies because of temporary overstaffing or understaffing. In such
instances, the resident engineer and the structure representative will assign personnel
through agreement with each other. In making their assignments, they will consider the
responsibility of structure personnel for the technical control of structure work.
Because of the specialized training of structure and transportation personnel, prolonged
use of either in the work of the other must be avoided.
Under the general direction of a construction engineer, the resident engineer is
responsible for the contract administration and construction engineering of all assigned
projects. As a Caltrans representative, the resident engineer acts within the authority of
the following:
The State Contract Act
Section 5-1.03 [5-1.01], Engineers Authority, of the Standard Specifications
This manual
Any other applicable administrative instructions
The construction engineer is the resident engineers counselor on the intent and
application of any portion of the contract. On complex or sensitive construction issues,
the resident engineer and construction engineer should consult with the construction
field coordinator.

A registered professional engineer must be responsible for the engineering integrity of
a construction project. The resident engineer, in charge of the project, bears this
responsibility, and must be a licensed professional engineer in the State of California,
as defined by the Professional Engineers Act.
Selecting a person to act as resident engineer is dependent upon the following:
The works magnitude and complexity
The type of work
The degree of independent control and direction to be exercised
Pursuit or completion of the Caltrans Resident Engineer Certificate Program
Only the person best qualified for a specific project should be selected as the resident
engineer.
The civil service classification of a resident engineer is related to the projects size and
complexity as well as to the staff size required to properly administer the assigned
contract or contracts. Normally, the person selected as resident engineer will be a
registered professional engineer at the transportation engineer level. On complex
projects (or a group of projects) that require a large staff to monitor the contractors
operations, a senior level engineer may be necessary. Complexity, rather than monetary
value, governs the assignment of resident engineers.
The resident engineer must thoroughly study the assigned project, becoming familiar
with all its facets. The resident engineer must analyze the plans, estimate, and
preliminary quantity calculations, and determine if the estimated quantities cover all
work items contemplated. If the resident engineer discovers any major discrepancies,
the engineer must take appropriate action. The resident engineer must also thoroughly
study the requirements of environmental commitments and permits, including pollution
and erosion control plans.
If it becomes apparent at any time that the probable unobligated balance of funds, with
due regard for the amount of work remaining, is not sufficient to complete the project,
the resident engineer must bring the situation to the supervisors attention. To permit
contract expenditures to overrun allotted funds seriously reflects on the resident
engineers ability. For the procedure to obtain additional funds, refer to Section 5-203,
Obtaining Additional Funds, of this manual.
Once assigned, the resident engineer should remain on the project until its completion,
including the completion of all project documents and administrative matters.
1-105C Structure Representative
Under the general direction of a structure construction engineer, the structure
representative must inspect, document, and field test materials for all structure work on
a project. As a service to the resident engineer, the structure representative will also
provide claim positions and draft change orders. As a representative of the Division of
Engineering Services, the structure representative acts within the authority of the
following:
The State Contract Act
The Standard Specifications
This manual

The Bridge Construction Records and Procedures manual
Other applicable administrative instructions
Under the general direction of a construction engineer and a structure construction
engineer, the structure representative must administer all assigned contracts. When
acting as a resident engineer, the structure representative has authority commensurate
with this responsibility.
The structure representative acting as resident engineer should consult the construction
engineer whenever the structure representative is unsure about the intent and
application of any portion of the contract.
The person responsible for the structural integrity of a construction contract must be a
registered professional engineer. If the structure representative is not registered, that
person must defer to the structure construction engineer any decisions and actions that
constitute the practice of civil engineering, as defined by the Professional Engineers
Act.
1-105D Assistant Resident Engineer
The assistant resident engineer must ensure the performance of assigned work
complies with the requirements of the plans, Standard Specifications, and special
provisions. The duties of the position include the following:
Ensuring the contractor complies with all contract requirements.
Performing, or calling for, required tests to ensure work quality.
Keeping complete, accurate, and concise records of the work and quantities.
Keeping the resident engineer informed of work progress and problems.
Responding to any contractor questions about plans and specifications. The
assistant resident engineer must not direct the contractors work but must
immediately notify the contractor when work is not in compliance.
As a representative of Caltrans, acting professionally at all times.
Working effectively by knowing construction methods and inspection techniques.
1-105E Field Office Engineer
The field office engineer must maintain complete and accurate project records. These
records may include the following:
Monthly progress pay estimates
Extra work reports
Change orders
Labor and equipment records
Correspondence
Personnel records
Once assigned, the field office engineer should remain on the project until its
completion.

1-105F Specialists and Coordinators
The complexity of many Caltrans projects has resulted in the use of many district
specialists and coordinators. These include the following:
Materials and plant specialists
Weights and measures coordinators
Survey coordinators
Labor compliance personnel
Safety coordinators
Traffic handling, signing, and electrical specialists
Landscape specialists
Environmental - construction liaison
Storm water coordinator
Schedule analysts
Claims engineers
Partnering coordinators
Change order specialists
Progress payment specialists
Construction coordinators
In the absence of a Caltrans policy on a specific job problem, the authority of the
resident engineer will prevail over that of a specialist or coordinator.
1-106 1-106 Local Projects
Local Projects Local construction projects are either State Administered, Locally Administered,
or Administered by Private Sponsor. For the responsibility of state personnel on local
projects, see Chapter 9, Projects Funded by Others, of this manual.

Section 2 Public Relations

1-201 General
1-202 Relations Among Caltrans Personnel
1-202A The Resident Engineer and Staff
1-202B The Resident Engineer and the District
1-203 Relations With the Contractor
1-204 Relations With Utility Companies and Other Public Agencies
1-205 Relations With Property Owners
1-206 Relations With the General Public

Public Relations 1-2.i
Section 2
Section 2 Public Relations Public Relations
1-201 General 1-201

The subject of public relations is divided into the following categories: General
Internal relations among Caltrans personnel
Relations with the contractor
Relations with utility companies and other public agencies
Relations with property owners
Relations with the general public
1-202 Relations Among Caltrans Personnel 1-202
Within Caltrans, public relations is divided into two subcategories: relations between Relations Among
the resident engineer and staff, and relations between the resident engineer and the Caltrans Personnel
district.
1-202A The Resident Engineer and Staff
Development and maintenance of good relations between Caltrans personnel is largely
a matter of adequate communication and a clear division of responsibility. Employees
must know precisely what their responsibilities are, and they must be given the
authority to handle these responsibilities.
The most important communications are between project personnel and the resident
engineer. It is recommended strongly that resident engineers hold short staff meetings
each workweek. At these meetings the resident engineer should brief assistant resident
engineers on the weeks operations, announce any changes or new assignments of
responsibility, and discuss any other pertinent subjects.
Resident engineers should provide personnel with an opportunity to demonstrate their
strongest capabilities and highest capacity for responsibility. The resident engineer
should ensure that assistant resident engineers have an opportunity to gain experience
in the various construction phases.
Assignment rotation is encouraged as long as the effectiveness of the overall operation
does not suffer. Similarly, if feasible, assign personnel to operations different from
those handled on previous projects. Newly assigned personnel should study the
applicable portions of the Standard Specifications, special provisions, plans, this
manual, and any other applicable Caltrans publications. An individual should not be
required to perform new duties until the resident engineer is assured that the person is
capable of performing them correctly and effectively.
1-202B The Resident Engineer and the District
Communication is a two-way responsibility. Resident engineers should adequately
inform their supervisors of facts so the supervisors are not embarrassed by learning

Public Relations 1-2.1
about project events from outside sources. Conversely, good management practice
requires that supervisors keep their personnel informed of decisions affecting an
employees area of responsibility. Communication has failed whenever a resident
engineer first hears about a district decision from outside sources.
An important phase of internal relations is the necessity for working with other
functional units within the organization. People in other units do their work with
information available to them, just as construction forces do. They, too, have problems
in their work. When there is a difference of opinion on some part of the project,
whether it is about design, traffic handling, or some other feature, the resident engineer
should approach the other party with an open mind to discuss the problem.
1-203 1-203 Relations With the Contractor
Relations With the In communicating with the contractor and the contractors personnel, it is important
Contractor that the resident engineer take a clear position. It is far better to start on a basis of
administering the contract firmly in accordance with the plans and specifications than it
is to correct a situation caused by laxity later in the contracts life.
The employees assigned to construction must have a thorough knowledge of the plans
and specifications governing the contract. Clear evidence of possession of this
knowledge will go a long way in promoting smooth relations with the contractors
personnel. If the resident engineer and assistant resident engineers know the plans and
specifications thoroughly, the contractors personnel will respect the resident
engineers judgment in cases where interpretation becomes necessary. A satisfactory
relationship between Caltrans and the contractor at all levels is an important result of
smooth relations between the resident engineer and the contractors superintendent.
Proper and ethical contract administration requires the exercise of several essential
attributes. Ideally, resident engineers and assistant resident engineers should be
experienced, resourceful, and considerate, in addition to having a thorough knowledge
of the specifications and the work to be done.
Numerous collateral duties are also included in contract administration. These duties,
which are as important as good engineering, include the following: competent record
keeping, well-monitored personnel activities, enforcement of labor laws, and oversight
of safety.
The primary responsibility, however, is to ensure that the rights of both Caltrans and
the contractor are equally and impartially enforced. The taxpayers are entitled to what
they pay for, and the contractor is entitled to payment for constructing the work as
defined by the contract.
In general, there are two types of specifications: end-result and method. For work
governed by end-result specifications, the engineer determines what and the
contractor decides how.
Method specifications are more restrictive as to the contractors options. Deviations
from specified methods require change orders. Deviations must also provide equal or
better results while preserving the contracts integrity. Finally, the rights of
unsuccessful bidders must be protected.
If any doubt exists about a contractual matter, the resident engineer has an obligation to
clarify in writing the Caltrans position for the contractor.

1-2.2 Public Relations
1-204 Relations With Utility Companies and Other Public Agencies 1-204
Good public relations with internal and external stakeholders will have a beneficial Relations With
effect in completing a construction project within scope, schedule, and budget. Utility Companies
Preconstruction discussions that may affect Caltrans functional units or local agencies and Other Public
and communities should involve all stakeholders. Agencies
The resident engineer should make early personal contact and establish a good working
relationship with staff of affected utility companies and other agencies. Such agencies
may include: local school districts, local transit agencies, permitting agencies,
California Highway Patrol and local police organizations, local bicyclist and pedestrian
advocacy groups, local community groups, and any other government agency or local
group with interest in the project. Early personal contact with staff from these agencies
and groups will acquaint them with upcoming construction operations and will enable
them to have input and schedule their work or services to the best advantage of all
concerned.
1-205 Relations With Property Owners 1-205
Another important part of public relations is courteously dealing with the property Relations With
owners near the project. The owners are the ones most affected by construction Property Owners
operations.
By courteously listening to the property owners problem, request, or question and by
taking the time to explain or answer, the resident engineer can generate faith that
Caltrans is not an impersonal organization running roughshod over the general public
or the individual. Sometimes this approach will reduce unreasonable demands and
complaints by the property owner.
Construction operations (for example, temporary closures of streets and driveways and
construction noise, especially at night) may have an adverse affect on nearby residents
and businesses adjacent to the project. Informing business owners and residents near
the project about the reason for, and the duration of, the activity will go a long way
toward a higher degree of acceptance and tolerance. Timely notice is important. Also
consider rescheduling construction activity around major business or public events.
The necessity for residential relocations should be considered during constructability
reviews and if necessary discussed at project development team meetings. Details for
temporary relocations appear in Section 10.10.05.01 of the Right of Way Manual.
If nighttime noise levels become an issue during construction and temporary relocation
of residents is not addressed in the project files, contact the construction field
coordinator for guidance.
Start public relations early. The fullest possible cooperation of the contractors
organization should be solicited to achieve good public relations most effectively. By
calling on property owners together, the resident engineer and the superintendent can
assure owners that inconvenience and the nuisance of noise and dust will be kept to a
minimum. For some projects on metropolitan freeways, contractors have distributed
their own informational folders to property owners. This practice should be
encouraged.
1-206 Relations With the General Public 1-205
The main differences in public relations with property owners and the general public Relations With the
occur in the scope of coverage and the degree of personal contact. When highway General Public

Public Relations 1-2.3
construction information must be conveyed to large numbers of highway users
(including those who commute regularly over a particular route and those who use the
route only occasionally), contact the public information officer early in the project. The
most satisfactory method is for the officer to make full use of the press, radio, internet,
and television to publicize the upcoming work.
Another proven method of promoting good public relations is to use district personnel
as speakers at meetings of the local chamber of commerce and service clubs. Resident
engineers so inclined might consider joining a service organization. Frequent notices
and progress reports in the local press are also very common and effective methods of
keeping the public informed of changing project conditions.
On advice by the resident engineer, the district should also issue press releases. The
district should contact members of the local press before the job starts, inform them
how they can contact the proper person for information throughout the contract, and
invite them to tour the project with the resident engineer. In special cases, the district
may prepare and distribute pamphlets to motorists who are delayed as they pass
through construction. If the traveling public outside of the district will be affected, the
Caltrans information officer in Sacramento must be advised directly.
Project personnel should always keep in mind that they are representatives of Caltrans
and the State of California. As such, they are expected to conduct themselves in a
manner that will command respect and be a credit to the organization.

1-2.4 Public Relations
Section 3 Personnel Development

1-301 General
1-302 District Role
1-303 Supervisor Role
1-304 Individual Duties
1-305 Resources and Budgeting
1-306 Subject Matter, Trainees, and Instructors
1-307 Just-in-Time Training
1-308 Training Methods

Personnel Development 1-3.i
Section 3
Section 3 Personnel Development Personnel
Development
1-301 General 1-301
Personnel development is essential for successfully implementing Caltrans mission, General
vision, goals, and strategic priorities. Moreover, most construction employees want to
learn new job skills. A comprehensive training and development program helps in
recruiting and retaining new construction staff. It is in the best interests of Caltrans to
train staff early in their careers, reinforce that training as time passes, and update staff
job skills as changes in policy and technology affect the way Caltrans conducts
business and serves its stakeholders.
Base staff development needs on Caltrans fundamental goals and objectives. Design
each training and development activity to produce construction personnel who are
prepared to perform their essential job duties.
1-302 District Role 1-302
District construction will do the following: District Role
Identify training needs based on the following:
1. The employees current knowledge and skills.
2. Additional job skills necessary for the employees success in the current job
assignment.
3. Skills the employee will need for future job assignments.
Include training and development planning in each employees yearly individual
development plan.
Provide each employee with adequate training and development opportunities that
will facilitate the implementation of the employees training and development
plan.
For each construction employee, maintain a historic record of completed training
and development sufficient to enable a supervisor to evaluate the employees
construction knowledge and skill level.
1-303 Supervisor Role 1-303
Supervisors will do the following: Supervisor Role
Ensure that each employee under their direct supervision is capable of performing
the assigned duties.
Periodically review subordinates qualifications and use that information when
making decisions about new job assignments.
When evaluating staffing needs and planning job assignments, carefully consider
cross-training opportunities for all staff, if collective bargaining agreements and

Personnel Development 1-3.1
memorandums of understanding allow such opportunities. A well cross-trained
staff has the following abilities:
1. More flexibility in completing a job
2. More ability to collaborate
3. Stronger ability to adjust to changing project conditions
Establish a succession plan, indicating who will back up the supervisor and the
employees when they are absent. Update the plan each year based on staff
performance, and ensure the unit training and development plan supports the
advancement of interested employees.
Take immediate action to correct any known deficiency in an employees
capability to perform currently assigned tasks.
Encourage the development of subordinates, and foster a working environment in
which employees are encouraged to learn new job skills.
Assist employee participation in external training opportunities they request. Such
training must benefit the employees professional career development. Ensure the
training schedule does not have a significant negative effect on the employees
work. This training must also conform to current departmental guidelines for
career related training.
1-304 1-304 Individual Duties
Individual Duties Each individual employee will do the following:
As directed by the supervisor, attend training activities and learn the skills and
acquire the knowledge necessary to meet the standards for satisfactorily
completing job assignments.
Attend a training class when scheduled to do so.
Be responsible for evaluating their own ability to perform the essential job duties
for each task they are asked to perform. If the individual does not feel properly
trained or qualified to execute a specific job task, then that person must notify the
supervisor.
In the planning of activities for training and development, consider future
promotional opportunities. Planning for training and development requires the
employee to maintain a basic level of knowledge necessary to efficiently perform
current job duties and also requires the employee to expand knowledge to include
job duties for the next position on the individuals career path.
Obtain prior approval from the supervisor to attend a training activity.
Accurately report training expenditures, including filling out the G number
column on the time reporting system. In addition, employees are to follow the
procedures for requesting and documenting training detailed in the Learning
Management System on Caltrans intranet.
1-305 1-305 Resources and Budgeting

Resources and As a minimum, individual construction employees must devote 2 percent of regularly
Budgeting scheduled work time to in-service occupational training. In the 2 percent
occupational training goal, do not include training other than that required in the
occupational training plan. In addition to the resources for the 2 percent goal will be

1-3.2 Personnel Development
resources to sufficiently plan, prepare, and execute training instruction required to
support the districts training and development plan. On average, organized in-service
training may be distributed so that the average employee will spend approximately 2
percent of the time as a trainee.
1-306 Subject Matter, Trainees, and Instructors 1-306
The district construction administration must ensure the completeness and accuracy of Subject Matter,
the information disseminated through training and development activities. The Trainees, and
Division of Construction, Office of Training and Environmental Compliance, will Instructors
support, coordinate, and assist the district to the full extent of its abilities and resources.
Instructional subject matter for a course should be sufficiently broad to encompass all
aspects of an operation or area of activity to which a person may be assigned.
Occupational instruction should be offered close to the time when personnel will be
required to use the job skills.
Personnel and consultant trainers who prepare and conduct training must be qualified
in the subject matter and in the theory and techniques of training. Assistance for
determining training expertise and training for trainers is available through the Division
of Construction.
1-307 Just-in-Time Training 1-307
Some contract special provisions provide for just-in-time training, which is joint Just-in-Time
training with industry and construction staff. This training should include all contractor Training
and Caltrans staff who are directly involved in the construction operation. The
objective of this training is to introduce new practices, improve workmanship, improve
quality, and to provide current and timely training to the people actually performing the
work.
1-308 Training Methods 1-308
In-service training can be handled in various ways. Depending on the particular Training Methods
subject, different methods may be appropriate. In all instances, encourage instructors to
use learning techniques that involve their students rather than techniques that simply
use lecture. Whenever possible, students should be provided with the opportunity to
perform a task shortly after receiving instruction and watching a demonstration.
Classes for inspectors should be participatory and include guided discussions that
encourage and promote an exchange of ideas and experiences among participants.
Caltrans construction uses the following basic training references:
Construction Manual
Standard Specifications
Standard Plans
District construction manuals
Highway Construction Checklists
California Manual on Uniform Traffic Control Devices
Maintenance Manual
California Test Methods
Other technical publications

Personnel Development 1-3.3
The Division of Construction also has a number of training videos available for
checkout. Many districts also have training videos available for staff viewing.
A highly effective method of industrial training and development is on-the-job training
and mentoring by pairing less experienced staff with seasoned construction personnel.
The supervisor must be careful to pair individuals with compatible personalities. The
mentor should be knowledgeable and well versed in current Caltrans standards. The
student can enhance the effectiveness of this training technique by respecting the
experience of the mentor, being genuinely interested, and being actively involved in the
training process.
Occupational training must be accomplished as an organized effort followed by on-the-
job experience. Certainly no substitute exists for experience, and often a well-regulated,
on-the-job training program is an excellent method for the completion of instruction.
The districts must make every effort to coordinate their training activities with the other
districts. For example, each of three districts may have only two or three people in need
of training in a specific subject. It is preferable, therefore, to combine employees from
the three districts to create one class. The districts and the Office of Structure
Construction can also exchange qualified instructors.

1-3.4 Personnel Development
Section 4 Facilities and Equipment

1-401 General
1-402 Resident Engineers Office
1-402A General Office Space
1-402B Caltrans Facilities
1-402C Trailers
1-402D Maintaining Resident Engineers Offices
1-402E Field Office Utilities
1-403 Care of Equipment
1-404 Nuclear Gages
1-405 Automotive Equipment
1-405A Operation of State Vehicles
1-405B Home Storage Permits
1-406 Reporting Losses

Facilities and Equipment 1-4.i
Section 4
Section 4 Facilities and Equipment Facilities and
Equipment
1-401 General 1-401
This section provides guidelines for the acquisition and the care of facilities and General
equipment used in Caltrans construction field operations.
1-402 Resident Engineer Offices 1-402
District construction must provide offices for resident engineers. Charge the rent and Resident Engineer
other items and services included in the cost of resident engineers offices to the Offices
phase 4 project number as a Department-furnished expense. When an office is used for
more than one project, appropriately prorate the charges.
The Advantage financial system requires coding of resident engineers office expenses.
For a description of items and services included in Object Code 184 for resident
engineers office, refer to the Coding Manual, Volume I, Chapter 5, Table 1-2, Object
Code Descriptions. Department-furnished expense funds may also be used for
monthly utilities expenses (Object Code 002), monthly office phone service fee (Object
Code 725), and monthly cell phone service fee (Object Code 726). Refer to the Coding
Manual to determine appropriate sub object that must be included in each Advantage
financial transaction.
Carefully select the field office location. Consider security and avoid areas such as
residential neighborhoods where the field office would create a nuisance.
Use service contracts to move furniture and equipment between offices.
1-402A Commercial Office Space
Generally, secure commercial office space only for large or multistage projects. The
process to secure approval of a lease for commercial office space takes 90 to 180 days.
Refer any questions concerning commercial property leases to the appropriate district
right of way unit.
1-402B Caltrans Facilities
Space in Caltrans facilities, such as district offices or maintenance station buildings,
may be available for resident engineer offices.
1-402C Trailers
Where land is available, you may lease commercial office trailers or use Caltrans-
owned trailers, if available, for resident engineer offices. Check with the district
equipment manager to see if any Caltrans-owned office trailers are available.
Lease commercial office trailers in the same way you would lease commercial office
space. Do not rent furnished commercial office trailers. For leasing information,
contact the district right of way unit.

Facilities and Equipment 1-4.1
You may arrange to place office trailers in maintenance yards or on state highway
right-of-way.
1-402D Maintaining Resident Engineers Offices
The resident engineer must maintain both the interior and exterior of the project office.
When more than one resident engineer occupies an office, they must jointly decide on
the maintenance responsibilities.
Each member of the resident engineers staff must routinely maintain neatness in the
field facility. This responsibility includes picking up papers, keeping desktops neat,
filing papers, and hanging maps.
For janitorial work, you may use service contracts. Lease agreements for commercial
office space may already include a janitorial service. The use of janitorial services does
not preclude Caltrans personnel from light housekeeping between service periods.
Each resident engineers field office must display a sign that identifies the office as a
Caltrans facility.
1-402E Field Office Utilities
Use a service contract for field office utility work. Notify the Division of Accounting
when starting, transferring, or terminating utility services. Form FA2134, Utility
Service Request, should be filled out and forwarded to the Division of Accounting
and a copy kept in the project files. The form and instructions are available on the
Division of Accounting website.
For more information, contact the district construction office. If the location is so
isolated that electricity is not available, the Division of Equipment can supply skid-
mounted generators to supply electrical power for office trailers.
1-403 1-403 Care of Equipment
Care of Equipment Resident engineers and staff are responsible for the proper care and operation of
assigned equipment. District construction must have an inventory process to address
equipment assignments and to track moves between offices. Complete an inventory no
less than once a year, and reconcile all discrepancies.
Resident engineers must maintain current information on equipment assigned to them
and must properly document the disposal or movement of equipment. Report new
equipment purchases to the district property controller. Also contact the district
property controller for questions about what to include as inventory equipment.
When a member of the resident engineers staff is not present, always keep the field
office locked. Commercial security systems may be warranted for a field office. You
can use funds from Department-furnished materials to obtain a security system, or a
security system may be included in the rental cost for commercial office space. For
details, contact the district office.
Annually service fire extinguishers in Caltrans facilities. For guidelines on fire
extinguishers, refer to Section 8.05, Emergency Action Plan Requirements, of the
Caltrans Safety and Health Manual.
1-404 1-404 Nuclear Gauges

Nuclear Gauges Only properly trained and qualified personnel must operate nuclear gauges. Resident
engineers and supervisors of nuclear gauge operators must be aware of the

1-4.2 Facilities and Equipment
requirements for handling nuclear gauges, including transporting and storage. Refer to
California Test 121, Use of Nuclear Gages, for nuclear gauge requirements.
1-405 Automotive Equipment 1-405
District construction assigns vehicles to field personnel. The resident engineer or the Automotive
construction engineer will determine the use of vehicles at the project level with due Equipment
consideration for the needs of the Office of Structure Construction personnel. To
accomplish the work, vehicles may be exchanged at the project level as necessary.
1-405A Operation of State Vehicles
For policies, guidelines, and rules for driver training and the safe operation of motor
vehicles, refer to Chapter 17, Motor Vehicle Safety, of the Caltrans Safety and
Health Manual.
Section 9-09, Requirements for First Aid Medical Supplies of the Caltrans Safety
and Health Manual requires a 10-unit first aid kit to be at each construction crew field
site. To satisfy this requirement, each vehicle must carry a first aid kit.
For reporting accidents, see the procedures in Chapter 18, Motor Vehicle Accidents,
of the Caltrans Safety and Health Manual. Chapter 18 requires that each vehicle carry
Form STD. 269, Accident Identification.
You may obtain supplies and repairs for vehicles from the Division of Equipment
facilities. In case of breakdown, contact the nearest Division of Equipment facility.
Also, each vehicle contains a directory that lists the shops and personnel to contact in
case of a vehicle breakdown or emergency on the road. Roadside assistance is also
available 24 hours a day with the use of the official state credit card for fuel. Each
vehicle must be equipped with the credit card and instructions for obtaining emergency
service.
1-405B Home Storage Permits
The California Code of Regulations requires the use of vehicle home storage permits.
The director of the Division of Equipment develops, publishes, maintains, and oversees
the administration of guidelines for home storage permits. These guidelines are
available on the Division of Equipment website.
The guidelines contain specific requirements for field employees in construction,
surveys, material testing, and structure construction.
1-406 Reporting Losses 1-406
If theft, burglary, pilferage, or damage by vandalism occurs, immediately notify the Reporting Losses
individual in the district who is responsible for coordinating the reporting of such
incidents. Unless advised not to do so by this district coordinator, notify the local police
authorities, giving full details as you know them, and complete descriptions of the
damaged or missing articles. The district coordinator will advise the resident engineer
of any further action.
Also notify the district property controller of any lost, stolen, destroyed, or damaged
inventory property. For this purpose, use Form ADM-0396, Report of Lost, Stolen, or
Destroyed/Damaged State-Owned Property.

Facilities and Equipment 1-4.3
Section 5 Field Expenses and Purchases

1-501 General
1-502 Travel Expenses
1-503 Miscellaneous Purchases
1-503A Cal-Cards
1-503B Cash Purchase Transactions
1-504 Service Contracts

Field Expenses and Purchases 1-5.i
Section 5
Section 5 Field Expenses and Purchases Field Expenses
and Purchases
1-501 General 1-501
This section contains guidelines for paying for travel expenses and obtaining goods and General
services.
1-502 Travel Expenses 1-502
The Division of Accounting Services administers payment for travel expenses that Travel Expenses
Caltrans employees incur.
Supervisors must ensure employees do not abuse travel expenses. The Caltrans Travel
Guide, issued by the Division of Accounting Services, contains instructions and the
policy for submitting travel expense claims.
Pay particular attention to the charging information on travel requests and travel
expense claim forms. Employees who attend training or work on task forces must
obtain from the group coordinator or leader the correct charging information.
1-503 Miscellaneous Purchases 1-503
Whenever possible, obtain supplies and equipment from district warehouses and Miscellaneous
stockrooms. Use the procedures established in the district for obtaining these supplies. Purchases
See the Caltrans Acquisition Manual, issued by the Office of Procurement and
Contracts of the Division of Administrative Services, for information and guidelines
about acquiring the following:
Commodities
Supplies
Equipment
Furniture
Information technology products and services
For items that are unavailable through district warehouses, use commercial vendors.
The following two procedures are the most frequently used by field personnel to
purchase from such vendors.
1-503A Cal-Cards
Cal-Cards are credit cards used to purchase items that are not available in district
warehouses and stockrooms. For guidelines and information about Cal-Cards, see the
Cal-Card Handbook on the web site of the Office of Procurement and Contracts of the
Division of Administrative Services. To use Cal-Cards, use the procedures established
by the Office of Procurement and Contracts and the districts.
In general, use the Cal-Card for office and engineering supplies necessary to support
the construction project.

Field Expenses and Purchases 1-5.1
1-503B Cash Purchase Transactions
You may make cash purchases of no more than $50 plus tax for the following:
Incidental supplies not stocked by the district
Minor emergencies, services, or other nontravel outlays
Typical cash purchases include items such as postage stamps and post office box rental
fees. Obtain and submit receipts for all cash purchases.
For reimbursement for approved purchases, submit Form FA-3202, Travel Expense
Claim.
1-504 1-504 Services Contracts

Service Contracts The resident engineer uses service contracts to obtain services or rent equipment to
fulfill construction engineering obligations. For many services, such as repair of office
equipment, a master service contract may be in existence. For other services, such as
repair of state-owned buildings used for field offices, obtain a specific service contract.
Do not use service contracts to purchase supplies or finished articles.

1-5.2 Field Expenses and Purchases
Chapter 2-
Safety and Traffic
Chapter 2 Safety and Traffic
Section 1 Safety
2-101 General
2-102 Duties and Responsibilities
2-102A District Deputy Director for Construction
2-102B District Construction Safety Coordinator
2-102C Construction Engineer
2-102D Resident Engineer
2-102E Project Safety Coordinator
2-102F Project Staff
2-103 Managing Safety Hazards
2-103A Imminent Hazards
2-103B Dangerous Conditions (Serious Hazards)
2-103C Minor or Non-serious Conditions
2-104 Division of Occupational Safety and Health
2-104A Authority and Responsibility
2-104B Citations and Civil Penalties
2-104C Classes of Employers
2-104D Procedures During Division of Occupational Safety and Health Inspections
2-104D (1) Elements of a Cal/OSHA Inspection
2-104D (2) Participation in the Inspection
2-104D (3) Procedures If Citations Are Received
2-105 Specific Safe Practices
2-105A Code of Safe Practices
2-105B Tailgate Safety Meetings
2-106 Safety Precautions for the Public in Construction Areas
2-107 Hazardous Materials

Safety 2-1.i
Section 1 Safety Section 1

Safety
2-101 General 2-101
Employers must comply with occupational safety and health standards established by General
federal and state laws. These laws require all employers to provide a safe place of
employment, reasonably free from danger to life or health and to maintain a written
injury and illness prevention program (IIPP).
The Caltrans Safety and Health Manual is the official Caltrans IIPP. The safety
manual lists mandatory safety policies and procedures, provides a centralized reference
to operational safety advisories, and standardizes procedures for reporting employee
occupational injuries, vehicular accidents, and claims against Caltrans. The
construction Code of Safe Practices (COSP), along with the safety manual, defines
standard safety practices for employees and consultants involved with inspecting
construction activities and operations. Contractors and subcontractors follow the prime
contractors IIPP and COSP. If a subcontractors IIPP and COSP are more stringent,
the subcontractor must follow its own IIPP and COSP.
Federal Highway Administration requirements and the Standard Specifications
establish compliance with safety regulations as a contract requirement. Enforce
compliance with all safety regulations and contract specifications through the use of
administrative procedures.
2-102 Duties and Responsibilities 2-102
Districts are responsible for safety on Caltrans construction projects: Duties and
Responsibilities
2-102A District Deputy Director for Construction
The district deputy director for construction must ensure that funding is adequate to
maintain a mandatory training program to acquaint Caltrans construction personnel
with the basics of construction safety. This mandatory training must take place a
minimum of 4 hours per employee per year and be included in the districts annual
training plan. Safety training includes orientation for all employees when they receive
their first construction assignment. Employees returning to construction following an
absence of 5 years or more must also receive the safety orientation.
New California laws have added a responsibility requiring supervisors to ensure that
subordinates are implementing all safety requirements and are provided with the tools
and the training necessary to protect them from being exposed to any hazard.
2-102B District Construction Safety Coordinator
The districts construction safety coordinator (CSC) must act as a technical advisor to
construction field personnel and coordinate district administration of contractor
compliance with safety requirements. The CSC must also do the following:
Be familiar with highway construction procedures, equipment, and construction
zone traffic management.

Safety 2-1.1
Understand Caltrans safety policies and specifications and the California Division
of Occupational Safety and Health (usually referred to as Cal/OSHA) regulations.
Cal/OSHA is the state enforcing agency for safety regulations.
Recognize unsafe conditions created by a contractors operation.
Make unannounced site visits to ongoing construction projects on a routine and
rotating basis. The CSC must also respond promptly to requests from the resident
engineer or other Caltrans staff to visit projects to review project safety concerns.
Collaborate with the resident engineer about specialized contract work, such as full
freeway closures and unusual or complex operations including blasting and
confined space operations. The CSC must visit the project periodically to observe
the contractors overall efforts, answer questions, or look at specific areas when the
engineer requests it. The frequency of the visits will depend upon the type and
complexity of the work.
Write a report of each visit to the project site, giving the resident engineer the
original report and copies to the construction engineer and the construction
manager for review and follow-up.
Be the districts primary contact with the Division of Construction safety engineer
and the local Cal/OSHA representative, except for emergencies involving
imminent hazards. Maintain regular communication with local Cal/OSHA
representatives.
Administer the districts construction safety training program, structured to meet
district needs as mentioned above in Section 2-102A, including the mandatory heat
illness prevention training offered once to all field staff and the mandatory hazard
communication training offered every 2 years.
Serve as advisor for the construction safety portion of the preconstruction
conference. If not taking part in the discussion, the CSC must be involved in
reviewing the specifications and determining which specific safety areas to discuss
with the contractor.
2-102C Construction Engineer
The construction engineer must review construction projects to ensure that the resident
engineer is monitoring the contractors construction safety program adequately and that
an effective safety program is underway. While the CSC acts as the construction safety
technical advisor, the construction engineer assures that the resident engineer is
proactively implementing project safety requirements.
The construction engineer must review the CSCs report and ensure that the resident
engineer addresses, adequately closes, and documents the items mentioned in the
report. The construction engineer ensures that all deficiencies in the field are abated,
signs the report, and sends it back to the CSC for review and signature.
Construction engineers are responsible for the performance of employees under their
supervision. They provide them with the training and tools necessary to protect
themselves from hazards. They advise, correct, and reprimand employees for repeated
safety violations and should document their reviews of employee safety programs.

2-1.2 Safety
2-102D Resident Engineer
The resident engineer must ensure that the contractor complies with all aspects of the
contract, including applicable safety orders found in the California Code of
Regulations, Title 8. To accomplish this, do the following:
Identify any unsafe conditions and the specific regulations involved. Under no
circumstances should the resident engineer instruct the contractor how to correct a
deficiency, either orally or in writing.
Assign a project safety coordinator if needed.
Involve the district CSC in specialized contract work such as full freeway closures,
blasting operations, confined space operations, multi-crane pickups of large loads,
or other unusual or complex contractor operations. Consult with the CSC to
interpret Cal/OSHA regulations.
Inform the CSC how unsafe conditions identified in the safety review report were
resolved. Complete written documentation of the review and abatement results and
file it with other project documents.
In a special safety report using form CEM-4601, Assistant Resident Engineers
Daily Report, document the construction safety activities of both the contractor
and Caltrans project personnel.
At least weekly, complete a project safety report and file it in Category 6, Safety,
of the project records.
Using normal contract administration procedures, ensure that the contractor
complies with Caltrans contract requirements and Title 8 safety orders. A proactive
approach in addressing and communicating safety with the contractor will create a
common understanding, emphasize Caltrans priority, and help protect the state
from future citations or litigations in case of an accident.
Give project safety deliberate attention, both at preconstruction conferences and
throughout the duration of the contract. Document the safety discussions in the
project files. Cover at least the following items:
1. Address new Cal/OSHA regulations such as those regarding heat illness
prevention. Contractors need to train their workers to identify heat illness and
implement a heat illness prevention plan.
2. Make available Material Safety Data Sheets for chemicals or construction
materials used on the construction site. The data sheets require provision for
eyewash stations, respirators, and other devices.
3. Make employees aware of other safety items that may pertain to the contract,
such as blasting operations, work in confined spaces, personal protective
equipment, backup alarms, rollover protective structures, traffic control,
shoring and tunneling, and access to elevated work.
Before starting work, ensure that contractors do the following:
1. Submit to the resident engineer, as required in the Caltrans Standard
Specifications, an IIPP that lays out the contractors safety policy and
addresses, among other things, the use of entertainment and communication
devices. The reason for IIPP and COSP submittals is not for review but to
ensure that the contractor is complying with Cal/OSHA requirements.

Safety 2-1.3
2. Develop a project-specific COSP document addressing all operations in the
project for each contract and all contractor operations. Make it accessible to
workers in the field, and be sure all project personnel have read and signed it.
Keep the COSP in a conspicuous location at the jobsite office. A baseline
COSP document is on the Division of Construction website:
http://www.dot.ca.gov/hq/construc/publications/code_of_safe_practices.p
df
3. Present a safety training program.
4. Submit permits required before starting certain work, such as excavation,
trenching, shoring, falsework erection, and scaffolding.
During the course of work, ensure that contractors do the following:
1. Report disabling or fatal accidents to the resident engineer and to Cal/OSHA.
2. Notify the resident engineer immediately if Cal/OSHA arrives on the project
for a site visit. As the site owner, Caltrans staff needs to participate in all
Cal/OSHA site visits.
2-102E Project Safety Coordinator
The resident engineer may delegate safety responsibilities to an assistant who will act
as the project safety coordinator. This delegated work will usually be in addition to
other assigned duties, but may be full time on large contracts. The project safety
coordinator acts as a safety advisor to Caltrans project personnel. The project safety
coordinator must monitor and document contractor compliance with safety
requirements, keep the resident engineer informed, and do the following:
Monitor ongoing operations on the jobsite daily and check for the contractors
compliance with contract safety requirements.
Inform the contractor, orally and in writing, of any operation or activity that does
not comply with Caltrans contract requirements or Cal/OSHA regulations. Provide
reference to the Standard Specifications or the specific regulation violated. Use
Form CEM-0606, Construction Safety Checklists, to find the appropriate
reference. These checklists are on the Division of Construction website:
http://www.dot.ca.gov/hq/construc/forms.htm
Prepare a weekly project safety report and file it in Category 6 of the project
records.
2-102F Project Staff
Caltrans does not intend that the resident engineer and the project safety
coordinator do all monitoring of the contractors construction safety activities.
All construction personnel must consider the safety of the operations in
conjunction with their normal inspections. Inspectorsclosest to and most
familiar with the field operationsmust do the following:
Be familiar with construction zone traffic management, Cal/OSHA regulations,
Caltrans safety policies, and specifications. Use Form CEM-0606 to ensure
everyone complies with safety regulations and specifications.
Routinely monitor and document contractor compliance with contract safety
requirements. A proactive approach to safety will help eliminate misunderstanding
and avoid conflicts with the contractor.

2-1.4 Safety
Request assistance from the project safety coordinator or the district construction
safety coordinator when an unsafe condition is observed or if uncertain about a
regulations requirements.
2-103 Managing Safety Hazards 2-103
In carrying out Caltrans responsibilities for ensuring safety compliance as a contract Managing Safety
requirement, use the following guidelines: Hazards
2-103A Imminent Hazards
Imminent hazards are dangerous conditions that, if not corrected immediately, would
likely result in an accident causing severe or permanently disabling injury or death.
When an imminent hazard is found or the contractor permits repeated occurrences of a
hazardous condition, the resident engineer must take the following steps:
Immediately advise the contractor orally of the condition and the need for
immediate correction.
Remove all Caltrans and consultant employees from the hazardous exposure.
Order the contractor to remove all personnel not needed to make the corrections.
If the contractor complies, document the incident in the projects safety report with
appropriate references in Form CEM-4501, Resident Engineers Daily Report.
If the contractor does not comply, suspend the affected operation. Confirm the
suspension order in writing to the contractor.
Document the incident and the action taken in the resident engineers daily report.
Whenever it is necessary to suspend a contractors operation, notify the CSC and the
construction engineer of the hazardous condition and the actions taken. Ensure that all
contractual remedies to address the contractors safety issues have been exhausted and
documentation fully prepared and filed before considering notifying Cal/OSHA.
Involve the CSC as a checker in the process to make sure nothing was overlooked. Get
permission from the construction manager before calling Cal/OSHA. These actions
will limit potential multi-employer liability against Caltrans. Fax, email, or telephone
the Division of Construction safety engineer about the actions taken. Place safety
reports, including all details leading up to the suspension and copies of orders, in
Category 6, Safety, of the contract files.
2-103B Dangerous Conditions (Serious Hazards)
Dangerous conditions (sometime referred to as serious hazards) are those that do not
present an immediate danger to workers but, if not corrected, could result in a disabling
injury and possibly death or develop into an imminent hazard. When a dangerous
condition is found to exist, the resident engineer must take the following steps:
Advise the contractor orally of the condition and the need for timely correction. If
appropriate, set a compliance deadline.
Remove all Caltrans and consultant employees from the hazardous exposure.
If the contractor fails to provide timely correction, consider ordering a suspension
of the affected operation. Confirm the suspension order in writing to the contractor.
Document the incident in the projects safety report with appropriate references in
the resident engineers daily report.

Safety 2-1.5
2-103C Minor or Non-serious Conditions
Minor or non-serious conditions are ones that could result in minor injuries or might be
classified as minor threats to health. When a non-serious or minor condition is found to
exist, the resident engineer must take the following steps:
Advise the contractor orally of the condition and the need for correction.
Document the incident in the projects safety report.
Protect Caltrans and consultant employees from exposure.
If the contractor fails to correct the condition or permits a repeated occurrence,
notify the CSC.
2-104 2-104 Division of Occupational Safety and Health
Division of This section provides information about the organization of Cal/OSHA, its
Occupational Safety enforcement powers, and its inspections.
and Health
2-104A Authority and Responsibility
The law requires Cal/OSHA to enforce safety orders and promote safe workplaces and
practices. Cal/OSHA achieves this function through three separate agenciesa rule-
making function, an enforcement function, and an independent appeals board,
described as follows:
The Occupational Safety and Health Standards Board (Standards Board) adopts,
amends, and repeals safety orders. Both state and federal law require that the safety
orders be no less restrictive than federal Occupational Safety and Health safety
orders.
Cal/OSHA is responsible for administering the safety orders as adopted by the
Standards Board.
Citations issued by Cal/OSHA for violations may be appealed to the Occupational
Safety and Health Appeals Board for a hearing and, in rare instances, appealed to a
superior court.
To allow Cal/OSHA to accomplish its mission, the California Labor Code gives
Cal/OSHA the authority to enter and inspect any place of employment to ensure that
the contractor is observing safe conditions and practices. If necessary, this right of entry
can be enforced with a warrant.
2-104B Citations and Civil Penalties
If Cal/OSHA uncovers and documents unsafe conditions or work practices, it has a
duty to issue citations. The severity of the violations cited determines the civil
penalties, and the penalty amount is based on procedures established in the regulations.
Public agencies are not exempt from these penalties.
Violationsclassified as regulatory, general, serious, willful, or repeatresult in
monetary penalties. Failing to abate hazards or making false statements also mandates
penalties.
Under the multi-employer liability clause, Cal/OSHA has authority to cite all
employers at a multi-employer worksite. Cal/OSHA identifies an exposing, creating,
controlling, or correcting employer (defined in next subsection) for each unsafe
condition found. It bases employers degree of responsibility on their awareness of the
condition, the foreseeability of the condition, and reasonable steps they take to protect
employees.

2-1.6 Safety
In addition to receiving the civil penalties noted above, both Caltrans and
contractor managers can be held criminally responsible. To be held criminally
responsible, the manager must knowingly or negligently allow a serious
violation, repeatedly violate safety orders, or directly refuse to correct a known
unsafe condition. Criminal penalties can be as severe as 6 months to 1 year in jail
and may include fines.
Occasionally, Cal/OSHA will issue an informational memorandum when it encounters
a condition or potential condition to which no employee has been exposed, but if an
employee were to be exposed, a safety violation would exist. Cal/OSHA always
classifies a violation of an informational memorandum as a willful violation.
2-104C Classes of Employers
California recognizes four different types of employers, any of which can be cited by
Cal/OSHA for safety violations. The classification can result in more than one
employer cited for the same violation. The California Labor Code identifies these
employer categories:
Exposing employerthe employer whose employees were exposed to the hazard.
Creating employerthe employer who actually created the hazard.
Controlling employerthe employer who was responsible by contract or through
actual practice for the safety and health conditions on the worksite, the one who had the
authority for ensuring the hazardous condition was corrected.
Correcting employerthe employer responsible for correcting the hazard.
Caltrans may be the exposing employer if a Caltrans employee is allowed to work in an
unsafe location or participate in an unsafe act. Taking a proactive role in addressing and
documenting safety and communicating it to the contractor would help create a
common understanding, emphasize Caltrans priority, and help in protecting the state
from being cited under any of the above categories.
2-104D Procedures During Division of Occupational Safety and Health
Inspections
This section describes what takes place during a Cal/OSHA inspection and what
resident engineers and their assistants should do while it is carried out.
2-104D (1) Elements of a Cal/OSHA Inspection
Every Cal/OSHA inspection has three elements: the opening conference, the walk-
through inspection, and the closing conference.
Opening conferenceThe Cal/OSHA inspector requests the highest level of onsite
management, makes introductions, and states the reason and purpose of the inspection.
The inspector asks questions about the employer, such as the size of the organization,
number of employees onsite, addresses, and phone numbers. The inspector may also
ask about the employers IIPP, emergency contact numbers, and the addresses of the
medical facilities closest to the jobsite. The inspector asks the employer for permission
to make a walk-through site inspection and invites the employer to join the inspection.
Walk-through inspectionThe inspector will tour the site observing the work in
progress, condition of the site, and work practices followed. The inspector may
interview employees about their training, work procedures, and protective equipment.
During the inspection, the inspector may take photographs and measurements. If it is a
post-accident investigation, the inspector identifies and interviews witnesses and may

Safety 2-1.7
request contact information such as name, address, and phone number. The inspector
notes violations observed, findings that will probably result in a citation during the
closing conference.
Closing conferenceAfter completing the walk-through inspection, the inspector
meets with managers, supervisors, and employee representatives to discuss the
violations and proposed citations. The inspector bases citations on the observations and
on manager, supervisor, and employee statements. The inspector may hold this
conference immediately after the walk-through inspection or defer it. Although the
conference is usually conducted in person, the inspector may conduct it on the phone.
2-104D (2) Participation in the Inspection
As a matter of policy, Caltrans cooperates and participates with Cal/OSHA. Caltrans
employees are not required to make any statement that may be harmful to their interests
or those of Caltrans. If uncomfortable with answering any questions, politely decline.
In the event of an inspection, do the following:
Opening conferenceNotify the CSC that Cal/ OSHA is planning to inspect. If the
CSC is not available, notify the district safety officer and construction engineer of the
pending inspection. If the CSC or safety officer can arrive in a reasonable length of
time, request a delay of the walk-through inspection until their arrival. The resident
engineer or representative must participate in the inspection, and the construction
engineer should also participate.
Walk-through inspectionParticipate in and document the inspection. Record what
areas were inspected, who was interviewed, and what violations the Cal/OSHA
inspector mentioned. For Caltrans records, take the same photographs and make the
same measurements as the OSHA inspector.
Closing conferenceParticipate in the closing conference. The construction engineer
or another representative should also participate. If the district safety officer or CSC is
not present, insist that the closing conference be delayed until one of them can attend. If
the inspector proposes citations, remain open and noncommittal.
2-104D (3) Procedures If Citations Are Received
If you receive citations by personal delivery or mail, take the following actions:
Notify the district safety officer and construction engineer that a citation has been
served.
Fax a copy of the citation to the Office of Safety and Health in the Administrative
Service Center.
For citations related to structure work, ensure structure representatives notify the
Office of Structure Construction.
Work with the district safety officer and the Office of Safety and Health to resolve
citations. If necessary, arrange for legal support.
2-105 2-105 Specific Safe Practices
Specific Safe Practices Every employee has the responsibility to be informed of and follow the specific
policies and practices discussed in the Caltrans Safety and Health Manual.
2-105A Code of Safe Practices
Cal/OSHA safety orders require that every employer adopt a written COSP. Ensure
that one is prepared for every project. Ensure that it includes items unique to a specific

2-1.8 Safety
project as well as portions of the contractors code that affect Caltrans employees and
consultants. The project file must contain documentation that all employees and
consultants have read and understood the COSP and received a project safety
orientation.
2-105B Tailgate Safety Meetings
Cal/OSHA safety orders require tailgate or toolbox safety meetings. As stated in
Construction Safety Order 1509, Injury and Illness Prevention Program, the
meetings must be held at least once every 10 working days.
Section 2-05, Tailgate Safety Meetings for Field Personnel, of the Caltrans Safety
and Health Manual contains specific instructions for tailgate meetings. Follow that
section and district policy.
2-105C High-Visibility Garment
The following are required for all Caltrans staff and consultants during field operations:
For daytime use, a Class 2 garment is required. Its attached label must identify the
garment as Class 2 and should clearly state that it is an ANSI 107-2004 garment.
For nighttime use, a Class 3 or equivalent garment is required. The following
options meet Class 3 requirements:
1. A Class 3 sleeved vest with the ANSI 107-2004 Class 3 label.
2. A newer Caltrans rain jacket with an attached ANSI 107-2004 Class 3 label.
3. A Class 3-equivalent garmenta Class 2 vest with the ANSI 107-2004 label
worn with Class E pants.
2-106 Safety Precautions for the Public in Construction Areas 2-106
Construction sites receive many visitors, including non-construction staff from Safety Precautions
Caltrans; personnel from federal, state, and local agencies; property or business for the Public in
owners; and members from the media. All visitors must follow Caltrans personal Construction Areas
protection equipment requirements and construction Code of Safe Practices
requirements unless their agencys is more stringent.
Many construction activities and areas have a tendency to attract onlookers,
especially children. Moving construction equipment poses a potential danger to
onlookers.
Resident engineers and assistant resident engineers must be aware of potential hazards
to the general public and work with the contractor to take reasonable precautions to
exclude the public from the construction area. Provide fencing, if practical, and no
trespassing signs at all sites that have potential dangers.
2-107 Hazardous Materials 2-107
If unanticipated hazardous materials are encountered on the project, immediately notify Hazardous
the district hazardous waste coordinator who will advise you and may assist in the Materials
disposal procedures. The coordinator may also suggest extra safety measures to take to
protect the public and workers.
Refer to Chapter 7, Environmental Stewardship, of this manual for additional
guidelines for dealing with hazardous waste.

Safety 2-1.9
Section 2 Traffic
2-201 References
2-202 Objective
2-203 Planning
2-204 Responsibilities and Procedures
2-204A Resident Engineer
2-204B State Representative
2-204C District Construction Safety Coordinator
2-204D Construction Traffic Manager
2-204E Construction Engineer
2-205 Guidelines for Traffic Control Plans
2-205A Basic Instructions
2-205B General Considerations
2-206 Elements of a Roadway
2-206A Geometrics
2-206B Crossover Transitions
2-206C Existing Ramps
2-206D Run-off Areas
2-206E Lane Widths
2-206F Lateral Shifting
2-206G Surfacing MaterialsColor and Texture
2-207 Speed Zones
2-208 Night Work
2-209 Delineation
2-210 Ramp Closures
2-211 Informing the Public
2-212 Keeping the Roadway Clear and Clean
2-213 Roadways Over Railroad Tracks
2-214 Transportation Management Plans
2-214A Policy
2-214B Definitions
2-214C Responsibilities
2-214C (1) District Traffic Manager
2-214C (2) TMP Manager
2-214C (3) Construction Traffic Manager
2-214C (4) Construction Engineers, Resident Engineers, and Construction Inspectors
2-214D Construction Contingency Plan

Traffic 2-2.i
2-215 Construction Zone Enhanced Enforcement Program
2-215A COZEEP Funding
2-215A (1) Estimating COZEEP Funding Requirements
2-215A (2) Redirection of Project Funds
2-215A (3) Obtaining Additional Funds
2-215B COZEEP Responsibilities
2-215B (1) Project Engineer
2-215B (2) Resident Engineer
2-215C COZEEP Implementation
2-215C (1) Freeways and Expressways
2-215C (2) Connectors and Ramps
2-215C (3) Conventional Highways
2-215C (4) Risk Factors
2-215D COZEEP Administrative Procedures
2-215D (1) Ordering Work
2-215D (2) Completing the Task
2-215D (3) Cancellations
2-215D (4) Recording Work Performed
2-215D (5) Tracking Expenditures
2-215D (6) Reconciling the CHP Invoice
2-215D (7) Problem Resolution
2-216 Pedestrian Facilities
2-216A Related Caltrans Standards
2-216B Requirements of the California Manual on Uniform Traffic Control Devices
2-216C Permanent Facilities

2-2.ii Traffic
Section 2 Traffic Section 2

Traffic
2-201 References 2-201
Section 124 of the Streets and Highways Code authorizes Caltrans to close or restrict References
the use of any state highway whenever it considers such actions necessary for these
reasons:
To protect the public.
To protect a highway during construction, improvement, or maintenance
operations.
To protect a highway from damage during storms, major earthquakes, or other
natural disasters
Traffic control systems conform to the Standard Plans, unless the contract specifies
otherwise.
All signs, lights, and devices must conform to Section 12, Temporary Traffic
Control, of the Standard Specifications. For their application, review the current
California Manual on Uniform Traffic Control Devices (California MUTCD).
2-202 Objective 2-202
The objective of traffic control is to provide for worker protection and the safe passage Objective
of public trafficincluding bicycles, motorcycles, and pedestriansthrough and
around construction with as little inconvenience and delay as possible.
2-203 Planning 2-203
Providing for worker safety and the safe movement of traffic through construction Planning
zones starts with planning. All contract plans and special provisions must include a
traffic control plan. District construction must review it before the district submits the
plans, specifications, and estimate to headquarters.
The plan must be adequate for conditions that will occur during construction. The
reviewer should determine that the plan can be implemented and that it adequately
facilitates the movement of traffic. Discuss comments or suggestions regarding traffic
control with district design and traffic units during the projects planning and design
phase.
2-204 Responsibilities and Procedures 2-204
Key personnel involved in traffic control have certain responsibilities and procedures Responsibilities
as follows: and Procedures
The resident engineer (RE) has responsibility and authority for administering the traffic
control plan and all other aspects of safety on construction projects. Administration of

Traffic 2-2.1
traffic control may be delegated to another person assigned to the project, preferably
the project safety coordinator. For the duties and responsibilities of the project safety
coordinator, see Section 2-102E, Project Safety Coordinator, of this manual.
Once assigned to the project, perform the following administrative duties:
Compare the traffic control plan to conditions found at the site. Note any unusual
local traffic and emergency vehicle movements. At the preconstruction conference,
discuss the traffic control plan. For details related to preconstruction conferences,
see Section 5-003, Preconstruction Conference with the Contractor, of this
manual.
Modifications of the traffic control plan may be considered at this point. Given the
specifics of a contractors needs, it may be possible to provide traffic service
improved over the service originally contemplated. Changes the contractor
requests must provide at least equal traffic service to receive favorable
consideration.
A change order must cover changes made in contract plans and in specifications
that address conditions in the contract that are unanticipated or not fully delineated.
Change orders must include plans in sufficient detail to define all elements of the
proposed changes and roadway design.
The district will establish a procedure for preparation, review, and approval of
changes related to roadway construction and detour plans that include signs and
other traffic control devices. Generally, the district traffic unit is responsible for
this review activity.
Urgent, unpredictable situationsminor or of short durationusually arise during
the work and require good judgment for optimum results. These instances do not
require formally approved plans. Define or specify what is to be done, and
maintain written records of orders given and actions taken.
To establish the geometry, markings, devices, and signs that existed during the
project, maintain in sufficient detail a record of the placement into service, the
changes, and the discontinuance of roadways and detours. The records form may
vary according to the magnitude and complexity of the subject. Dated notations or
revisions to plans may be helpful. Dated photographic or video tape records,
particularly of points of transition or difficult situations, may be especially
valuable.
If the contractors operations interfere with vehicular or pedestrian traffic or cause
potential safety problems, immediately contact the contractor and request
correction of the deficiency. If necessary, direct the contractor in writing to act at
once to remedy the unsatisfactory situation. Call on Caltrans work forces only
when necessarybecause of a physical inability of the contractor or a refusal by
the contractor to act. A contractors failure to perform is cause to order cessation of
the operations.
2-204B State Representative
When others administer the contract, oversight of traffic through and around a
construction zone involves overseeing and working with the local entity or the private
sponsors resident engineer. The state representative assigned to the project must make
sure the resident engineer performs the duties as outlined above.

2-2.2 Traffic
For changes to the district-approved traffic control plans on contracts administered by
others, use the same review and approval process established for Caltrans-administered
projects.
As a last resort, the state representative has authority to stop the contractors operation
wholly or in part or take appropriate action when public safety is jeopardized.
2-204C District Construction Safety Coordinator
Section 2-1, Safety, of this manual covers the duties of the districts construction
safety coordinator who must periodically review the traffic handling for each project.
Some reviews should take place at night, particularly when a major traffic change has
taken place. The coordinator must document the reviews in the project records and
discuss apparent deficiencies in the traffic control plan or problems in traffic safety
with the construction engineer, traffic engineer, and resident engineer. The construction
traffic manager or a district traffic unit specialist may perform the traffic reviews,
provided the project records include the required documents and discussions.
2-204D Construction Traffic Manager
The Traffic Management Plan Guidelines describe the roles and responsibilities of the
construction traffic manager (CTM) who works in cooperation with the construction
safety coordinator. Responsibilities include:
Serves as a liaison between construction, the district traffic manager (DTM) and
the transportation management plans (TMP) manager.
Reviews the TMP and traffic contingency plan for constructability issues.
Acts as a resource for the resident engineer, construction engineer, DTM, and
TMP manager during TMP implementation and reviews the contractors
construction contingency plan.
2-204E Construction Engineer
The construction engineer is responsible for ensuring that traffic handling through
construction projects conforms to specified traffic control plans. If a change order
modifies the plans, construction engineers must take steps necessary to ensure that the
modified plans are adequate to provide the highest level of traffic safety and service
consistent with conditions actually encountered. During routine visits to the project,
construction engineers should also review signing, delineation, construction
contingency plans, and general traffic handling.
2-205 Guidelines for Traffic Control Plans 2-205
Follow these guidelines and general considerations for reviewing and approving traffic Guidelines for Traffic
control plans: Control Plans
2-205A Basic Instructions
Basic instructions usually apply more to the planning and design phase of a project, but
they also help provide construction personnel with basic concepts for safe and efficient
traffic flow through a highway construction project. Use these guidelines when
necessary during construction to make changes in traffic control plans.
Whenever possible, permit traffic to have continued undiminished use of the
existing facilities.

Traffic 2-2.3
When such use is not possible, accommodate traffic by ensuring a continuous
roadway throughout the length of the project, achieved by using one or a
combination of the following:
1. The existing unmodified highway.
2. The newly constructed highway or portions of it.
3. Interim-constructed facilities.
4. A detour where traffic, including pedestrians and bicycles, is diverted
over a temporary roadway.
5. Allowing traffic to pass through the work in progress.
Ensure that the temporary roadway is engineered to the highest standards possible,
applying the same design considerations as those in the new construction:
1. Geometrics of alignment and roadway section.
2. Surface of the traveled lanes and shoulders or marginal areas.
3. Pavement markings and other delineations.
4. Barrier and guardrail.
5. Signals and lighting.
6. Signing.
7. Pedestrian and bicycle facilities.
Show the design of the temporary roadway, including pedestrian and bicycle
facilities, in the traffic control plan.
Make safety and convenience the primary design considerations. Economy will be
a factor only as necessary to obtain balance between benefits and resources. By
itself, cost must not be a primary limiting factor.
2-205B General Considerations
No formalized solution and design applies to all situations. The following guidelines
are intended only to guide engineering judgment and ingenuity:
Create a physical facility that will induce motorists to make proper responses to
guide their vehicles in the intended path of travel and make it possible for the
vehicle to react as intended.
The traffic lanethe path the car is intended to followis the most important
single element of the roadway. These elements affect the drivers ability to follow
the intended path:
1. The lanes geometry.
2. Pavement surface condition, texture, and color.
3. Pavement markers and other delineation.
4. Signals, lighting, and signing.
Try to eliminate surprise elements from temporary roadways. Make the
environment like the approach highway. If differences must exist, make them
clearly apparent.

2-2.4 Traffic
Accident concentrations and inconvenience often occur with changes in direction,
number of lanes, alignment, and speed. Compensate for a required reduction of
one by an improvement of another. For example, compensate for a sharper curve
with solutions such as increased lane width or a runoff area.
Visualize what effect changing conditions of visibility and lighting will create.
Glare conditions in rain, at night, or when facing the rising or setting sun may
impact driver decisions. Such conditions may alter the apparent pattern of the
roadway and cause an eradicated line to appear to be a lane line. Consider how the
shape and the light versus the shadow of falsework openings will appear both in
daytime and at night. Anticipate needs for special treatments such as lighting.
Review the project for evidence of driving difficulty. For instance, look for such
signs as broken delineators, skid marks, and tire marks on temporary railing, all of
which indicate a potential need for improvement. Be aggressive in seeking
changes to improve the situation. Continue appraisal throughout the life of the
project, since each day a change in condition may impact the facilitys
effectiveness.
Reductions in the width or number of lanes affect the capacity and flow of traffic.
When severe congestion is forecast because of capacity reductions, include plans
for media notification, Construction Zone Enhanced Enforcement Program
(COZEEP) services, alternate route development, metering by upstream ramp
closures, changeable message signs, highway advisory radios, and monitoring the
end of the traffic queue.
2-206 Elements of a Roadway 2-206
Following are guidelines for the design of roadways carrying traffic through Elements of a
construction areas: Roadway
2-206A Geometrics
For conditions shown on the plans that need adjustment, discuss proposed changes
with the district traffic unit. Include these considerations for conditions requiring minor
changes in the field:
Design for the speed that vehicles will travel, not the speed one hopes they will
travel. The following determine the safe speed of a vehicle:
1. Alignment
2. Profile
3. Cross section
4. Pavement surface character
5. Lateral clearances to obstructions
On mainline facilities, design the temporary roadway for speeds consistent with
the permanent roadway. On highways where the prevailing speed of the approach
is limited by alignment, the design speed should be equal to the prevailing speed of
the approach roadway. If this equality is not possible, ensure that the design speed
differential is no more than 10 mph. Geometrics for a transition at the end of a
high-speed approach should be better than those adequate for a situation within the
construction area.

Traffic 2-2.5
Locate the transition so it is visible to the approaching motorist. Avoid placing
entering transitions on or just beyond horizontal curves or the crest of a summit
vertical. The transition should be completed before reaching such features. The
ideal transition is on a horizontal tangent with a slightly rising grade at the end of a
level approach. Achieving this transition is worthwhile, even though it may extend
the traffic control system farther than the minimum necessary just to clear the
construction area.
In the transition, if physically possible, give the driver at least the same effective
traversable roadway widthand preferably moreas on the approach roadway.
Adequate maneuver room at critical points is an important factor in preventing
accidents.
Design to require the least change in alignment, speed, or both. When changes are
necessary, make one change at a time. For example, if the number of lanes must be
reduced and the direction changed, complete the lane drop before starting the
alignment change.
2-206B Crossover Transitions
The following guidelines apply to crossover transitions:
Design crossover transitions to the highest geometric standards within tolerable
limits of cost. Use flat diagonal crossing in preference to reversing curves.
When crossovers require the removal of median barriers or protective devices,
review conditions and, where possible, maintain the integrity of the remaining
portions of the devices. For example, anchor guardrail ends and install crash
cushions.
When crossovers are not in use, place positive barriers across entry areas. Include
appropriate signage.
2-206C Existing Ramps
For temporary modifications of existing ramps, pay close attention to acceleration and
deceleration lanes. Reducing standards on existing roadways, such as sharpening
curves and shortening auxiliary lanes, can adversely affect operating characteristics.
Supplemental construction work may be necessary to retain the existing roadways
effective operating characteristics.
2-206D Run-off Areas
Whenever physically possible, establish and maintain a safely traversable area outside
the delineated roadway wide enough for a run-off zone. To enhance night visibility,
delineate material, equipment, excavations, or obstructions 15 feet or more from the
traveled way (outside normal required protection parameters). Creating safe run-off
areas may also require ordering staging of certain elements of the work, cleanup
grading, and temporary placement or removal of materials.
2-206E Lane Widths
Lane widths should be consistent with the widths of the approach roadway. A desirable
standard consists of full width lanes plus an effective width of constructed shoulder. To
provide extra maneuvering room, provide wider lanes or additional surfaced shoulder
width in transitions and critical alignment.

2-2.6 Traffic
2-206F Lateral Shifting
Construction situations frequently require a lateral shifting of traffic in relation to the
normal path of travel and may involve dropping a lane. Use the standard formula for
taper length shown in the California MUTCD or in the projects traffic control plan
details.
Before opening lanes to traffic, remove or obliterate all conflicting lines and markings.
Obliterated lines and markings must be unidentifiable as pavement delineation during
the day, at night, and under all weather conditions.
2-206G Surfacing MaterialsColor and Texture
The following guidelines apply to the color and texture of pavement surfacing
materials:
Surface all roadways and detours, except very temporary or minor facilities, with
an appropriate material (in most cases asphalt concrete).
The area where the surfacing joins the existing roadway can be critical. If new
asphalt concrete joins existing asphalt concrete, the difference in texture and color
between them creates a taper in the new traffic lane that may convey the wrong
sense of direction, especially at night or in rain. An inevitable degree of mismatch
between the old and new surfaces creates a slight discontinuity that may cause a
car to lurch or swerve. Avoid these difficulties by bringing the temporary surfacing
back onto the existing highway in a square joint.
A square joint is even more necessary when asphalt concrete joins portland cement
concrete (PCC), because at night and during rainy weather, the joints often stand
out more prominently than traffic lane lines.
When conditions prevent starting the temporary surfacing at a square joint on the
existing pavement, a treatment such as a light sand seal can establish the continuity
of the traveled lane. Establishing continuity is especially necessary if previous
traffic shifts have created confusing or conflicting diagonal joints and have
eradicated pavement markings.
2-207 Speed Zones 2-207
The following guidelines apply to speed zones: Speed Zones
If the safe operating speed of traffic through a construction area is significantly less
than the approach speed of highway traffic, a reduced work-zone speed limit may
be established.
Do not use a reduced speed limit as a substitute for other means of creating a safe
roadway.
Establish reduced speed limits in accordance with procedures in the California
MUTCD. District construction and traffic units must jointly review and agree to
the limits, and it is advisable to discuss the limits with the California Highway
Patrol (CHP). Caltrans recommends using COZEEP for any project with a
proposed reduced speed zone. See subheading 2-215, Construction Zone
Enhanced Enforcement Program, later in this section.
To avoid having to obtain more than one speed reduction order per project, ensure
that the limits requested in the order cover the maximum distance where reduced

Traffic 2-2.7
speed would be required at any time during the life of the contract. Any part of the
project within the limits stated in the order becomes a legal speed zone when signs
are placed and displayed.
It is imperative that the speed limit be posted only for the duration of the
conditions justifying the reduction and only in areas of the project where it is
unsafe at all times to travel in excess of the posted speed limit.
Speed limit signing may be considered during work operation when workers are
present. When work operations are complete for the day, ensure that the contractor
removes or covers the signs immediately. Implement temporary speed limit
reductions in conjunction with a COZEEP operation.
Use the posting of advisory speeds on warning signs to advise the public what
speed is considered appropriate at specific locations such as points of curvature or
traffic diversion. The selected speed should be what a driver exercising due care
would drive in normal conditions of light and weather.
2-208 2-208 Night Work
Night Work Frequently, special provisions restrict work on the existing traveled way to a specified
period at night. Based on traffic counts, the district traffic unit determines times for
closing lanes and for night work.
The effectiveness of handling traffic through night construction depends on the contract
plans and the details of the contractors operations. Require the contractor to submit
and obtain approval of the plan or operations before proceeding with night work.
Consider these details:
Avoid traffic splits if possible. Shift traffic to one side or the other, but do not split
it into two traffic streams. This requirement may mean closing an extra lane.
Confine the work area to as short a distance as practical.
Work areas should be well lighted, but in a way not to blind drivers of approaching
vehicles. If properly shielded, most lights can be mounted on construction
equipment. Ensure that lighting intensity complies with the Cal/OSHA
requirements.
Ensure that the contractors plan of operation provides sufficient room for delivery
vehicles so they are not forced to stop in the traffic lanes.
Providing for exit ramp traffic within the coned-off area may be difficult.
Sometimes through traffic tends to follow an exiting vehicle. To expedite the
work, it is helpful to close the exit temporarily if traffic patterns and volumes
permit.
In addition to requirements for signs and warning devices shown on the plans for
traffic control systems, changeable message signs in advance of the work may be
used effectively. See Section 4-1203K, Portable Changeable Message Signs, of
this manual. You may also consult the district traffic unit.
Ensure that the contractor uses road flares to get motorists attention only under
emergency conditions, and takes care to prevent fires in susceptible high-fire-rated
areas.

2-2.8 Traffic
For the use of amber flashing lights and for driving and parking in a closed lane at
night, see the Caltrans Safety and Health Manual.
Ensure all equipment is visible to traffic, through either illumination or suitable
marking.
During daylight hours, mark sign and lane closure locations in advance. Review
lane closure layouts for visibility and effectiveness. When possible, mark cone
locations in advance so cones can be placed quickly and accurately and the
resulting line of cones will be straight and correctly spaced.
Construction Safety Orders, Article 11, 1599 (e) requires illuminating flagger
stations during the hours of darkness. The traffic control system for flaggers should
follow Sheet T13 in the Standard Plans. Ensure that all flaggers are clearly visible
to traffic and that their positioning is safe and effective.
Comply with American National Standards Institute (ANSI) 107-2004.
Nighttime use for all Caltrans staff requires a Class 3 or equivalent garment. The
following options meet Class 3 requirements:
1. A Class 3 sleeved vest with the ANSI 107-2004 Class 3 label.
2. A newer Caltrans rain jacket with an attached ANSI 107-2004 Class 3
label.
3. A Class 3-equivalent garmenta Class 2 vest with the ANSI 107-2004
label and worn with Class E pants.
For nighttime operations for contractor staff, the law recommends but does not
require Class 3 garments. Caltrans inspectors must make sure that garments worn
by the contractors staff comply at least with ANSI 107-2004 Class 2.
To maintain cones, signs, and other safety devices, the contractor must patrol the
projects traffic control systems.
Personnel representing Caltrans and the contractor who are capable of and
empowered to make decisions quickly if the need arises must be on the job at all
times.
2-209 Delineation 2-209
In accordance with Caltrans policy, no undelineated roadway can be opened to Delineation
unrestricted or uncontrolled traffic. Before opening a roadway to unrestricted public
traffic, the final delineation must be in place on the roadway either by using long-term
or short-term temporary delineation or channelizing devices.
For a detailed discussion of acceptable temporary delineation methods, see Section 4-
12, Temporary Traffic Control, of this manual. For a discussion of final delineation
and pavement markings, see Section 4-84, Traffic Stripes and Pavement Markings.
2-210 Ramp Closures 2-210
Whenever possible, avoid prolonged closure of freeway ramps when it may adversely Ramp Closures
affect local businesses. Where ramp closures cannot be avoided, minimize adverse
effects.
During the planning and design phase of any project, an impact study is made for a
proposed prolonged ramp closure. The public distribution of the environmental

Traffic 2-2.9
document includes local businesses that may be affected and notifies them of any
public hearing.
District construction must request an impact study for proposed prolonged ramp
closures not formally considered in the planning or design phase. Contact the project
manager to arrange for the study. It is not necessary to restudy impact previously
studied during planning and design unless significant commercial development has
occurred in the area in the interim. Before making a decision to approve a change order
that would result in a prolonged ramp closure, weigh the results of the study with
factors, such as construction costs, travel costs, delay, and safety.
Request an impact study for ramp closures of short duration where the possibility of
adverse results or sufficient public concern exists to identify effects on adjacent
businesses.
2-211 2-211 Informing the Public
Informing the Timely publicity can significantly improve traffic behavior on a construction project. A
Public motorist who is forewarned of construction conditions will be more tolerant of delay
and inconvenience and probably will be more alert and responsive to construction zone
control.
Make information on project road closures, new road openings, traffic rerouting, and
changes in traffic conditions available in advance for local publicity. Follow the
districts instructions for distributing news releases. For guidelines on public
information, see Section 1-206, Relations With the General Public, of this manual.
2-212 2-212 Keeping the Roadway Clear and Clean
Keeping the To ensure safety and convenience, Caltrans or the contractor prepares plans to provide
Roadway Clear unobstructed roadways. Periodic project safety reviews should note deficient areas and
and Clean recommend corrective action by the contractor. During these reviews, examine the
locations of planned roadside obstacles as well as protective safety devices, signs,
striping, detours, falsework, temporary railing, attenuators, and run-off zones. Retain
documentation of these reviews in Category 6, Safety, of the project records.
Frequently, the only exception to an otherwise clean roadside is a localized situation
such as a partially completed drainage structure or a pile of rubble. Do whatever is
necessary to maintain an unobstructed roadside when construction is not in progress.
Keep all traffic control facilities in good repair with a continuing program of
inspection, replacement, and cleaning.
2-213 2-213 Roadways Over Railroad Tracks
Roadway Over When construction activities involve railroad right-of-way or grade crossings, contact
Railroad Tracks the district railroad liaison agent to ensure that all processes are complete and that the
contractor may begin work. The railroad company should be represented at a
preconstruction meeting to discuss the schedule of work over or near railroad facilities.
The district railroad liaison agent must report to the Public Utilities Commission any
proposed detours that include a railroad crossing at grade where the volume of state
highway traffic will materially increase normal traffic using the crossing. Provide the
following information to the district railroad liaison agent who will forward it to the
Public Utilities Commission:

2-2.10 Traffic
The Public Utilities Commission crossing number shown on the railroad crossing
sign.
Existing protection at the crossing.
Date the detour will be put into use and the estimated time it will be in use.
Estimated volume of traffic to be detoured over the crossing.
Whether additional protection is proposed.
If construction involves structure work, send a copy of the above information to the
Office of Structure Design.
Contractors must make their own arrangements with the railroad representative to
move materials or equipment across railroad tracks. If that action is required, a
contractor must obtain a private crossing agreement.
2-214 Transportation Management Plans 2-214
A transportation management plan (TMP) is a program of activities for minimizing or Transportation
alleviating work-related traffic delays by effectively applying traditional traffic- Management Plans
handling practices and innovatively combining various strategies: public awareness
campaigns, motorist information, demand management, incident management, system
management, alternate route planning, and construction methods and staging.
Depending on the complexity of the work or the magnitude of anticipated traffic
impacts, a TMP may provide lane closure charts, standard special provisions for
maintaining traffic, traffic control plans, andfor major projectsa separate
comprehensive report. Caltrans Transportation Management Plan Guidelines
provide more information on the recommended level of detail for TMPs.
2-214A Policy
The Federal Highway Final Rule 23 Code of Federal Regulations 630, Subpart J,
referred to as Work Zone Safety and Mobility, requires Caltrans to adopt a policy
that implements TMPs on all federally funded highway projects. TMPs must be
consistent with the final rule guidelines for developing and implementing the policy.
Caltrans requires TMPs for all planned activities on the state highway system. During
the project initiation or planning stage, Caltrans considers TMP measures with
associated road user costs and additional construction costs to the fullest extent
feasible. TMPs include strategies to minimize work-related traffic delays while
reducing the overall duration of work activities where appropriate. Strategies that may
result in a net reduction of overall delay for motorists include full facility closures,
extended weekend closures, continuous weekday closures, A+B contract
specifications, and performance-based, traffic-handling specifications.
2-214B Definitions
Major lane closuresthose expected to result in significant traffic impacts despite the
implementation of TMPs.
Significant traffic impactan individual traffic delay of 30 minutes or more above
normal travel time during recurring congestion on the existing facility. TMP strategies
are designed to maintain additional delays below this maximum threshold, that is, less
than 15 or 20 minutes. With approval from the District Lane Closure Review
Committee, you may exceed the 30-minute maximum delay.

Traffic 2-2.11
2-214C Responsibilities
The district construction office and the resident engineer must ensure that the
contractors activities are compatible with the TMP that affects the project.
2-214C (1) District Traffic Manager
Acts as the single focal point for all traffic impact decisions resulting from planned
activities on the state highway system.
Determines the extent of a TMP.
Facilitates review and approval of TMP measures and planned lane closure
requests.
Directs the termination or modification of active planned lane closure operations
when traffic impact becomes significant, without compromising traveler or worker
safety.
2-214C (2) TMP Manager
Acts as the single focal point for development and implementation of TMPs.
2-214C (3) Construction Traffic Manager
Serves as a liaison between construction, the DTM, and the TMP manager.
Reviews the TMP and traffic contingency plan for constructability issues.
Acts as a resource for the resident engineer, the DTM, and the TMP manager
during TMP implementation.
Reviews the contractors contingency plan.
2-214C (4) Construction Engineers, Resident Engineers, and Construction
Inspectors
Ensure full implementation of approved TMPs in close coordination with the
DTM so disruption to the traveling public is minimized.
Work with the DTM to ensure that project activities conform to the TMP, that
contingency plans are implemented when necessary, and that disruption to the
traveling public is minimized and does not exceed limits established in the TMP.
Include the district TMP manager, the DTM, and the public information officer as
appropriate in preconstruction or work planning meetings.
Determine when the contractor must submit a construction contingency plan.
Ensure that the contractor is prepared to comply with TMPs related to work
performance.
Notify district communication centers or transportation management centers when
unforeseen traffic impacts result from planned work.
Notify district communication centers or transportation management centers to
report the status of lane closures in a timely manner (when closures are put in
place, picked up, and canceled) to provide accurate information to the public.
Provide specific details when reporting, especially when a planned lane closure
might be picked up late and significant traffic impacts result.

2-2.12 Traffic
Coordinate work activities with the CHP and other local and regional
transportation stakeholders as appropriate.
During construction, district construction directs the implementation of TMP elements
that are part of the main contract or encroachment permit. Contract managers direct
their respective separate contracts or agreements, such as for rideshare activities, transit
activities, and public awareness campaigns.
Give special effort to ensure that changeable message signs, highway advisory radio,
and other media tools provide accurate and timely information to motorists regarding
lane closure times. Caltrans can enforce contractor compliance with lane closure
pickup deadlines in two ways:
A maintaining traffic standard special provision allows assessing the contractor a
contract payment deduction for the value of a traffic delay when the contractor
exceeds the lane closure window. The minimum penalty is $1000 for each 10
minutes, but it can greatly exceed the minimum depending on traffic volumes and
the highway facility. The DTM calculates the delay penalty during PS&E.
The state representative can suspend the contract work.
Caltrans can order a contractor or Caltrans forces (such as maintenance) to pick up a
lane closure early if traffic impacts become significant because of either a project
incident or activities outside the project area. Caltrans should order early pickup only
when traveler and worker safety will not be compromised. The maintaining traffic
special provisions for capital projects provide for compensating contractors for early
pickup. Encroachment permit provisions require the permittee to pick up a closure
early without compensation.
2-214D Construction Contingency Plan
The contractor develops a construction contingency plan to identify operations,
equipment, processes, and materials that may fail and delay opening lane closures. The
contingency plan identifies alternative or additional equipment, materials, or workers
necessary to ensure continuing operations and on-time opening of closures if a problem
occurs. If the equipment, materials, or workers are not onsite, the contingency plan
specifies the method of mobilizing these items and the time required to complete the
mobilization.
Critical pieces of equipment are those necessary to complete the planned work in the
closure, for which no close onsite substitutes exist, and whichif rendered
inoperativewould cause the closure to be kept in place past the pickup time in the
closure charts.
Critical work operations are those performed in a lane, shoulder, or ramp closure that
would make the traveled way unsafe or render any portion of the traveled way
unsuitable for public traffic use. The operations would, therefore, cause the closure to
be kept in place past the pickup time indicated in the closure charts.
The contractor develops a contingency plan and submits it within 1 day of the resident
engineers request or as specified in the standard special provisions. Discuss the
contingency plan at the project partnering or preconstruction meeting.
Samples of operations that may require a contingency plan:
Any activity requiring a full roadway closure

Traffic 2-2.13
Blasting
Rapid-set PCC operations, including PCC slab replacement
Roadway excavations that encroach on the traveled way and are not protected by
K-rail
Cold planing hot mix asphalt for depths of 2 inches or greater
Hot mix asphalt paving
Asphalt or concrete grinding
Chip seal
Asphalt or concrete pavement sealing operations
Bridge work
Placement of reinforcing steel or structural members
Falsework erection or removal, including adjustments
Bridge demolition
Striping
A construction contingency plan describes:
Critical stage for each operation when the alternative or additional equipment,
materials, or workers must be activated.
Communication equipment (for example, cell phones) and procedures to follow
when communicating with the resident engineers field representatives during
contingency plan activation.
Intended amount of work to be done during each lane, shoulder, or ramp closure.
Describe the work by length, width, and unit of measure conforming to the
appropriate progress pay items.
Operation work schedule with a timeline set at 20-minute intervals.
How the contractor will meet the projected rates for material delivery to the jobsite.
Materials produced offsite and delivered to a jobsite, such as asphalt concrete and
concrete, can encounter numerous delays including plant breakdown, loss of
trucking, or trucking delayed by traffic congestion because of accidents or the
project itself.
Beginning and ending times for critical work operations for work conducted in
lane, shoulder, or ramp closure.
A general time-scaled logic diagram displaying the major activities and sequence
of planned operations that comply with special provision requirements.
A set of contingency action plans for each stage of the operations to prevent late
opening of the traffic lanes. Clearly identify early-finish and late-finish milestones
for every major activity. The contingency action plans must include detailed
operations undertaken in case a major activity passes the late-finish milestone.
Anticipated cooling times needed for asphalt concrete pavements before opening a
lane, shoulder, or ramp to public traffic.

2-2.14 Traffic
Anticipated times for beginning the closure pickup.
Anticipated length of time, rounded to the nearest 5 minutes, to pick up the lane,
shoulder, or ramp closures.
Timelines for the contractor and the engineer to meet at the worksite, review
progress, and forecast the time when work will be stopped to open the lane,
shoulder, ramp, or route to the public.
The contractor verifies or updates the contingency plan at the same time as submitting
the written schedule of planned closures. If a revision is required, the contractor should
not close any lanes until the resident engineer has reviewed the contingency plan.
2-215 Construction Zone Enhanced Enforcement Program 2-215
Caltrans and the CHP have an interagency agreement that is the basis for the Construction
Construction Zone Enhanced Enforcement Program (COZEEP). It is an enhancement Zone Enhanced
tool for construction zones and is not intended as a replacement for other temporary Enforcement
traffic control (TTC) measures. Caltrans contracts, procedures, and guidelines form the Program
basis for safe traffic-control measures throughout its construction projects and establish
a baseline for operations statewide. COZEEP is not a baseline measurean important
fact when resources are limited and CHP personnel may not be available when
requested. Under the agreement, Caltrans pays the CHP for furnishing officers and cars
for construction zones.
To implement COZEEP, use the guidelines below, intended to apply COZEEP
resources more uniformly throughout the state. Use the guidelines when determining
when and how to use COZEEP on a project. Document the reasons for COZEEP use.
2-215A COZEEP Funding
Consult your district COZEEP coordinator for a current estimate of hourly and mileage
COZEEP cost.
2-215A (1) Estimating COZEEP Funding Requirements
The project engineer should include the project estimate funds necessary to provide
COZEEP as state-furnished materials and services. The pending file for the project
maintained by the resident engineer should include the basis of that estimate.
The cost estimate used in the plans, specifications, and estimate is based on the
expected number of events needing COZEEP identified during project development.
The cost estimate should include an estimated number of COZEEP service hours and
travel time converted into an equivalent dollar cost.
When estimating COZEEP hours, take the following CHP operating policies into
account:
CHP policy requires two officers in each unit between 10:00 p.m. and 6:00 a.m.
(Caltrans obtained an exception to have one officer per vehicle whenever two or
more units are in close proximity of one another on the same project.)
The CHP memorandum of understanding requires a minimum payment of 4 hours
per officer. Caltrans reimburses CHP officers who provide COZEEP services on
overtime at time and a half.
Time and mileage are based on officers starting and stopping times at their
reporting station and include travel to and from the project.

Traffic 2-2.15
The district COZEEP coordinator will provide current hourly and mileage
reimbursement costs for the project location.
2-215A (2) Redirection of Project Funds
The detailed estimate will show the initial funding level for COZEEP as supplemental
funds for state-furnished materials and services. If additional funds are required during
the life of the project, the resident engineer can transfer available contingency funds to
state-furnished materials and servicesCOZEEP. Likewise, the resident engineer
may transfer unused COZEEP funds to the contingency fund and use them for other
purposes.
2-215A (3) Obtaining Additional Funds
Additional funds may be obtained for capital projects and maintenance funded projects
as follows:
Capital projectsif insufficient funds are available in both supplemental work
funds and contingency funds, propose a fund request. The request may be
processed under the G-12 process or require a California Transportation
Commission supplemental vote. Process, justify, and document the request the
same way as any other fund request.
Maintenance funded projectson maintenance projects, obtain additional funding
through a request to the district maintenance unit.
2-215B COZEEP Responsibilities
The resident engineer and project engineer share responsibilities for COZEEP
implementation and funding allocation.
2-215B (1) Project Engineer
On every project that requires the contractor to close traffic lanes, the project
engineer must assess the need for COZEEP as part of the projects safety review,
constructability review, or both. The project engineer may recommend which
specific construction operations should use COZEEP.
The project engineer should include adequate COZEEP funds in the project
estimate. Look in the resident engineers pending file for design assumptions and
estimate calculations.
2-215B (2) Resident Engineer
The resident engineer must administer the COZEEP program on the project. If
COZEEP services are not available, exercise judgment about whether to allow the
work to proceed. If you do not permit the work to proceed and the controlling
operation is adversely affected, you may grant a time extension in accordance with
Section 8-1.10 [8-1.07], Liquidated Damages, of the 2010 Standard
Specifications.
If the contractor requests additional CHP support beyond what the project plan
includes, you may, if appropriate, write a change order. The contractor bears costs
and expenses for additional support from the CHP, and Caltrans deducts associated
costs from monies due the contractor.

2-2.16 Traffic
When evaluating cost reduction proposals and change orders requested by the
contractor, take into account the costs and savings for COZEEP services.
Initiate and obtain CHP sign-off of Form CEM-2101, COZEEP Daily Report.
At the end of each week, report to the district COZEEP coordinator the COZEEP
services used during that week.
2-215C COZEEP Implementation
Use the following criteria and risk factors to determine when COZEEP is needed on a
project:
2-215C (1) Freeways and Expressways
Provide COZEEP for the following situations:
Day or nighttime temporary closures of all lanes in the same direction of travel
(full freeway closures).
Nighttime closures of two or more lanes on a freeway with three or more lanes of
travel in the same direction.
Other closures determined on a project-specific basis.
Generally, COZEEP is not necessary when only one lane is closed on freeways with
four or more lanes in the same direction of travel.
2-215C (2) Connectors and Ramps
For all lane closures on freeway-to-freeway connectors and for night closures of exit
and entrance ramps, evaluate the risk factors. Daytime ramp closures do not usually
need COZEEP.
2-215C (3) Conventional Highways
For complete highway closures and nighttime closures of one or more lanes on
multilane highways, evaluate project-specific risk factors. In general, lane closures on
two-lane highways and daytime closures on multi-lane highways do not require
COZEEP.
2-215C (4) Risk Factors
The risk factors below are not an all-inclusive list. Safety reviews conducted during the
projects development may identify other risks. If so, also consider these risks in the
decision-making process.
A median barrier, bridge rail, or retaining wall may block worker escape routes.
Lack of escape options increases the likelihood of motorist-involved accidents that
will disrupt traffic flow.
Night construction activities (for example, replacing pavement slab, replacing
bridge joint seals, and replacing pavement markers) that do not create an obvious
construction zone except while operations are in progress create an unexpected
condition for drivers, even those familiar with the highway.
Construction activities such as night paving are a risk factor when they require a
large number of trucks into and out of the work area.
End-of-queue management is desirable at locations where traffic queues are
unavoidable.

Traffic 2-2.17
Speed management is desirable at locations such as rural freeways and
expressways where traffic has been flowing in a high-speed, free-flow way for a
significant period before encountering the work zone.
Rural locations with a high volume of truck traffic, steep downgrades, or both, also
pose a high risk factor.
2-215D COZEEP Administrative Procedures
The following procedures are intended to assist resident engineers in obtaining and
tracking COZEEP services and to help Caltrans reconcile the CHP billing system and
facilitate payment to the CHP.
2-215D (1) Ordering Work
The statewide master agreement for COZEEP requires that all Caltrans requests for
support be received by the supporting CHP area office during normal working hours
and at least 72 hours before the time needed.
2-215D (2) Completing the Task Order
To order work by the CHP, complete and use Form CEM-2102,
COZEEP/MAZEEP Task Order. Before ordering the work, and while preparing
the task order check that:
1. CHP support is appropriate for the type of work to be performed.
2. The request has been submitted in a timely manner.
3. The project has sufficient funds available to pay for the CHP support.
Ensure that the task order, which has five parts, is completely filled out. Most parts
are self-explanatory. In Part 4, identify a Caltrans project supervisor, usually the
resident engineer or an assistant resident engineer.
You may submit a single task order to cover more than 1 day. For example, a
project that will occur on Monday through Thursday for the next week would
require only one task order. Task orders must specify by date and time when a
service is needed.
Once the task order is completed and signed by the Caltrans person requesting the
services, fax or send it to the local CHP area office. The CHP coordinator at the
local CHP area office will complete, sign, and return the form to the Caltrans
construction office.
2-215D (3) Cancellations
If it becomes necessary to cancel the work, write or call the local CHP contact
person listed in Part 4 of the task order as soon as possible. The statewide
agreement requires that cancellations be made during normal working hours and at
least 24 hours before the time that the CHP is to arrive on the project. Also confirm
it in writing using Form CEM-2103, COZEEP/MAZEEP Cancellation Form.
Once contact is made, the CHP coordinator will return the completed cancellation
form.
In accordance with the agreement, cancellations received less than 24 hours before
work is to begin will be charged a cancellation fee ($50). If you cannot contact the
officer in advance and the officer actually reports for duty, the fee will be equal to

2-2.18 Traffic
4 hours of overtime pay. The local CHP contact person will note in the
cancellation form if Caltrans is being charged a cancellation or 4-hour overtime
fee. If the cancellation form indicates a fee is being charged, retain the form in the
project records under Category 21, Construction Zone Enhanced Enforcement
Program, and send a copy to the district COZEEP coordinator.
For more information on cancellations, refer to the current COZEEP agreement.
2-215D (4) Recording Work Performed
When the officer or officers arrive at the project site, the senior CHP uniformed officer
will check in with the Caltrans project supervisor who must initiate form CEM-2101,
COZEEP Daily Report. The daily report number will also be the project identifier
number. In the daily report, enter a description of the services the CHP provided (for
example, traffic breaks, stationary patrol upstream of the work area, or circulating
patrol), and complete the CHP officer and CHP vehicle information. At the end of the
shift, the senior CHP officer onsite must estimate travel time and mileage for each
officer from the project site to the CHP office. Calculate the total estimated travel time
and mileage, and enter the total on the COZEEP daily report. Both the senior officer
and the project supervisor must sign the completed COZEEP daily report.
The CHP has 5 working days to notify Caltrans if the actual travel time, mileage, or
both, are greater than the allowances estimated on the daily report. Submit the CHP
notification to the person who issued the daily report. If a notice of change is received,
attach a copy to your copy of the COZEEP daily report, and submit the original to the
district COZEEP coordinator.
2-215D (5) Tracking Expenditures
Once the district COZEEP coordinator receives the COZEEP daily reports, they must
be logged into the COZEEP service summary to track COZEEP use. A spreadsheet
may be used for the summary.
The CHP will submit the COZEEP service summary electronically for payment with a
confirming hard copy to the district COZEEP coordinator.
2-215D (6) Reconciling the CHP Invoice
CHP invoices will include monthly charges for services provided. The invoice backup
will include the COZEEP service summary and copies of cancellation notices. Invoices
must include the agreement number and be submitted monthly in arrears, in triplicate,
within 60 calendar days of date of service.
The CHP sorts and subtotals the COZEEP service summary by project, including cost
information. Within 45 calendar days of receipt of the invoice, the district COZEEP
coordinator reviews and approves the summary and submits it for payment to the
Caltrans Division of Accounting Services, which uses it as the receiving record for
payment.
During the term of the contract, the CHP may increase or decrease the rates shown in
the contract by notifying the Caltrans statewide contract managers, who will notify the
district coordinators. For this reason, district coordinators should not return an invoice
to the CHP because the billing rates shown on the invoice do not agree with the rates in
the contract. Instead, the district coordinator should contact the statewide contract
manager to verify the correct billing rates.

Traffic 2-2.19
2-215D (7) Problem Resolution
Remove from the COZEEP service summary inconsistencies between the information
Caltrans gives the CHP and the internal information CHP obtains from its payroll
system. Return exceptions to the district and area offices involved for resolution. Make
every effort to resolve disputes at the lowest level (between the resident engineer and
the CHP coordinator at the local CHP area office). If an impasse occurs, the district
COZEEP coordinator and the designated CHP division office contact must act as the
second level of review. The last level of review will be the COZEEP statewide
coordinator.
2-216 2-216 Pedestrian Facilities
Pedestrian Facilities Work zone activities can disrupt the publics mobility and access. Caltrans maintains
safe and convenient access for pedestrians and bicyclists, who are susceptible to
disruptions because of their slower speeds and sensitivity to uneven surfaces, noise,
airborne dust, road debris, and fumes.
Considering the needs and control of all road users is an essential part of highway
construction, utility work, maintenance operations, and the management of traffic
incidents through a TTC zone. Users include motorists, bicyclists, and pedestrians
within the highway, including persons with disabilities, defined by the Americans with
Disabilities Act of 1990 (ADA). The California MUTCD Part 6 contains figures that
can be adapted for traffic-handling plans. Figures 6H-28 and 6H-29, Sidewalk Detour
or Diversion, and Crosswalk Closures and Pedestrian Detours of the California
MUTCD are examples for accommodating the needs and control of pedestrians.
The design phase of a project considers accommodating pedestrians through a TTC.
2-216A Related Caltrans Standards
These Standard Specifications sections apply to pedestrian facilities:
Section 7-1.02A, General, requires the contractor to comply with current laws,
regulations and decrees.
Section 7-1.04, Public Safety, requires that the contractor provide for the safety
of the public during construction.
Section 12, Temporary Traffic Control, directs the contractors attention to the
California MUTCD.
Section 12-7, Temporary Pedestrian Walkways, requires the contractor to
maintain pedestrian access.
Ensure that the contractor adheres to the following:
If the contractors operations require the closure of one accessible pedestrian
facility, provide a travel path that replicates, if possible, the most desirable
characteristics of the existing walkway. Take special care to consider areas in
schools or senior citizen center locations.
When construction affects the pedestrian facility, the contractor should maintain a
continuous unobstructed path connecting existing accessible elements (parking
lots, bus stops, and so forth) through the project.
Provide advanced notification of sidewalk closures.

2-2.20 Traffic
Keep pedestrian facilities clear of obstructions. Traffic control devices, equipment,
and other construction materials and features must not intrude into the usable width
of the sidewalk, temporary pathway, or other pedestrian facility.
In addition to required openings through falsework, provide accessible pedestrian
facilities during pile driving, footing, wall, and other bridge construction
operations where an accessible route was available before construction began.
Provide hand railings on each side of pedestrian walkways as necessary to protect
pedestrian traffic from construction operation hazards. Maintain railings and
walkways in good condition.
Provide protective overhead covering as necessary to ensure protection from
falling objects and dripping from overhead structures.
A pedestrian traffic handling plan may be required if the contract plans do not
identify the affected facility.
The contractor is responsible for accommodating pedestrians through the TTC
whenever the work disrupts pedestrian facilities.
At the preconstruction conference, discuss the need for temporary pedestrian facilities
and ADA requirements. For details related to preconstruction conferences, see Section
5-003, Preconstruction Conference with the Contractor, of this manual.
2-216B Requirements of the California MUTCD
When planning for pedestrians in TTC zones, ensure that the contractor considers the
following items:
Avoid leading pedestrians into conflicts with worksite vehicles, equipment, and
operations and with vehicles moving through or around the worksite.
Provide pedestrians with a reasonably safe, convenient, and accessible path that
replicates as nearly as practical the most desirable characteristics of the existing
sidewalks or footpaths.
When existing pedestrian facilities are disrupted, closed, or relocated in a TTC zone,
the temporary facilities must be detectable and include accessibility features consistent
with those present in the existing pedestrian facility. Refer to Part 6, Chapter 6D of the
California MUTCD. If the pedestrian facility existing before construction began was
accessible to pedestrians with disabilities, the one provided during TTC should also be
accessible.
Do not sever or move a pedestrian route for non-construction activities such as parking
for vehicles and equipment.
Maintain a width of 60 inches throughout the length of the pedestrian pathway. When
it is not possible to maintain a width of 60 inches, provide a 60 x 60-inch passing space
at least every 200 feet to allow individuals in wheelchairs to pass. The path must have a
clear width of no less than 48 inches. Verify that no fixed objects (cabinets, poles, and
so forth) will reduce the path width at any point.
The path must be stable, firm, and slip resistant. Pedestrian facilities must be surfaced
with asphalt concrete, portland cement concrete, or timber. Dirt is not an acceptable
surface.

Traffic 2-2.21
The cross slope must be no greater than 1:50 (2 percent) and the running slope no
greater than 1:20 (5 percent).
Signs and other devices mounted lower than 7 feet above the temporary pedestrian
pathway should not project more than 4 inches into accessible pedestrian facilities.
Refer to Part 6, Section 6D.02 of the California MUTCD. Place a barrier across the full
width of a closed sidewalk. A person with a visual disability traveling with the aid of a
long cane should be able to detect it.
Unless the contractor can provide a reasonably safe route that does not involve crossing
the roadway, use appropriate advance signing to direct pedestrians to cross to the
opposite side of the roadway. In urban and suburban areas with high vehicular traffic
volumes, place the signs at intersections. Midblock worksites should not cause
pedestrians to skirt the worksite or make a midblock crossing. Refer to Part 6, Section
6H, and figures 6H-28 and 6H-29 of the California MUTCD.
Consider separating pedestrian movements from both worksite activity and vehicular
traffic. When pedestrians are routed adjacent to live traffic, provide barrier protection to
prevent vehicles from entering the pedestrian facility.
Do not use tape, rope, or plastic chain strung between devices as controls for pedestrian
movements. They are not detectable by persons with visual disabilities.
Whenever feasible, temporary pedestrian facilities should follow the ADA checklist in
the Temporary Pedestrian Facilities Handbook available at:
http://www.dot.ca.gov/hq/construc/safety/Temporary_Pedestrian_Facilities_
Handbook.pdf
Document the reasons why an item does not follow ADA guidelines.
2-216C Permanent Facilities
Ensure that the contractor constructs permanent new facilities and alterations to
existing facilities in accordance with the contract plans and specifications.
Additional resources for consideration:
Caltrans Design Information Bulletin 82-04, Pedestrian Accessibility Guidelines
for Highway Projects, which addresses requirements for new construction and
alterations of existing facilities.
Standard Plans A88A, A88B, A90A, A90B, ES-4C, ES-5C, and ES-7A.
Contact the district design unit to develop plans to add a permanent facility by change
order.
During the inspection process, check that all contractor-installed finished elements
comply with dimensions and installation requirements.
Do not exceed the maximums shown in the requirements. They are absolute.

2-2.22 Traffic
Section 3 Major Construction Incidents

2-301 General
2-302 Reportable Accidents and Incidents
2-302A Accidents
2-302B Unusual or Extraordinary Construction Occurrences
2-302C Highway Closure Notification
2-303 Reporting Procedures
2-304 Guidelines

Major Construction Incidents 2-3.i
Major
Section 3 Major Construction Incidents Construction
Incidents
2-301 General 2-301
This section provides guidelines for reporting and dealing with accidents and major General
incidents on construction projects. For more detailed guidelines on reporting, see
Chapter 19, Special Reporting of Serious Injury, Illness, or Fatality, of the Caltrans
Safety and Health Manual. The chapter also discusses special reporting for a serious
occupational injury, illness, or fatality connected with employment activity.
2-302 Reportable Accidents and Incidents 2-302
Below are descriptions of accidents and construction incidents to report. Reportable
Accidents and
2-302A Accidents Incidents
Report accidents that:
Have resulted in serious injury to or death of a contractors employee.
Have involved serious injury to or death of a state or a consultant employee.
Have involved serious damage to equipment owned by the state, a consultant, or
the contractor.
Have resulted in the serious injury to or death of a member of the public in the
construction zone or were influenced in any way by construction-related activities,
conditions, equipment, or personnel.
Were catastrophic or have received wide media coverage.
Have involved vehicles entering the active work zone.
Have involved vertical or horizontal clearance issues.
Had no injuries, but had a high potential for being fatal or disabling, such as
falsework or guying system failures, overturned cranes, high-voltage power line
contacts, trench excavation or shoring failures, gas or fuel line fires or explosions,
hazardous utility breaks, and collisions with structures under construction or their
supporting falsework that caused displacement of a major member.
2-302B Unusual or Extraordinary Construction Occurrences
Unusual or extraordinary construction occurrences are reportable incidents that may
not be classified as accidents, such as these:
Disasters that result in major damage to a state facility or project work.
Situations that result in the evacuation of the project, the immediate area, or both.
Any other events that affect the state facility or project work and may generate
media coverage.
Encounters of previously unknown hazardous material on a construction project.

Major Construction Incidents 2-3.1
A hazardous spill on a roadway within construction project limits.
An incident causing major traffic delays.
2-302C Highway Closure Notification
Report routine planned lane closures to the district dispatch center or the traffic
management center (TMC) as required by district policy.
Report to the district dispatch center or the TMC any situation that requires unplanned
closures of traffic lanes or the highway.
If the contractor cannot remove a lane closure by the specified pickup time, notify the
district dispatch center or the TMC before that time. Provide accurate information to
allow the TMC to notify the California Highway Patrol, the media, and the public of
possible delays.
2-303 2-303 Reporting Procedures
Reporting Procedures Immediately report all reportable accidents and major incidents to the district TMC, the
district dispatch center, orwhen TMC or the center is closedthe Caltrans Highway
Information Center. Use Form CEM-0603, Major Construction Incident
Notification.
Email an initial report to [email protected]. The Office of Safety
and Health in the Division of Administrative Services and the Division of Construction
check this email box. Also send copies of the report to the district construction safety
coordinator and district management.
If email is unavailable, fax the form to the numbers at the top of the form, the district
construction safety coordinator, and district management.
When necessary, Form CEM-0603 may also be used to email or fax an updated report
providing supplementary information.
2-304 2-304 Guidelines

Guidelines Caltrans construction personnel who respond to major incidents in construction zones
must do the following:
Take appropriate action without jeopardizing public or employee safety.
Document all incident details paying special attention to traffic controls set up and
the contractors activity at the time of the incident. Take pictures of the jobsite
along the incident location and file them with the incident details in Category 6,
Safety, of the project file.
Provide timely and accurate information to management to document the extent of
the incident and to identify major issues and current actions.
In the event of a closure or restriction, restore the transportation facility to full
operation as quickly as possible.
Mitigate the effect on the public or the project caused by unusual or extraordinary
occurrences.
The district construction deputy director must activate a construction incident response
team when warranted by the sensitivity and severity of a major incident. The teams
principal purpose is to provide incident information to Caltrans managers and the
media. The team enables the resident engineer to focus on restoring the transportation

2-3.2 Major Construction Incidents
system, the project, or both. The team may also advise the resident engineer on
technical matters. The construction engineer heads the team, which may also include:
A representative of the district public relations staff.
Technical personnel from other Caltrans functional areas such as safety, traffic,
structures, design, or environmental.
Report hazardous material encounters and hazardous spills as outlined in 2-303,
Reporting Procedures, earlier in this section. For more information on procedures to
follow in the event of hazardous material encounters or hazardous spills, see Figure
7-1.1, Unknown Hazards Procedures, in Chapter 7, Environmental Stewardship, of
this manual.
As described in Section 2-214D, Construction Contingency Plan, of this manual, the
contractor must have a contingency plan for reopening closed traffic lanes.

Major Construction Incidents 2-3.3
Chapter 3-
General Provisions
Chapter 3 General Provisions
Section 0 Introduction
3-001 Scope
3-002 Purpose

Introduction 3-0.i
Section 0 Introduction Section 0

Introduction
3-001 Scope 3-001
Each section in this chapter of the Construction Manual corresponds to one of the first Scope
nine General Provisions sections of the Standard Specifications. This chapter
contains guidelines and procedures for administering these sections of the Standard
Specifications. The chapter also includes guidelines and procedures for topics within
the scope of the Standard Specifications sections, but not specifically covered by them.
3-002 Purpose 3-002
The purpose of this chapter is to ensure that the General Provisions sections of the Purpose
Standard Specifications are enforced and administered uniformly for all Caltrans
contracts by providing and establishing guidelines and procedures for administering
contracts.
As with the entire manual, this chapter is not part of the contract and places no burden
or obligation on the contractor. It is not a substitute for reading and understanding the
General Provisions. It is, however, necessary reading for resident engineers and others
who assist and support them in contract administration. This chapter answers many
frequently asked questions about the procedures for administering contracts.

Introduction 3-0.1
Section 1 General Section 1

Sections 1-1.06, Abbreviations, and 1-1.07, Definitions, [Section 1] of the General
Standard Specifications define terms, abbreviations, and symbols the specifications use
for units of measure. Section 1 also defines symbols that the engineers estimate uses
for units of measure. The Standard Plans also contain a list of abbreviations and
symbols.
Resident engineers and others preparing contract documents and correspondence must
be familiar with the terms and symbols and use them correctly.

General 3-1.1
Section 2 Bidding
3-201 General
3-202 Advertisement
3-203 Bid Opening
3-204 Communication With Bidders
3-205 Disclosure of Construction Estimates
3-206 Names of Prospective Bidders

Bidding 3-2.i
Section 2 Bidding Section 2

Bidding
3-201 General 3-201
Section 2, Bidding, of the Standard Specifications covers proposal requirements and General
conditions that apply to a contractor bidding on a project. The Office of Office
Engineer must adhere to this sections requirements. District construction personnel
must be familiar with this section, including the contractors responsibilities and
options after bids have been opened.
3-202 Advertisement 3-202
Before the plans and specifications are made available to the public, California law Advertisement
requires publication of contract information in the California State Contracts Register.
Before bid opening, Caltrans will allow a minimum of 3 weeks (more if the project is
complex) for contractors to purchase plans and specifications and prepare their bids.
Emergency projects may have a shortened advertisement period.
3-203 Bid Opening 3-203
For projects in Northern California (Districts 1, 2, 3, 4, 5, 6, 9, and 10), bids open in Bid Opening
Sacramento on Tuesdays and Wednesdays. For projects in Southern California
(Districts 7, 8, 11, and 12), bids open in Irvine in the District 12 headquarters on
Thursdays.
The Division of Procurement and Contracts advertises and opens bids for projects
estimated to be below $270,000, which are designated as minor B. Bids for minor B
projects in Northern California open in Sacramento, while bids for minor B projects in
Southern California open in Irvine.
3-204 Communication With Bidders 3-204
To protect the integrity of the bidding process, no bidder must be given a real or Communication
perceived advantage over any other bidder. Use the following guidelines to ensure that With Bidders
any information provided to one bidder is also provided to all other potential bidders
for a particular project.
Only designated district construction personnel must answer bidder inquiries. The
design engineer, construction field personnel, or other non-designated Caltrans
personnel must never respond to bidder inquiries.
Thoroughly investigate bidder inquiries, and provide timely and conclusive
responses.
Distribute or post written responses to all plan holders by fax, internet, or other
similar means.
Number the responses to facilitate bidder comments and the follow-up questions to
responses. Specify the date responses are posted.

Bidding 3-2.1
Include the following language with all responses published or posted:
Responses to bidder inquiries, unless incorporated into formal
addenda to the contract, are not a part of the contract, and are
provided for the bidders convenience only. In some instances,
the question and answer may represent a summary of the matters
discussed rather than a word-for-word recitation. The availability
or use of information provided in the responses to bidder
inquiries is not to be construed in any way as a waiver of the
provisions of 2-1.30 [2-1.03], Job Site and Document
Examination, of the Standard Specifications or any other
provision of the contract, the plans, Standard Specifications, or
special provisions nor to excuse the contractor from full
compliance with those contract requirements. Bidders are
cautioned that subsequent responses or contract addenda may
affect or vary a response given previously.
Refer directly to the plans, specifications, and other provisions of the contract.
Quote specific sections of the Standard Specifications and special provisions, as
well as specific sheet numbers and details on the plans and Standard Plans.
Ensure conclusive responses. If an inquiry cannot be answered conclusively by
directly referring to the contract provisions and requires some measure of
amplification, confirm the statewide interpretation by consulting with the district
construction office, the Division of Construction, the Division of Engineering
Services, or other program with the necessary knowledge. Give special emphasis
to assessing the need for an addendum. Before giving a response that involves
inquiries regarding construction methods, obtain direction from the district
construction office. Routinely route inquiries and proposed responses through
appropriate support and construction functions. Before bid opening, route all
inquiries and responses to the resident or construction engineer responsible for
administering the project.
If an inquiry indicates the contract should be modified, issue an addendum. Before
publicly posting any referrals to the addendum, issue it. When an addendum is
issued in response to an inquiry, post Per Addendum No.--, dated ___ as the
inquiry response. The district office engineer must notify the Office of Office
Engineer as soon as possible of addenda proposed or under consideration.
Responses to inquiries, whether made orally or in writing, do not become part of or
change the contract. However, they may be used in defending Caltrans or the
contractors position in a dispute when the industry has been given related
knowledge before bidding.
Rarely respond with Bid it as you see it. However, such responses may be
appropriate, depending on the scope of the particular issue, the timing of the bidder
inquiry, and other factors.
It may be impractical to post responses to certain inquiries submitted too close to
the bid opening date. Although you should aggressively pursue the investigation of
all bidder inquiries, Caltrans may consider the particular circumstances and waive
posting a response, if warranted.
Post all responses, including Bid it as you see it responses.

3-2.2 Bidding
Consider written bidder inquiries only when the bidder submits a completed
Bidder Inquiry form when the contract requires one.
Even if the contract does not require written bidder inquiries, Caltrans strongly
encourages using the form to the extent practical because the form helps manage
bidder inquiries and responses. Office of Office Engineer has samples of this form.
3-205 Disclosure of Construction Estimates 3-205
Until bids are opened, the engineers estimate of the cost of each contract item, Disclosure of
supplemental fund allocation, contingency fund allocation, state-furnished materials Construction
allocation, and any other portion of the project estimate are not public information. Estimates
Before bid opening, bidders may know only the total allocated funds available on a
specific project. This information is available for minor A and major projects. The
weekly advertisement for bid listing provides the information either in hard-copy form
or on the internet:
http://www.dot.ca.gov/hq/esc/oe/
To get minor B project funds allocation information, call the Sacramento office at
(916) 227-6075, send a fax request to (916) 227-1950, or use the internet:
http://www.caltrans-opac.ca.gov/refguide.pdf
3-206 Names of Prospective Bidders 3-206

For all projects except minor B construction projects, the names of prospective bidders Names of
can be obtained by requesting a Plan Holders List in writing or by fax from the Prospective Bidders
Caltrans plans counter in Sacramento, fax (916) 654-7028, or from the internet:
http://www.dot.ca.gov/hq/esc/

Bidding 3-2.3
Section 3 Contract Award and Execution

3-301 General
3-302 District Recommendation

Contract Award and Execution 3-3.i
Section 3
Section 3 Contract Award and Execution Contract Award
and Execution
3-301 General 3-301
Section 3, Contract Award and Execution, of the Standard Specifications outlines the General
requirements for award and execution of the contract.
The Office of Office Engineer awards unit prepares and processes the documents
necessary to award or reject a project. Districts recommend award of the contract or
rejection of bids.
Construction is responsible for administration of the contract and generally assumes
this responsibility at the time of award. Section 3-803A, Work Before Contract
Approval, of this manual covers administrative details.
3-302 District Recommendation 3-302
Ready to List and Construction Award Guide, Section 14, District Recommendation District
for Award, describes the district recommendation procedure in detail, including Recommendation
questions to ask contractors.
The district must not reveal the award recommendation to any contractor or external
agency or entity until Engineering Services, Office of Office Engineer makes the final
award decision. The Office of Office Engineer will inform the contractor of Caltrans
decision.

Contract Award and Execution 3-3.1
Section 4 Scope of Work

3-401 Intent
3-402 Materials Found on the Job Site
3-403 Changes and Extra Work
3-403A Work-Character Changes
3-404 Differing Site Conditions
3-404A Types of Differing Site Conditions
3-404A (1) Type 1
3-404A (2) Type 2
3-404B Procedure
3-404C Management Review Committee
3-405 Value Engineering
3-405A Procedure
3-406 Cleanup

Scope of Work 3-4.i
Section 4 Scope of Work Section 4

Scope of Work
3-401 Intent 3-401
The contractor must construct the project in accordance with the contract, including Intent
ordered changes. Be as familiar as the contractor is with the work to be done, and the
commonly accepted practices, customs, and terminology used in the work.
Use judgment when dealing with problems arising from ambiguity or apparent conflict
in the plans and specifications. Review the work from the contractors viewpoint, as
well as the design engineers. Exercise prudence and caution; any interpretation should
be one that a reasonable contractor would obtain from the contract documents. Also,
avoid searching out and using pure technicalities or making unreasonable inferences.
3-402 Use of Materials Found on the Job Site 3-402
Designated selected material takes precedence over the contractors request for the use Use of Materials
of materials found on the job site. Refer to Section 4-1903A (7), Selected Material, Found on the Job
of this manual for more information. Site
The specifications provide that the resident engineers approval is necessary for the
contractor to use materials from within the planned slopes and grade lines. Written
authorization is required for the use of materials outside the planned slope and grade
lines. Approval for the use of materials found on the job site will be given in writing
from the resident engineer; but written authorization to use materials outside of planned
slope and grade lines must be by change order.
The authorization for excavation outside the planned slopes and grade must be justified
as a benefit to Caltrans. Under no circumstances should such work be authorized if it
adversely affects the appearance or function of the planned project.
3-403 Changes and Extra Work 3-403
Project plans, specifications, and other bid documents define the scope of the contract, Changes and Extra
and describe the details for the construction and completion of the whole work Work
contemplated.
Limit changes to those required to complete the work as contemplated at the time the
plans and specifications were approved. Otherwise, the work must be performed by a
separate contract unless authorized as indicated in Section 5-302, Change Order
Policy, of this manual. If proposed changes are not required immediately, consider
performing the work with a separate contract.
If a change must be made, formalize it by executing a change order. Discuss with the
contractor all elements of that change, including the method of compensation and the
effect on contract time. During the discussion, develop full agreement, identify
elements that require negotiation, or identify elements that could lead to protest. Ensure
that the contractor accurately understands all the elements of the change.

Scope of Work 3-4.1
Analyze all proposed changes for environmental considerations, for obligations or
commitments to other agencies, and for effects on the orderly completion of the entire
contract. When a project nears completion, evaluate carefully the effects of changes on
the contracts time of completion. Changes ordered near the contracts completion
could disrupt the contractors schedule and costs. They could also substantially delay
the publics use of the facility and disrupt the planned use of Caltrans forces.
Extra work is any work, desired or performed, but not included in the original contract.
Extra work is not a payment method. Refer to Section 3-9, Payment, and Section 3-
5, Control of Work, of this manual for a discussion of payment methods for extra
work.
Use the specifications definitions of the various bid items if the changed work is extra
work. If the changed work is the same as items included in the contract, make payment
at the bid item price.
If the changed work can be defined as bid items, but the unit cost differs materially,
make payment under the provisions of Section 4-1.05B [4-1.03C], Work-Character
Changes, of the Standard Specifications, rather than for the entire added work as
changed work.
Changed work becomes a part of the contract when added by an approved change
order. The contractor bears the same responsibility for this changed work as for any
other work performed under the contract.
3-403A Work-Character Changes
Before work can be considered a work-character change, an ordered change to the
plans or specifications must occur. If such an ordered change materially increases or
decreases the unit cost of a bid item, then a work-character change has occurred. Work-
character changes are not to be confused with differing site conditions, discussed in
Section 3-404 of this manual.
When calculating the adjustment for a work-character change, the original bid price
bears no relation to the adjustment unless it can be demonstrated that the bid price
actually represents the cost of the work. Section 5-3, Change Orders, of this manual
contains examples of calculations and sample change orders. Also refer to Section
9-1.15 [4-1.03C], Work-Character Changes, of the Standard Specifications and
Section 3-904C, Work-Character Changes, of this manual.
3-404 3-404 Differing Site Conditions
Differing Site A differing site condition clause was initially developed by the federal government in
Conditions the 1920s to protect contractors from excessive risk. The inclusion of the clause
benefits Caltrans by reduced bidding contingencies that may be included by
contractors. The differing site condition clause is required on all federally funded
projects under 23 Code of Federal Regulations 635.109.
When a differing site condition occurs, Section 4-1.06 [5-1.116], Differing Site
Conditions, of the Standard Specifications provides requirements for Caltrans and the
contractor. When a differing site condition arises, contact the district materials unit or
Geotechnical Services.

3-4.2 Scope of Work
3-404A Types of Differing Site Conditions
Two types of differing site conditions are recognized by the contract and are described
as follows:
3-404A (1) Type 1
Type 1 consists of actual subsurface or latent physical conditions materially different
from those indicated or shown in any of the following:
The contract.
Information Handout or supplemental project information, including the logs of
test borings.
Other records of geotechnical data obtained by Caltrans investigation of
subsurface conditions.
Other records of data to the extent they were available to the contractor prior to the
bid opening.
An examination of site conditions above ground.
Examples of differing site conditions that are Type 1 include the following: conditions
that are unknown, shown or not shown in the plans; groundwater elevations lower or
higher; quantity, strength, and sizes of rocks; soil type and contour that is difficult to
excavate; as-built conditions different from the plans; inaccurate log of test borings and
boring locations.
The following are examples that are not differing site conditions: changes that occur
after bidding or contract award such as flooding, normal water table variations,
landslides, illegal dumping, and weather-related events.
Consider the following when determining if a differing site condition is Type 1:
Contract documents must have affirmatively indicated the conditions forming the
basis of the differing site condition.
Contractor must have acted reasonably and prudently in the interpretation of the
contract documents related to the differing site condition.
Contractor must have reasonably relied on the indications in developing its bid at
bid time.
Conditions actually encountered must have differed materially from those
indicated for contracts located in the same area.
Conditions actually encountered must have been reasonably unforeseeable.
Additional claimed cost must be solely attributable to the materially different
conditions by comparative analysis.
3-404A (2) Type 2
Type 2 differing site conditions consist of unknown physical conditions of an unusual
nature that are materially different from those ordinarily encountered and generally
recognized as not inherent in the work provided for in the contract.
Examples of Type 2 differing site conditions include the following: archaeological
finds, hazardous materials, endangered species, unusual buried man-made objects, or a
subsurface boulder found between soil borings showing dune sands only.

Scope of Work 3-4.3
Type 2 differing site conditions are more difficult to prove and are most frequently
asserted by the contractor when there is no soils report data available for comparative
analysis. Consider the plans and specifications when evaluating a Type 2 differing site
condition. Certain designs imply expected conditions; for example, a spread footing
foundation may mean that groundwater will not be present at the footing.
Consider the following three elements when analyzing a Type 2 differing site
condition:
1. Unknown physical condition encountered not inherent in the area.
2. Physical condition at the site is unusual in nature.
3. Materially different than ordinarily encountered in the type of work required by the
contract.
3-404B Procedure
The contractor is required to investigate the site and carefully examine the bid
documents by Section 2-1.30 [2-1.03], Job Site and Document Examination, of the
Standard Specifications. For the contractor to recover damages for a differing site
condition claim, the following steps must be taken:
Before disturbing the conditions, the contractor must provide to the resident
engineer written notice in the form of a request for information. Refer to Section
3-5, Control of Work, of this manual for additional information.
The resident engineer or structure representative must investigate the conditions
and determine if they differ materially and cause an increase or decrease in the cost
or time to do the work. Compare the encountered conditions with the contract
documents as well as the following: the log of test borings; any other records of
geotechnical data obtained by Caltrans investigation of sub-surface conditions; the
materials Information Handout; the site conditions above ground; and other
available records of data. The conditions encountered must either be materially
different from those represented by the bid documents or be materially different
from those normally encountered or inherent in the industry.
The resident engineer must remain alert to the possibility that a differing site condition
may result in a credit to the state. If such a condition is encountered, the resident
engineer must promptly notify the contractor in writing.
The specifications for differing site conditions do not apply to those situations covered
in other sections of the Standard Specifications. For example, those situations found in
Section 5-1.36D [8-1.10], Non-Highway Facilities, and Section 19-1.03D [19-1.04],
Buried Man-Made Objects, are not differing site conditions.
Differing site conditions are not considered work-character changes because the
conditions do not result from ordered changes. However, determine and give
compensation or credit due to differing site conditions in the same manner as work-
character changes. To determine how compensation is made for work-character
changes and for a sample change order, refer to Section 5-3, Change Orders, of this
manual.

3-4.4 Scope of Work
3-404C Management Review Committee
If the resident engineer disagrees with the contractors claim of a differing site
condition, a management review committee is formed to clarify Caltrans position on
the dispute. The management review committee was created to help resident engineers
make an informed decision and resolve differing site condition disputes timely.
The management review committee is composed of the deputy district director of
construction as the chairperson, the structure construction area manager, and the
Division of Constructions field coordinator. Also involve the structure designer on
record, Geotechnical Services, area construction managers, and other subject matter
experts that have expertise with differing site condition disputes.
The process involving the management review committee consists of three steps:
1. Within 5 days of receipt of a supplemental potential claim record pertaining to a
differing site condition dispute, the resident engineer prepares a draft response to
the potential claim record and submits the response to the deputy district director
of construction.
2. The management review committee reviews the resident engineers draft response
and provides any comments within 10 days of receipt of the supplemental potential
claim record. The committee or the contractor can initiate further communication
with the other party during this period to clarify information related to the differing
site condition dispute.
3. Within 20 days of the supplemental potential claim record, the resident engineer
will incorporate any response from the management review committee into the
supplemental potential claim record response and submit it to the contractor.
In addition, follow Sections 3-521C, Potential Claim Records, and 3-521E (1),
Request for Information for Notification of a Possible Differing Site Condition, of
this manual for detailed guidelines and format of potential claim record responses.
3-405 Value Engineering 3-405
Caltrans encourages contractors to develop and implement innovative approaches to Value Engineering
construction projects. When new approaches result in construction cost savings,
Caltrans and the contractor may share the savings in construction cost. Section 4-1.07
[5-1.14], Value Engineering, of the Standard Specifications identifies the method
and procedure for sharing construction cost savings. A contractors proposal made in
accordance with this section of the Standard Specifications is called a value
engineering change proposal (VECP).
Section 4-1.07B [5-1.14], Value Engineering Change Proposal, of the Standard
Specifications applies only to the actual cost of construction. Savings in construction
engineering, maintenance, operations, safety, and traffic services, among other items,
are not eligible for sharing with the contractor. Section 4-1.07C, Value Engineering
Workshop, of the Standard Specifications describes the requirements for a contractor-
requested workshop. The workshops purpose is to identify value-enhancing
opportunities that will reduce the total project cost, time of construction, or traffic
congestion. Items identified in the workshop can be developed into a VECP.

Scope of Work 3-4.5
3-405A Procedure
Following is the VECP procedure:
After discussing the merits of a potential VECP with the resident engineer, the
contractor may submit a written proposal for approval. The initial written proposal
may be preliminary in nature; but for Caltrans to evaluate the anticipated cost
savings or other value enhancement, the proposal must provide enough of the
information required by Section 4-1.07B [5-1.14], Value Engineering Change
Proposal, of the Standard Specifications. Thus, the proposal must include
information regarding the following:
1. Any construction effects related to staging, right-of-way, or environment.
2. Any required permits or permit modifications.
3. Maintenance or enhancement of essential functions or characteristics of the
project such as service life; reliability; economy of operation; ease of
maintenance; desired appearance; conformity to design, safety, and other
applicable standards; and what the deadline is that the contractor requires a
decision be made on the proposal.
Get concurrence from the construction manager that the preliminary written
proposal is acceptable. If acceptable, notify the contractor to submit a complete
proposal. The proposal must have sufficient detail to enable a final review and
approval. The information provided should answer all questions that arose from
Caltrans review of the preliminary proposal. It must also include applicable
calculations, revised plans, and revised specifications. To resolve issues, the
contractor and the resident engineer may need to have additional meetings and
discussions. Before forwarding the proposal for final review by the appropriate
units, ensure the proposal is complete.
With assistance from the resident engineer, the construction engineer coordinates
Caltrans evaluation of the VECP to meet the deadline requested. The review
includes the designer and the project manager. It may be necessary to consult with
additional subject matter experts to aid in the evaluation, such as the structure
designer on record and Geotechnical Services. In addition to the subject matter
experts, the evaluation may also include the Division of Constructions field
coordinator, the construction manager, and the deputy district director or region
division chief of construction.
Consider the following factors in determining whether or not a proposal is
acceptable (do not include any cost benefit resulting from these factors in the
actual computation of net savings in construction costs):
1. Any engineering, environmental, legal or administrative considerations
making the proposal impractical or unacceptable.
2. The relationship of net savings to the cost of evaluating and implementing the
proposal.
3. Any total benefit to the public including construction savings or reduced
engineering costs.
4. Improved operations.
5. Reduced maintenance.

3-4.6 Scope of Work
6. Improved safety and traffic service or other values that clearly favor the
proposal.
Compute the VECP net savings due to the changed work in accordance with the
methods detailed in Section 4-1.05B [4-1.03C], Work-Character Changes, of the
Standard Specifications. The net savings must result from the difference in the
actual cost of doing the work in accordance with the contract plans and
specifications as originally planned and the actual cost of doing the work based on
designs, methods, labor, equipment, and materials as changed by the proposal. In
determining the net savings, exclude from consideration the contractors
engineering and other costs incurred in preparing the proposal. Also exclude
Caltrans cost of evaluating the proposal, including any portion of this effort the
contractor agreed to share.
If the submitted proposal appears acceptable, but Caltrans anticipated engineering
costs are high, the contractor must stipulate in writing a willingness to share such
costs before the proposal will be evaluated further. This willingness must be
stipulated whether or not the proposal is ultimately adopted. Such a letter from the
contractor provides the district with the authority to deduct engineering costs from
progress payments. To record Caltrans engineering costs, proceed as follows:
1. For the phase 3 expenditure authorization, establish a sub-job number.
Establish this number regardless of the proposals subsequent approval or
rejection. Charge all time spent evaluating the proposal to the sub-job number.
2. To provide the means of segregating costs, the district must immediately
prepare and submit for master file the sub-job number. After executing the
change order for the VECP, do not charge construction engineering to the sub-
job number.
3. In conformance with Section 4-1.07B [5-1.14], Value Engineering Change
Proposal, of the Standard Specifications, you may deduct from progress
payments a portion of Caltrans engineering costs for evaluating the VECP.
Use the following method to determine the deduction. If Caltrans engineering
costs (A) exceed Caltrans share (B) of the total computed net savings, deduct
the difference (A minus B) from progress payments. Inform the contractor of
the reason for any deductions.
If the submitted proposal provides for a substantial benefit to the public but no net
savings, a change order may be issued based on public benefit. However, the
change order would not be written as a change order for a VECP but as an
engineer-requested change order.
In accordance with Section 4-1.07B [5-1.14], Value Engineering Change
Proposal, of the Standard Specifications, prepare a change order to authorize the
VECP. For guidance in preparing a change order for a VECP, refer to Section
5-314, Value Engineering Change Proposal, in this manual. Carefully consider
the change orders clauses covering payment to the contractor. In the change order,
resolve all compensation and other issues related to the proposal. Before starting
the authorized work, the contractor must execute and Caltrans must approve the
change order.
If you determine the proposal is not acceptable, you must get concurrence from the
district construction deputy director.

Scope of Work 3-4.7
3-406 3-406 Cleanup
Cleanup Section 4-1.13 [4-1.02], Cleanup, of the Standard Specifications requires the
contractor to clean up the work site. In addition to this general requirement, Section 22,
Finishing Roadway, of the Standard Specifications, contains more detailed
requirements for cleaning the roadway. For more information, refer to Section 4-22,
Finishing Roadway, of this manual.
Before recommending relief of maintenance or acceptance of the contract, ensure the
contractor meets all the requirements for cleaning up the site. Section 4-1.13 [4-1.02] of
the Standard Specifications permits certain construction signs to be left in place until
after contract acceptance. However, before contract acceptance, require the contractor
to remove all construction signs except those necessary to cover work performed on the
last day of the contract.

3-4.8 Scope of Work
Section 5 Control of Work

3-501 General
3-502 Engineers Authority
3-503 Protests
3-504 Partnering
3-505 Order of Work
3-506 Assignment
3-507 Subcontracting
3-507A Amount of Work Subcontracted
3-507B Calculating the Amount of Work Subcontracted
3-507C The Subletting and Subcontracting Fair Practices Act
3-507C (1) Subcontracting in the Bidding Process
3-507C (2) Substitution Process
3-507C (3) Hearing Process for Substitutions
3-507C (3a) Before the Substitution Hearing
3-507C (3b) During the Substitution Hearing
3-507C (3c) After the Substitution Hearing
3-507C (4) Violations of the Subletting and Subcontracting Fair Practices Act
3-507C (5) Hearing Process for Substitution Violations
3-507C (5a) Before the Violation Hearing
3-507C (5b) During the Violation Hearing
3-507C (5c) After the Violation Hearing
3-507D Procedure for Approval or Acknowledgment of Subcontractors
3-508 Representative
3-509 Character of Workers
3-510 Coordination with Other Entities
3-510A Permits Licenses, Agreements, and Certifications
3-510B Contractor-Property Owner Agreement
Example 3-5.1 Agreement Between a Contractor Working on State Facilities and a Real
Property Owner for Acquiring Construction-Related Material From Property
Owners Property
Example 3-5.2 Agreement Between a Contractor Working on State Facilities and a Real
Property Owner for Disposing Construction-Related Material on Property
Owners Property
Example 3-5.3 Sample Approval to Acquire Material From Property Owners Property Letter
Example 3-5.4 Sample Approval for Disposal of Material Outside the Highway Right-of-Way
Letter
3-511 Submittals

Control of Work 3-5.i
3-512 Construction Surveys
3-513 Records
3-514 Noncompliant and Unauthorized Work
3-515 Job Site Appearance
3-516 Areas for Use
3-517 Equipment
3-518 Property and Facility Preservation
3-518A Landscape
3-518B Railroad Property
3-518C Non-highway Facilities
3-518C (1) General
3-518C (2) Duties of the Utility Relocation Resident Engineer
3-519 Maintenance and Protection
3-519A General
3-519B Load Limits
3-519C Damage by Public Traffic
3-520 Maintenance and Protection Relief
3-521 Requests for Information and Potential Claim Records
3-521A General
3-521B Requests for Information
3-521C Potential Claim Records
3-521C (1) Form CEM-6201D, Initial Potential Claim Record
3-521C (1a) Resident Engineers Response to the Initial Potential Claim Record
3-521C (2) Form CEM-6201E, Supplemental Potential Claim Record
3-521C (2a) Resident Engineers Response to the Supplemental Potential Claim Record
3-521C (3) Form CEM-6201F, Full and Final Potential Claim Record
3-521C (3a) Resident Engineers Response to the Full and Final Potential Claim Record
3-521D Documentation Guidelines for Disputes
3-521E Sample Dispute Response Clauses
3-521E (1) Request for Information for Notification of a Possible Differing Site Condition
3-521E (1a) General
3-521E (1b) If No Merit
3-521E (1c) If Merit
3-521E (2) Requests for Information to Protest a Time Adjustment Determination in a Change Order
3-521E (2a) General
3-521E (3) Requests for Information to Protest a Weekly Statement of Working Days
3-521E (3a) General

3-5.ii Control of Work
3-521E (4) Potential Claim Record
3-521E (4a) General
3-521E (4c) Request Additional Information
3-522 Alternative Dispute Resolution Processes
3-522A Partnering
3-522B Dispute Resolution Ladder
3-522B (1) Dispute Resolution LadderEstablishment
3-522B (2) Dispute Resolution LadderOperation
3-522C Dispute Resolution Advisor and Dispute Resolution Board
3-522C (1) Establishment
3-522C (2) DRA or DRB Member Replacement
3-522C (3) Operation
3-522C (3a) Informal Dispute Meetings
3-522C (3b) Traditional Dispute Meetings
3-522C (3c) Dispute Resolution Board Progress Meetings
3-522C (4) DRA or DRB Recommendations and Responses
3-523 Final Inspection and Contract Acceptance
3-523A General
3-523B Contract Acceptance
3-523C Work for Other Agencies or Owners

Control of Work 3-5.iii
Section 5 Control of Work Section 5

Control of Work
3-501 General 3-501
Section 5, Control of Work, of the Standard Specifications, details how contract General
work will be controlled. The proper performance of the contractor and resident
engineer ensure control.
Ensure the contractor provides quality control over the work. During the manufacture
of products and the execution of the project, the contractor performs the actions
necessary to ensure that the work has the required attributes.
Caltrans provides quality assurance. The resident engineer and authorized
representatives sample, test, and inspect the work to determine if the characteristics
conform to the contract requirements within the tolerances specified. When tolerances
are not specified, use judgment to determine if any deviation is allowed consistent with
the trades involved.
Standard Specifications Section 5-1.01, General, requires the contractor to provide
safe and unrestricted access to the work for inspection by Caltrans. The resident
engineer must take full advantage of this access.
The Department of Industrial Relations, Division of Occupational Safety and Health
(Cal/OSHA) establishes standards for safe access to work, and Caltrans enforces them
under Section 7-1.02K(6), Occupational Safety and Health Standards, of the
Standard Specifications.
The cost of providing access for inspection of bid item work is included in the bid item
price. If the contractor is required to construct facilities specifically to provide access
for inspection of extra work, the cost may be included on change order bills. These
costs, however, are limited to only the increased cost of providing inspection for the
extra work, and may not include the access costs which fall under the original item
work.
Never operate the contractors equipment or allow any Caltrans representatives to
operate the contractors equipment. During quality assurance inspections, only the
contractors own equipment operators must operate the equipment.
3-502 Engineers Authority 3-502
The term engineer refers to the resident engineer and authorized representatives. The Engineers
engineer is responsible for contract administration and is authorized to make the final Authority
decision on questions regarding the contract. The engineer must act in accordance with
Caltrans policies and procedures and, in the absence of written policy or procedures,
must exercise judgment within their ability and span of control as established by the
district.

Control of Work 3-5.1
The engineer will focus on the details and methods of performing the work only if one
or more of the following conditions exist:
The details and methods of performing the work are specified.
The essential attribute or end result cannot be measured.
Public safety or convenience is involved.
Otherwise, the details and methods must be left to the contractors discretion.
Resident engineers must report their assignments to all interested parties by submitting
Form CEM-0101, Resident Engineers Report of Assignment. Submit this form as
early as possible.
The resident engineer is the lead for contact and correspondence with the contractor.
3-503 3-503 Protests
Protests Section 5-1.06, Protests, of the Standard Specifications allows the contractor to
protest an engineers decision by submitting a request for information. Protests by the
contractor of weekly statements of working days, change orders, or failure to issue a
change order must be done through a request for information.
3-504 3-504 Partnering
Partnering Partnering allows all parties and stakeholders to establish and maintain cooperative
communication channels and mutually resolve conflicts at the lowest responsible level.
Become familiar with and follow Section 5-1.09, Partnering, of the Standard
Specifications and the Caltrans publication, Field Guide to Partnering on Caltrans
Construction Projects. This publication is available at the partnering website:
http://www.dot.ca.gov/hq/construc/partnering.html
For additional guidance, contact the partnering coordinator in either the district or the
Division of Construction. The names and contract numbers for these coordinators are
available on the partnering website.
Supplemental funds to cover the anticipated partnering costs are included in projects
with an engineers estimate of more than $1 million. To pay for Caltrans share of the
partnering costs, execute a change order using the change order code AUZZ.
Use of a partnering facilitator is recommended on all projects. Use of a partnering
facilitator is required, however, on all projects above $10 million and greater than 100
working days. On projects where Section 8-1.04C, Delayed Start, is included as an
amendment to the Standard Specifications, early selection and use of a partnering
facilitator is required. A list of partnering facilitators is available on the Caltrans
partnering website.
When selecting a partnering facilitator:
Consider the extent of a candidates experience as a partnering facilitator on other
Caltrans projects.
Check with other resident engineers or the partnering coordinator in either the
district or in the Division of Construction for information regarding potential
facilitators.
Interview several facilitators. Do not assume all facilitators are the same. Search
for the right facilitator for the job.

3-5.2 Control of Work
Confirm the full scope and cost of the facilitators work. Not all facilitators
perform the same amount of work and the cost differences for a 1-day session can
range from approximately $5,000 to $15,000. The cost for each session should
include all of the costs of the facility, full payment for the facilitator, materials used
during the session, and all pre- and post-session work. The facilitator should make
an effort to get to know the parties, facilitate the sessions so as to foster a team
dynamic, provide meeting notes, and follow up on any action items discussed at
the meeting.
Ensure the facilitators services include administering monthly project surveys.
The facilitator is allowed to charge for this survey.
3-505 Order of Work 3-505
If the plans or special provisions do not contain a specified sequence of operations, Order of Work
contractors may select their own schedules, provided the planned order of work meets
any dates specified for completion and openings of portions of the work to traffic.
Occasionally, the contractor may submit a proposed modification of the specified order
of work that will be more satisfactory for the works operation. If, in the resident
engineers opinion, Caltrans will benefit as much or more by adopting this proposal as
it would under the specified plan, the contractors plan may be implemented with a
change order requested by the contractor. Caltrans must receive a monetary adjustment
if the contractor has any reduced costs from the change. Also, a contractor may benefit
if a change is proposed and accepted under a change order for a value engineering
change proposal. Refer to Section 3-405, Value Engineering, of this manual and
Section 4-1.07, Value Engineering, of the Standard Specifications.
The resident engineer must recheck the specified plan of operations during the works
progress. Changes in circumstances may necessitate altering the planned sequence and
schedule. Stage construction is often a part of the contract on major projects, and
revised progress schedules may be required as the stages of work develop.
3-506 Assignment 3-506
Upon receipt of a verbal or written contractor request to assign contract work, contract Assignment
payments, or both, provide the contractor with the appropriate contractor action request
forms.
The contractor submits Form CEM-1203, Contractor Action RequestAssignment
of Contract Performance, when the action requested is to assign the contract
performance to another contractor to complete the remainder of the contract work.
The contractor submits Form CEM-1202, Contractor Action RequestChange of
Name/AddressAssignment of Contract Monies, for the following other types of
action requests:
Contractor has a new legal mailing address for correspondence or payments.
Contractor has changed its legal business name.
Contractor is assigning construction payments to another entity (surety, bonding
company, or escrow company, among others). If payments are assigned to another
entity and the remaining contract work is assigned to a new prime contractor, the
contractor must submit Forms CEM-1202 and CEM-1203 to cover both actions.

When the contractor submits the completed notarized forms, review the information
provided for completeness and ensure that only the applicable sections are filled out:
To change the contractor's address from that shown on the contract, only Sections
1, 3, and 5 are required.
To change the contractor's legal business name from that shown on the contract,
only Sections 1, 2, and 5 are required.
To assign contract payment to another contractor, only Sections 1, 4, and 5 are
required.
Adhere to the approval procedures shown on page 2 of Form CEM-1202 and
CEM-1203.
3-507 3-507 Subcontracting
Subcontractor Contractors can use subcontractors on their projects provided the subcontractor and the
prime contractor comply with Section 5-1.13, Subcontracting, of the Standard
Specifications, and with state and federal laws and regulations. The contractor is
required to submit Form CEM-1201, Subcontracting Request, before subcontracted
work starts.
When projects use subcontractors, the resident engineer must focus primarily on:
Always knowing which subcontractors are working on the project and on which
specific items they are working.
Ensuring that listed subcontractors are not improperly removed or replaced.
Ensuring that the prime contractor achieves the subcontracting level pledged when
the contract was awarded to meet requirements of the Disadvantaged Business
Enterprise (DBE), Disabled Veteran Business Enterprise (DVBE), and small
business programs.
Ensuring adherence to the provisions of the Public Contract Code.
For more information on these subcontracting requirements, refer to Section 8-3,
Disadvantaged Business and Disabled Veteran Business Enterprises, of this manual.
3-507A Amount of Work Subcontracted
Section 5-1.13, Subcontracting, of the Standard Specifications, requires that the
prime contractor perform at least 30 percent of work using the contractors own
organization unless a different percentage is specified in the special provisions. This
requirement does not apply if the work is for a building-construction, non-federal-aid
contract.
The percentage of work subcontracted is calculated for first-tier subcontractors only. A
contractors organization includes only workers employed and paid directly by the
prime contractor and only equipment owned or rented by the prime contractor, with or
without operators.
Discuss unusual subcontracting situations with the construction engineer. If the
situation indicates that additional information is necessary but only available through
an inspection of the contractors records, request a copy of the subcontract agreement
from the prime contractor. If a review of the subcontract agreement does not help
resolve the situation, discuss the possibility of an audit with Division of Constructions
field coordinator.

3-507B Calculating the Amount of Work Subcontracted
The contractor must submit Form CEM-1201, Subcontracting Request, stating what
percentage and dollar amount of an item will be subcontracted. The resident engineer
must verify the amount. Any rational method of estimating the amount will be
acceptable; for example:
The percentage of an area, volume, or length.
The portion applicable to material cost.
The portion of labor and equipment cost.
When an entire item is subcontracted, use the prime contractors item bid price as the
dollar amount for the form. When a portion of an item is subcontracted, apply the
percentage of the bid item subcontracted to the prime contractors item bid price as the
dollar amount for the form.
To ensure that the contractor is not requesting approval for a subcontractor other than
those listed in the bid documents, the resident engineer must check the DBE, DVBE,
and small business commitment listings and the list of subcontractors. If a discrepancy
is noted, advise the contractor and ask for an explanation. The resident engineer must
not approve the subcontracting request until the contractor provides an acceptable
explanation.
3-507C The Subletting and Subcontracting Fair Practices Act
3-507C (1) Subcontracting in the Bidding Process
Sections 4100 through 4114 of the Public Contract Code are called the Subletting and
Subcontracting Fair Practices Act (Act) and apply to Caltrans construction projects.
The Act is designed to prevent prime contractors from bid shopping for
subcontractors after bids are opened and the low bidder is known.
The Act requires that subcontracted work in excess of one-half of one percent (0.005)
of the contractors total bid amount or $10,000 (whichever is greater), must be listed in
the prime contractors bid proposal. When a prime contractor fails to list a
subcontractor in its bid, the law requires that the prime contractor must perform the
work with its own forces. The prime contractor may not add an unlisted subcontractor
by requesting a substitution. Exceptions to this requirement are discussed in Public
Contract Code 4107 (c) and Public Contract Code 4109.
For building projects such as a maintenance station or other off-highway project, all
subcontracted work in excess of one-half of 1 percent (0.005) of the contractors total
bid amount must be listed.
Ensure that the listed subcontractor performs the work or that the contractor complies
with the substitution procedures in the Act.
3-507C (2) Substitution Process
To replace a subcontractor listed in the bid documents, the prime contractor must
submit a written request based on the reasons identified in Public Contract Code
Section 4107.
When the prime contractor requests a substitution, proceed as follows:
1. Send the request to the district construction office for review.

2. The district construction office must send a written notice to the listed
subcontractor by certified mail, overnight mail, or fax, informing the listed
subcontractor of the prime contractors request to substitute and the reasons
for the request. The notice must provide the subcontractor 5 business days to
submit a written objection to the substitution.
3. If the listed subcontractor does not file a timely written objection, the resident
engineer must approve the substitution. The resident engineer must approve
the new subcontractor following the guidelines under Section 3-507D,
Procedure for Approval or Acknowledgment of Subcontractors, of this
manual. If the removed subcontractors firm was a listed DBE, DVBE, or
small business, refer to Section 8-3, Disadvantaged Business and Disabled
Veteran Business Enterprises, of this manual for additional steps required in
the process.
4. If the listed subcontractor submits timely written objections to the substitution,
the district must conduct a hearing. Send written notice of the hearing to the
prime contractor and the subcontractor a minimum of 5 business days before
the hearing is conducted. The written notice should include a request that any
substantiating documents be provided before the hearing.
3-507C (3) Hearing Process for Substitutions
The intent of the substitution hearing is to give both parties the opportunity to explain
to the hearing officer why a substitution should or should not occur. Substitution
hearings are conducted informally. Normally, the hearing officer is the district
construction deputy director.
3-507C (3a) Before the Substitution Hearing
Obtain from both parties documents to substantiate the reasons for substitution.
Review all information submitted by both parties and provide copies to the hearing
officer. If the hearing officer believes legal or other assistance may be required
during the substitution or hearing process, the district must contact the construction
field coordinator, who will arrange for such assistance as appropriate.
The hearing officer must develop a line of questioning to ensure that sufficient
evidence exists on which to base a decision about the request.
3-507C (3b) During the Substitution Hearing
Taping or video recording may be used to assist in taking notes but is not required.
The hearing officer should allow each party sufficient time to present its position
and offer a counter argument on the substitution request. List additional supporting
information presented by either party in the hearing notes.
3-507C (3c) After the Substitution Hearing
The hearing officer will issue written findings and a decision on the substitution
request. As soon as possible after the hearing, send a copy of the decision to the
prime contractor and the objecting subcontractor by certified mail with a return
receipt.
Send the Division of Constructions labor compliance manager a copy of the final
decision.

Require the contractor to submit a Form CEM-1201, Subcontracting Request,
for the new subcontractor.
3-507C (4) Violations of the Subletting and Subcontracting Fair Practices Act
The following presents typical examples of some of the more common violations of
the Act by a prime contractor:
Subcontracting additional work to a listed subcontractor where the work was not
originally listed as subcontracted work, and is in excess of the threshold
requirements.
Using a subcontractor not listed at bid time whose dollar value of work is in excess
of the threshold.
Substituting subcontractors without Caltrans consent.
Performing work that the bid documents designated a subcontractor to perform.
If these or any other violations occur, proceed as follows:
Discuss the apparent violations with the construction engineer and the district labor
compliance officer.
If the construction engineer and district labor compliance officer agree that an
apparent violation has occurred, send the prime contractor a certified letter
including the following:
You are in apparent violation of the Subletting and Subcontracting Fair Practices Act,
Sections 4100 through 4114 of the Public Contract Code, for work being performed
on item(s) ____ of Caltrans Contract No. ____. You will be assessed a penalty of
$ ____ as provided in Section 4111 of the Public Contract Code.
If you wish to dispute this apparent violation or the assessed penalty, you must request
a hearing with Caltrans. You will be given 5 days notice of the time and place of the
scheduled hearing in accordance with Section 4110 of the Public Contract Code.
If you do not request a hearing, the penalty will be assessed as a permanent deduction
on the next progress pay estimate.
Send copies of the letter to the subcontractor and to the district labor compliance
officer.
If a contractor requests a hearing, schedule it using the same procedure described
in Section 3-507C (3), Hearing Process for Substitutions, of this manual.
Occasionally, the contractor will list subcontractors that the Act does not require to be
listed. In this case, changes require only an updated subcontracting request to identify
the new subcontractor. For the process, refer to Section 3-507D, Procedure for
Approval or Acknowledgment of Subcontractors, of this manual. If the subcontractor
is a DBE, DVBE, or small business, refer to Section 8-3, Disadvantaged Business and
Disabled Veteran Business Enterprises, of this manual for additional requirements.
3-507C (5) Hearing Process for Substitution Violations
Section 4110 of Public Contract Code requires Caltrans to conduct a hearing for
violations of the Subletting and Subcontracting Fair Practices Act. The intent of the
violation hearing is to determine whether a penalty should be assessed against the

prime contractor for the violations. Each party is entitled to present its arguments on the
alleged violations. The hearing should follow the process outlined below.
3-507C (5a) Before the Violation Hearing
Retain a neutral decision-maker to be the hearing officer. To keep the process as
short as possible, this person would preferably be a Caltrans employee at senior
transportation engineer level or above who is completely out of the chain of
command for the project at issue.
Hire a certified court reporter to transcribe the proceedings. Contact the Division of
Construction labor compliance program manager for assistance with this process.
If necessary, subpoena third parties (the subcontractor, supplier, or others). Contact
the Division of Construction labor compliance program manager for assistance
with this process.
3-507C (5b) During the Violation Hearing
The resident engineer and district labor compliance officer testify under oath to the
facts that led Caltrans to conclude an issue or apparent violation existed. They
should be prepared to provide copies of all documents or other evidence relied on
to reach that conclusion (correspondence, diaries, payroll records, and so forth).
Caltrans should provide the original documents. Conclusions drawn from the
documents can be summarized verbally as testimony.
The hearing officer will conduct direct and cross examination of witnesses under
oath.
The hearing officer will accept any documents provided by each party and have
the court reporter place them into the record as part of the certified transcript. The
hearing officer will verbally verify that documents were received by noting what
they are and assigning them an exhibit number.
The hearing officer will ensure that the only issue addressed at the hearing is the
violation of the Act (for example, not a DVBE violation or labor compliance
issue). For violations of DBE, DVBE, or small business requirements, refer to
Section 8-3, Disadvantaged Business and Disabled Veteran Business
Enterprises, of this manual.
3-507C (5c) After the Violation Hearing
The hearing officer must evaluate the evidence provided at the hearing and render
a decision on the violation within 10 days of the hearing.
If the prime contractor is found to be in violation of the Act, the contractor must be
assessed a penalty, taken as an administrative deduction, ranging from 0 to 10
percent of the subcontract amount. The hearing officer will determine the penalty
amount, which will vary depending on the circumstances involved. The hearing
officers finding is the final Caltrans administrative decision on the application and
enforcement of the Act.
Send the decision to the contractor and, if applicable, the subcontractor. Send a
copy to the Division of Construction, which may refer the violation to the
Contractors State License Board according to Section 4111 of the Subletting and
Subcontracting Fair Practices Act.
Deduct the penalty amount from the next estimate.

3-507D Procedure for Approval or Acknowledgment of Subcontractors
The resident engineer has the responsibility of approving subcontractors on federally
funded projects and acknowledging subcontractors on state-financed projects. In
general, approving or acknowledging subcontractors is necessary for only first-tier
subcontractors. The contractor must submit Form CEM-1201, Subcontracting
Request, to request subcontracting of contract work. When the contract is awarded,
the contractor receives a blank Form CEM-1201, Subcontracting Request. Provide
additional blank forms to the contractor when necessary. The last page of the form
contains instructions for completing the form.
Upon receipt of Form CEM-1201, and before approving the contractors request, do
the following:
Check the contractors portion of the form to confirm that the listed subcontractors
and work percentages match the bid documents.
Verify that subcontractors are not on the Department of Industrial Relations (DIR)
debarred contractors list available at:
http://www.dir.ca.gov/dlse/debar.html
Complete lines 1 through 9.
Verify that subcontractors comply with the DBE, DVBE, and small business goals
submitted by the contractor before contract award. Ensure that no conflict exists
between DBE, DVBE, and small business requirements and the listing
requirements of the Act.
If the contractors request meets all the requirements, sign, date, and distribute the
form as indicated on the form.
Process the requests in the order of the request number since lines 2 and 6 contain
running balances based on the percentage of work required. Follow the forms
instructions to complete the rest of the form.
3-508 Representative 3-508
As required by Section 5-1.16 [5-1.06], Representative, of the Standard Representative
Specifications, contractors, including those in a joint venture, must name in writing
one authorized representative and provide the representatives contact information.
Resident engineers must insist that contractors meet this requirement promptly. If the
contractors representatives from a joint venture disagree with each other, the resident
engineer can contractually refuse to deal with more than one representative.
3-509 Character of Workers 3-509
Caltrans policy calls for a work environment with zero tolerance for violence, threats, Character of
harassment, and intimidation. This policy also applies to any subcontractor or Workers
employee of a contractor in their dealings with Caltrans personnel. Caltrans may
discharge a worker from the project for engaging in any of these actions. Refer to
Section 5-1.17 [5-1.12], Character of Workers, of the Standard Specifications for
more information.
If possible, notify the workers supervisor and discuss the decision to remove a worker
before or as soon as possible after issuing the directive. The contractor may request
reinstatement of the worker. If so, the resident engineer conducts a meeting with the
construction engineer, the contractors authorized representative, andat the

contractors discretionthe affected worker, to discuss the reason for removing the
worker and the contractors request for reinstatement.
None of these procedures affect the engineers authority to direct the removal of a
worker from the project.
3-510 3-510 Coordination with Other Entities
Coordination with Section 5-1.20, Coordination with Other Entities, of the Standard Specifications
Other Entities requires the contractor to coordinate with other contractors or entities at or near the job
site and materials sources to avoid delays.
3-510A Permits, Licenses, Agreements, and Certifications
The contractor is to possess all required permits, licenses, agreements, and
certifications (PLAC) before starting the work covered by them. Ensure that the
contractor maintains a copy of the required PLAC at the job site.
Unless the necessary PLAC needed to enable the contractor to use a possible local
material source or disposal site are included in the Information Handout, the
contractor must obtain them at no cost to Caltrans even if the agreement made between
Caltrans and the property owner is included in the Information Handout.
3-510B Contractor-Property Owner Agreement
If the contractor is proposing to use a non-commercial material source or disposal site,
ensure the contractor has met the requirements of Sections 5-1.20A, General,
5-1.20B [7-1.13], Permits, Licenses, Agreements, and Certifications, and 6-2.04
[6-2], Local Materials, of the Standard Specifications.
Arrange a joint meeting with the contractor and agencies that have jurisdiction over the
use of the site to discuss the work and the required documentation to be submitted. This
documentation may include permits, environmental studies, grading plans, Stormwater
Pollution Prevention Plan (SWPPP), and other items.
Provide the contractor with a copy of the appropriate sample agreement. The contractor
may use one of the sample agreements below or provide an equivalent agreement:
Example 3-5.1, Agreement Between a Contractor Working on State Facilities and
a Real Property Owner for Acquiring Construction-Related Material from Property
Owners Property
Example 3-5.2, Agreement Between a Contractor Working on State Facilities and
a Real Property Owner for Disposing Construction-Related Material on Property
Owners Property
After the contractor and property owner enter into an agreement and obtain all required
documentation, the contractor must submit these for approval. After review and
verification of the adequacy of the contractors submittals, provide written approval to
the contractor to use the site. Refer to Examples 3-5.3 and 3-5.4 for approval letter
samples.
In those cases when Caltrans has made prior arrangements by designating a disposal or
borrow site and entering into an agreement with a private property owner for disposal,
removal, or excavation of material, the designated sites may be made available for
contractors use as discussed in Section 7-103L, Disposal, Staging, and Borrow Sites,
of this manual. In accordance with Section 5-1.20B, Permits, Licenses, Agreements,
and Certifications, of the Standard Specifications, the contractor must comply with

the provisions of the Caltrans-owner agreement if the contractor uses the site or the
contractor may make a new agreement with the property owner.
When the contractor makes a new agreement with the property owner which revises
the terms of the Caltrans-owner agreements, the new agreement supersedes the
Caltrans-owner agreement. Review the new agreement to ensure that Caltrans is
relieved of its obligations under the terms of the original agreement.
Under some agreements, Caltrans will directly pay the owner of the material or
disposal site. Payment must be made to the owner and royalties deducted from
payments to the contractor. In the case of county-consummated agreements, royalties
usually are deducted in a similar way.
Before contract acceptance, Section 5-1.20B(4), Contractor-Property Owner
Agreement, of the Standard Specifications requires the contractor to submit a
document signed by the owner of the site indicating that the contractor has
satisfactorily complied with the provisions of the agreement. If the owner is not
satisfied, determine what additional work is necessary before recommending
acceptance of the contract and advise the contractor accordingly. Do not delay
recommending acceptance of the contract if you determine that the contractor has
complied with the terms of the agreement.
An agreement between the contractor and a property owner regarding staging, disposal,
removal, or borrow of material outside of the right-of-way is not required if the site is a
commercial facility.
For the disposal of waste material in a commercial landfill or treatment facility, verify
the permit status of the landfill or treatment facility by accessing the California Water
Resources Control Board or Department of Toxic Substances Control websites:
http://www.waterboards.ca.gov/water_issues/programs/#permit
http://www.dtsc.ca.gov/HazardousWaste/
Alternatively, contact the facility to obtain a copy of the facilitys permit.

Example 3-5.1. (1 of 2)
AGREEMENT BETWEEN A CONTRACTOR WORKING ON STATE FACILITIES AND A REAL

PROPERTY OWNER FOR ACQUIRING CONSTRUCTION-RELATED MATERIAL FROM
PROPERTY OWNERS PROPERTY
Contract No.: ____________________________

County/Route/Mile post: _____________________________
The contractor, ______________________________________________, (Contractor) has entered into Contract
No. _______________ (Contract), with the State of California, Department of Transportation (Department), for
work that is described as follows:
_____________________________________________________________________________________________
____________________________________________________________________________________ (Project).
The owner, _________________________________________________, (Owner) of the real property (Property)
located at _____________________________________________________________________________________
(for example, address, location, county and parcel number(s), project station(s), offsets, and other property location
information) agrees to allow the Contractor to remove from the Owners Property approximately _____ cubic yards of
______________________ (such as soil, aggregate, asphalt grindings, or other material) (Material) for use on the
Project.
Owner agrees that the Contractor has assumed ownership of the Material once it is removed from the Property.
Contractor and Owner agree to abide by the requirements of Section 5-1.20, Coordination with Other Entities, of the
Standard Specifications. The Standard Specifications are available at:
http://www.dot.ca.gov/hq/esc/oe/standards.php
Contractor and Owner agree to obtain and furnish to the Departments engineer, all necessary permits, licenses,
agreements, and clearances prior to removing Material from the Property.
By submission of this agreement to the Departments engineer, Contractor and Owner are acknowledging that they
have been informed, or otherwise apprised, of all restrictions, laws and permit requirements associated with the
transporting and removal of the Material from the Property and have agreed to abide by the same. These laws
include but are not limited to:
Local OrdinancesGrading permits for the grading, filling, excavation, storage, or disposal of soil or earthen
material.
California Fish and Game Code (Section 1602), Lake or Stream Bed Alteration AgreementA permit required
prior to the removal or placement of material in a location where it can pass into waters of the state, directly or
indirectly, through causes such as erosion or maintenance.

Example 3-5.1. Agreement Between a Contractor Working on State Facilities and a Real Property
Owner for Acquiring Construction-Related Material From Property Owners Property (2 of 2)
California Fish and Game Code (Section 5650)A prohibition against the deposition of petroleum products
(including asphalt), or any material deleterious to fish, plants, or birds where it can pass into the waters of the
state.
Federal Clean Water Act (Sections 301 and 402), General Permit for Discharges of Storm Water Associated
with Construction ActivityA permit is required prior to soil disturbance of an area of one acre or more.
Federal Clean Water Act (Section 404), Permit for Discharge of Dredged or Fill MaterialA permit from the
United States Army Corps of Engineers may be required for the discharge of fill material into waters of the
United States including wetlands.
State Contract Act, aggregate sources must comply with the Surface Mining and Reclamation Act of 1975
(SMARA).
Owner and Contractor agree that the Material will be excavated, removed, and transported, and the Property left in
a manner that will not cause injury or harm to any person or property. If an injury or harm does occur to any person
or property or should any environmental impacts or litigation arise as a result of the excavation, removal,
transportation, deposition, or the final form in which the Property is left, the Contractor agrees to indemnify,
defend, protect, and hold harmless the Department in any action in law or equity in accordance with Section
7-1.05, Indemnification, of the Standard Specifications.
Pursuant to Section 5-1.20B(4),Contractor-Property Owner Agreement, of the Standard Specifications, Owner

acknowledges Contractor will submit this agreement to the Department as evidence that the Owner has authorized
the use of the Property as a Material source for the Project. Owner acknowledges that the Contractor is not
authorized to make any representations or agreements on behalf of the Department. Contractor and Owner agree
that the Department is released from any and all obligations to Owner made by Contractor under this agreement
and the Department is released from any and all obligations to Owner under any prior agreement made between
the Department and Owner.
Owner and Contractor acknowledge that they have had the opportunity to receive independent legal advice with
respect to the meaning, implications, and advisability of entering into and executing this agreement.
Date: _______________ ___________________________________________________________

(Signature of Property Owner)
Date: _______________ ___________________________________________________________

(Signature of Contractors Authorized Representative)

Example 3-5.2. (1 of 2)
AGREEMENT BETWEEN A CONTRACTOR WORKING ON STATE FACILITIES AND A REAL

PROPERTY OWNER FOR DISPOSING CONSTRUCTION-RELATED MATERIAL ON
PROPERTY OWNERS PROPERTY
Contract No.: ____________________________

County/Route/Mile post: _____________________________
The contractor, ______________________________________________, (Contractor) has entered into Contract No.
_______________ (Contract), with the State of California, Department of Transportation (Department), for work that
is described as follows:
______________________________________________________________________________________________
____________________________________________________________________________________ (Project).
The owner, _________________________________________________, (Owner) of the real property (Property)
located
at____________________________________________________________________________________________
(for example, address, location, county and parcel number(s), project station(s), offsets, and other property location
information) agrees to allow the Contractor to dispose on the Owners Property approximately _____ cubic yards of
______________________ (such as soil, aggregate, asphalt grindings, or other material) (Material) generated from
the Project.
Owner agrees that the Contractor has assumed ownership from the Department of the Material that is being
deposited on the Property.
Contractor and Owner agree to abide by the requirements of Section 5-1.20, Coordination with Other Entities, of the
Standard Specifications. The Standard Specifications are available at:
http://www.dot.ca.gov/hq/esc/oe/standards.php
Contractor and Owner agree to obtain and furnish to the Departments engineer, all necessary permits, licenses,
agreements, and clearances prior to placing Material on the Property.
By submission of this agreement to the Departments engineer, Contractor and Owner are acknowledging that they
have been informed, or otherwise apprised, of all restrictions, laws and permit requirements associated with the
transporting and placement of the Material on the Property and have agreed to abide by the same. These laws include
but are not limited to:
Local OrdinancesGrading permits for the grading, filling, excavation, storage, or disposal of soil or earthen
material.
California Fish and Game Code (Section 1602), Lake or Stream Bed Alteration AgreementA permit required
prior to the removal or placement of material in a location where it can pass into waters of the state, directly or
indirectly, through causes such as erosion or maintenance.

Example 3-5.2. Agreement Between a Contractor Working on State Facilities and a Real Property
Owner for Disposing Construction-Related Material on Property Owners Property (2 of 2)
California Fish and Game Code (Section 5650)A prohibition against the deposition of petroleum products
(including asphalt), or any material deleterious to fish, plants, or birds where it can pass into the waters of the
state.
Federal Clean Water Act (Sections 301 and 402), General Permit for Discharges of Storm Water Associated
with Construction ActivityA permit is required prior to soil disturbance of an area of one acre or more.
Federal Clean Water Act (Section 404), Permit for Discharge of Dredged or Fill MaterialA permit from the
United States Army Corps of Engineers may be required for the discharge of fill material into waters of the
United States including wetlands.
Owner and Contractor agree that the Material will be transported, deposited, and left in a manner that will not
cause injury or harm to any person or property. If an injury or harm does occur to any person or property or
should any environmental impacts or litigation arise as a result of the excavation, removal, transportation,
deposition, or the final form in which the Property is left, the Contractor, agrees to indemnify, defend, protect, and
hold harmless the Department in any action in law or equity in accordance with Section 7-1.05, Indemnification,
of the Standard Specifications regardless of the manner or form of the action.
Pursuant to Section 5-1.20B(4),Contractor-Property Owner Agreement, of the Standard Specifications, Owner

acknowledges Contractor will submit this agreement to the Department as evidence that the Owner has
authorized the placement of the Material on the Property. Owner acknowledges that the Contractor is not
authorized to make any representations or agreements on behalf of the Department. Contractor and Owner agree
that the Department is released from any and all obligations to Owner made by Contractor under this agreement
and the Department is released for any and all obligations to Owner under any prior agreement made between
the Department and Owner.
Owner and Contractor acknowledge that they have had the opportunity to receive independent legal advice with
respect to the meaning, implications, and advisability of entering into and executing this agreement.
Date: ________________ ____________________________________________________________

(Signature of Property Owner)
Date: ________________ ____________________________________________________________

(Signature of Contractors Authorized Representative per Std Spec 5-1.16)

Example 3-5.3. Sample Approval to Acquire Material From Property Owners Property Letter
STATE OF CALIFORNIACALIFORNIA STATE TRANSPORTATION AGENCY EDMUND G. BROWN Jr., Governor
DIVISION OF CONSTRUCTION
[Resident Engineers Address]
[City, CA Postal Zip Code] Serious drought
Help save water!
[PHONE (Area Code) xxx-xxxx]
[FAX (Area Code) xxx-xxxx]
TTY 711
www.dot.ca.gov
Date: [Month dd, yyyy]
[Contractors Name]
[Address]
[City, State ZIP]
Subject: Approval to Acquire Material From [property owners name and address]
Dear [contractor name]:
In accordance with the provisions of Sections 5-1.20, Coordination With Other Entities and 6-2.04,
Local Materials, of the Standard Specifications, you are authorized to remove [insert number]
cubic yards of [type of material] (Material) from [property owner name]s property located at
[property address]. According to the submitted agreement, [contractor name] and [property owner]
have represented all necessary permits, licenses, and clearances were obtained and submitted before
the removal of the Material and have released the Department of Transportation (Department) from
any obligations resulting from its removal.
The Department does not warrant or guarantee that the Material is of any particular type or is
suitable for any particular purpose.
The agreement also includes [contractor]s and [property owner]s promise to hold the Department
harmless from all claims for injury to persons or damage to property resulting from the disposal. The
contractor shall comply with all parts of the contract including Section 7-1.06, Insurance, and 7-
1.05, Indemnification, of the Standard Specifications. [Contractor name] shall defend, indemnify,
and save harmless the state from any and all claims, demands, causes of action, damages, costs,
expenses, actual attorneys fees, losses or liabilities, in law or in equity arising out or in connection
with [contractor name]s performance of this contract including acquiring material from [property
owner name]s property.
Sincerely,
[Name of resident engineer]
c:
bc:
Provide a safe, sustainable, integrated and efficient transportation system

to enhance Californias economy and livability

Example 3-5.4. Sample Approval for Disposal of Material Outside the Highway
Right-of-Way Letter
[City, CA Postal Zip Code] Serious drought
Help save water!
[PHONE (Area Code) xxx-xxxx]
TTY 711
www.dot.ca.gov
[Contractors Name]
[Address]
[City, State ZIP]
Subject: Approval for Disposal of Material Outside the Highway Right-of-Way
Dear [contractor name]:
In accordance with the provisions of Sections 5-1.20, Coordination With Other Entities, of the
Standard Specifications, you are authorized to dispose of [insert number] cubic yards of [type of
material] (Material) to [property owner name]s property. According to the submitted agreement,
[contractor name] and [property owner] have represented all necessary permits, licenses, and
clearances were obtained and submitted before the disposal of the Material and have released the
Department of Transportation (Department) from any obligations from its disposal.
The Department does not warrant or guarantee that the Material is of any particular type or is
suitable for any particular purpose.
The contractor shall comply with all parts of the contract including Sections 7-1.06, Insurance, and
7-1.05, Indemnification, of the Standard Specifications. [Contractor name] shall defend, indemnify,
and save harmless the state from any and all claims, demands, causes of action, damages, costs,
expenses, actual attorneys fees, losses or liabilities, in law or in equity arising out or in connection
with [contractor name]s performance of this contract including disposing material on [property owner
name]s property.
Sincerely,
c:
bc:

3-511 3-511 Submittals
Submittals The contract may require that plans, working drawings, or samples be submitted to the
engineer for authorization. Submittals are considered either action submittals or
informational submittals.
Action submittals consist of written and graphic information and samples that require
the engineers response. The engineer reviews the submittals, makes corrections, or
sends the submittals back to the contractor for correction.
Informational submittals consist of written information required to be provided before
the affected work can start, but they do not require a response by the engineer.
Caltrans has a procedure for authorizing plan submittals for facilities which were
designed by the Office of Structure Design. Resident engineers should review this
procedure if the work includes such facilities. To view this procedure, refer to
Section 132, Miscellaneous Buildings, of Bridge Construction Records and
Procedures, Volume 2. Pumping plants and electrical and mechanical equipment use a
similar procedure. Districts must establish procedures for facilities designed by the
district.
In addition, the contract may require that plans and calculations be submitted to the
resident engineer for review and authorization for falsework, shoring, and bridge
demolition. Refer to Sections 120, 122, and 124, respectively, of the manual Bridge
Construction Records and Procedures, Volume 2, for guidelines for the review and
approval process.
3-512 3-512 Construction Surveys
Construction Section 5-1.26, Construction Surveys, of the Standard Specifications requires
Surveys Caltrans to place stakes and marks necessary to permit satisfactory completion of the
work. For information on construction surveys, refer to Chapter 12, Construction
Surveys, of the Caltrans Surveys Manual.
The district surveys unit will set the construction marks and stakes when the area is
ready and will start setting marks and stakes within 2 business days of receiving the
request for construction stakes.
3-513 3-513 Records
Records Section 5-1.27, Records, of the Standard Specifications requires the contractor to
retain project records for at least 3 years after final project payment or resolution of any
claims, whichever is later.
These records must be available for inspection, copying, and auditing by state
representatives, and must be segregated by work cost categories:
Bid item work.
Change order work that is not extra work.
Extra work.
Work performed under a potential claim record.
Overhead.
Subcontractors, suppliers, owner-operators, and professional services.

This section also requires the contractor to use the Caltrans internet change order
billing system. Provide training within 30 days of a contractors request, and help the
contractors representative establish an account after receiving the training.
3-514 Noncompliant and Unauthorized Work 3-514
Section 5-1.30 [5-1.09], Noncompliant and Unauthorized Work, of the Standard Noncompliant
Specifications, specifies the contractors responsibility for rejected or unauthorized and Unauthorized
work and for the removal and replacement of material that does not meet specification Work
requirements.
Unauthorized work includes excavation outside planned slopes and below the grading
plane. Unless an approved change order authorizes such excavation, do not permit it.
Except for material that is permitted to remain in place under the specifications for
contract compliance and operating range, reject material represented by a test
result not meeting the specified requirement.
Ensure the rejected material gets removed and replaced or remedied in some other
manner if it is appropriate. When rejected material is remedied, it may remain in place
only if the resident engineer gives written approval. In most cases, the approval
requires a contractor-requested change order. For example, a change order would be
necessary to approve a contractors proposal to remedy out-of-specification aggregate
base by adding more aggregate to material deposited previously. A change order is
necessary in this situation because the remedy requires a change in specifications.
However, the resident engineers written approval is not required when the remedy is
specified, such as the remedy for damaged galvanizing of pipe or guardrail.
For all material used in the work, make the payment in accordance with the
specifications. As an alternative to removal and replacement, do not allow
noncompliant material to remain in place without contract payment, unless the
specifications, in consideration of operating range and contract compliance, or an
approved change order, provide for such action.
3-515 Job Site Appearance 3-515
Section 5-1.31, Job Site Appearance, of the Standard Specifications requires the Job Site
contractor to keep the job site neat and includes provisions for disposal of debris. Appearance
3-516 Areas for Use 3-516
Section 5-1.32, Areas for Use, of the Standard Specifications allows the contractor to Areas for Use
occupy the highway only for purposes necessary to perform the work unless
arrangements are made with Caltrans for temporary storage. The contractor has no
right to make use of the property or to allow others to use it when such use is not
reasonably necessary to perform the required work. For example, residency trailers
must not be placed within the right-of-way, although one trailer may be allowed for
yard security purposes if the engineer approves temporary storage within the right-of-
way.
Prohibit any use of a Caltrans right-of-way that conflicts with the above requirements.
If a contractor requests the use of the highway for temporary storage or for any unusual
or complicated situations, discuss the request with the construction field coordinator.
The contractor may enter into a rental agreement to use state-owned property outside
the right-of-way.

Also, usable property under bridges or viaducts or other property that cannot be sold as
excess, but can be leased, is classified as non-operating right-of-way (also known as
airspace). Each district involved with the development of such property has
established an inventory. The special provisions will normally cover the use, or
prohibit the use, of non-operating right-of-way by the contractor. When the use of an
airspace parcel is not part of the contract and a contractor later requests such use, the
contractor must negotiate a lease for the parcel. A standard form is used for the lease
and calls for payment based on fair market value. No special consideration will be
given because the lessee is performing Caltrans work. Also, all normal provisions
requiring insurance and parcel protection will be enforced.
3-517 3-517 Equipment
Equipment Section 5-1.33 [5-1.10], Equipment, of the Standard Specifications, requires each
piece of equipment to have a number stamped or stenciled on it. The identifying
number should further be referenced to the license plate issued for the piece of
equipment. The additional reference is especially important in the case of tractor and
trailer combinations where the tractor may pull different trailers on separate occasions.
Use the identifying numbers to keep records of working and idle time for both
equipment and operators, including, among other items, contract items, extra work,
move in and out, and plant erecting. Some items of work will require more complete
records than other items. Determine which items of work need these records and how
much detail will be necessary. Records of this kind are also required for costs when the
quantity of certain contract items runs over 125 percent or under 75 percent of the
estimated quantity.
Do not instruct the contractors employees in equipment operation because the
contractor may interpret suggestions as the resident engineers direct orders. Caltrans
personnel must also not adjust the contractors equipment or ride on equipment other
than that designed for personnel transportation or as required to inspect specific
features of the work.
3-518 3-518 Property and Facility Preservation
Property and Section 5-1.36 [7-1.11], Property and Facility Preservation, of the Standard
Facility Specifications makes the contractor responsible for protecting and preserving all
Preservation property involved in the project, including underground facilities and other facilities
which are not openly visible. The resident engineer must be diligent in determining and
pointing out the existence of property Caltrans knows about, especially underground
facilities and other facilities which are not openly visible. For information about
locating and protecting underground utilities, refer to Section 3-518C, Non-
Highway Facilities, of this manual.
Ensure that the contractor does everything required under the contract to protect and
preserve property. The contractor may be required to install temporary safeguards to
protect existing facilities. However, the contractors responsibility includes only what
is necessary to protect against damage by construction activity.
If a facility was not sufficiently protected and it is damaged, the contractor is
responsible for replacing it with material of equal or better quality.
Ensure that the contractor does not begin any excavation without first contacting the
regional notification center.

3-518A Landscape
The plans and specifications may require that certain trees, shrubs, and other vegetation
be preserved. Ensure that the contractor is aware of all plant life to be protected.
If any permanent protection is ordered, pay for this work as for any other ordered
additional work.
3-518B Railroad Property
Ensure the contractors operations do not interfere with railroad operations. Do not
allow the contractors operations to encroach on the railroad right-of-way unless it is
specifically allowed by the contract. If work is required on or affecting the railroad
right-of-way, the railroad requires a railroad flagger be present.
For any excavations on or affecting railroad property, ensure the contractor submits
work plans showing the protection system to be used. The district railroad coordinator
is Caltrans liaison with the railroad and should submit the work plans to the railroad
for approval. The review time for these work plans is 65 days.
3-518C Non-Highway Facilities
3-518C (1) General
In some instances, utilities will be relocated or abandoned to clear the right-of-way
before construction of a highway project. A utility relocation resident engineer is
assigned to coordinate and inspect utility relocation that is being done to clear the right-
of-way before construction. Once the resident engineer is assigned to a project, they
assume the responsibility of the utility relocation resident engineer. Make contact with
all of the affected utility owners to facilitate the coordination of the work with the
contractors activities.
The district right-of-way unit, acting through the district utility coordinator, is
responsible for making changes to notice to owner forms and right-of-way
agreements. The district right-of-way unit must also make all decisions about financial
liability between Caltrans and the owner for utility work. Send change orders involving
utility work to the district utility coordinator for concurrence.
3-518C (2) Duties of the Utility Relocation Resident Engineer
The utility relocation resident engineer must perform the following duties:
Review all documents for the utility relocation work, including the notice to
owner forms, encroachment permits, special provisions, contract plans, and
correspondence about utilities not shown on the plans.
Check the location of proposed and existing utility installations for possible
conflicts with the proposed construction of the highway project.
Determine whether Caltrans or the utility will establish necessary survey control
and establish lines and grades. If Caltrans is responsible for these items, ensure that
necessary lines and grades are properly established so that relocation crews can
efficiently pursue the work. For possible conflicts, compare all facilities with
available plans. Also, spot-check survey marks at critical locations for possible
conflicts. Require changes where necessary.
If utility relocation or abandonment is to occur before the highway project starts
and there is sufficient time for entries to be made before contract advertising,

submit to the district utility coordinator any changes or notices of newly
discovered facilities and enter them on the contract plans or in the special
provisions. Document in the resident engineers pending file the changes or new
facilities that cannot be included in the contract before advertising.
If utility relocation or abandonment is to occur concurrent with the highway
project, include utility owners and the district utility coordinator in preconstruction
conferences with the contractor. On larger projects with a number of utility
relocations, it is advisable to schedule a separate meeting for each owner. In these
meetings, discuss:
1. Special provision requirements.
2. The contractors schedule as it affects relocation work, project safety, and
traffic control.
3. Potential problems.
4. Keep records of such meetings, and confirm any decisions made through
letters to all parties.
Before allowing any change in the planned location of a utility facility or any
excavation to determine the location of underground utility facilities, ensure that
such action complies with the Policy on High and Low Risk Underground
Facilities Within Highway Rights of Way in Appendix LL of the Project
Development Procedures Manual.
The district utility coordinator will advise the resident engineer when utility
relocation work warrants full-time inspection. Keep records of utility relocation
work on Form CEM-4601, Assistant Resident Engineers Daily Report. When
inspection is full-time, keep records for the following as complete as possible:
1. Number of workers
2. Equipment description
3. Hours worked
4. Materials salvaged
When inspection is part-time, record all detail consistent with observed activity. At
a later date, the district right-of-way unit will request these records to verify the
utility owners final bill.
Keep the contractor advised of any utility work that will require a change in the
contractors work activities. Keep detailed records of any alleged or actual right-of-
way delays related to utilities. Make recommendations to the district on any
requests for time adjustments resulting from such delays. Refer to Section
3-804A (2), Change Order Time Adjustments (Center Block), of this manual for
procedures for time extensions.
The contractor is required to notify the resident engineer in writing of discovery of
an underground facility not indicated on the plans or in the special provisions. In
the absence of written notification from the contractor, document the location of
the underground facility and include this documentation in a written confirmation
sent to the contractor.
Whenever the contractor has not received prior indication of an existing facility,
change orders, including the repair of any damage, will be considered for approval.

However, Caltrans will not pay for the repair of damage caused by negligence after
the contractor was notified of the existence of a utility facility.
Whenever underground facilities are discovered and they are not shown in the
plans or the special provisions, notify the district utility coordinator. Instead of
relocating the underground facility, the parties involved may reach an agreement
with the utility owner about satisfactory protection of the facility before the
contractor begins any physical work. If the contractor must protect the utility
facility, prepare a change order to cover the payment for such work. The term
protection work, as used in contract administration, must include any work
necessary to ensure the utilitys service, reliability, and ability to operate at
approximately the same level as before any disturbance from construction
activities. This work may include exploration to find exact locations, placement of
barricades or warning devices, shoring, or even temporary bypass facilities or
permanent relocation. However, this protection work will not include facility
repairs for damage resulting from negligent equipment operation around properly
protected facilities.
Notify the district utility coordinator immediately when a utility facility is in
conflict with the planned work. Follow up the notification in writing. Include
drawings or plan sheets showing the location of the existing facility, the affected
work, recommended action, and the estimated date when the conflict will begin to
affect the contractors work activities and time of completion. The district utility
coordinator must arrange relocation work necessary to resolve the conflict.
Determine whether facilities shown on the plans or specifications are being
adequately protected from damage as required by the contract. Notify the
contractor in writing of any inadequacies.
When judging the extent of compliance required by the specifications, take into
account the type of facility involved. Consider such things as the consequences of
a potential accident. When consequences involve life and limb, do not permit work
in such areas unless the contractor has made physical checks of the facility
location. When working around hazardous facilities, do not assume takeoffs from
plans are accurate whether the plans were prepared by Caltrans or the utility
owner.
3-519 Maintenance and Protection 3-519
Maintenance and
3-519A General
Protection
Section 5-1.37 [6-1.03, 7-1.02, 7-1.08, 7-1.16], Maintenance and Protection, of the
Standard Specifications requires the contractor to maintain and protect the work until
Caltrans has granted maintenance and protection relief or has accepted the contract.
This section also requires the contractor to prevent construction equipment that exceeds
legal maximum weight limits from operating on completed or existing treated base,
pavement, or structures.
If the highway in question is a state highway, Caltrans maintenance forces will
maintain the part of the existing highway outside of the limits necessary to construct
the bid item work. If the highway in question (or highway part) is under the control of a
local authority, either the local authority or Caltrans maintenance forces will maintain
the part of the existing highway outside the limits necessary to construct the bid item

work in accordance with the maintenance agreement between Caltrans and the local
authority.
The maintenance area supervisor or area superintendent and the resident engineer must
have a clear understanding of which portions of the highway Caltrans maintenance
forces will continue to maintain during the projects construction. The following
guidelines should be used when discussing roadway maintenance:
If new work is required on an existing highway, the owner (Caltrans or the local
authority) will continue to maintain the highway or portions of it until the
contractor takes possession by erecting signs or begins bid item work. The owner
will resume maintaining the highway or portions of it when the contractor is
relieved from maintenance responsibility under Section 5-1.38, Maintenance and
Protection Relief, of the Standard Specifications.
Often, on widening or improvement projects, existing highway facilities will be
located outside the areas of work where no alterations, modifications, or
replacements are planned. In these cases, except for repair of damage because of
the contractors operations, the owner will maintain the highway facility. If the
new work consists of widening the existing highways pavement or roadbed and
the contractors operations are restricted to a portion of the width of the roadway,
the owner will continue maintaining the balance of the width.
If damage caused by the public occurs to an existing facility within the
construction limits and the work required to repair the damage is similar to the
work being done by the contractor, the contractor may do the repairs.
In case of emergency conditions within construction limits, the maintenance area
supervisor and the resident engineer should determine how to address the
condition quickly and safely.
Pay as extra work any work done by the contractor to maintain and repair damage
to existing facilities (except for damage the contractor caused).
3-519B Load Limits
Except for special conditions described in Section 5-1.37, Maintenance and
Protection, of the Standard Specifications, all equipment hauling material over roads
or streets open to public traffic to, from, or within the project must comply with weight
limitations required by the Vehicle Code Division 15. If the contractor wishes to move
equipment which exceeds the size or weight limits, the contractor must provide
necessary protective measures and repair any damage resulting from those overloads.
Refer to the Bridge Construction Records and Procedures manual when the contractor
requests moving or placing overloads on structures.
To enforce weight limitations for overloads hauled over public roads and streets,
follow the procedure outlined below:
The assistant resident engineer receiving a weight slip indicating an overload may
accept a load that is not more than 200 pounds over the legal gross weight.
However, advise the contractor immediately that if the violation continues,
Caltrans will refuse to accept such loads and will notify the California Highway
Patrol.

When a weight slip indicates that a load is more than 200 pounds over the legal
gross weight, reject the load and notify the California Highway Patrol that
overloads are being hauled.
Prohibit rejected material from being used in the work unless the load is reduced
and is again weighed to ensure the legal gross vehicle weight.
Record the identification of rejected weight slips in the daily report.
3-519C Damage by Public Traffic
Only in some cases will Caltrans pay to repair damage to completed permanent
facilities caused by public traffic. Completed permanent facilities are any features
constructed by the contractor that will become a permanent part of the project. Unless
specifically provided for, Caltrans will not pay for damage to temporary facilities such
as falsework and forms.
The facility need not be 100 percent complete for the contractor to be compensated, but
it must be functional. Caltrans must not pay for damage from public traffic to facilities
that are not considered functional yet. For example, guardrail posts or guide marker
posts or a bridge still supported by falsework would not be considered functional.
However, for a concrete barrier that only requires a specified light abrasive blast finish,
Caltrans may pay for damage caused by public traffic because the barrier is functional.
Following are guidelines for determining payment for damage by public traffic:
Whenever the resident engineer orders the pavement or deck of a structure opened
to public traffic, the contractor is relieved of responsibility for damage to the
completed permanent facilities caused by public traffic. The contractor will be
relieved of responsibility whether the opening to public traffic occurs before the
scheduled opening time, occurs as the natural sequence of events, or occurs as the
result of a contract specification. The contractor will be relieved of responsibility
for damage to completed permanent facilities caused by public traffic whether
traffic is placed on new alignment not previously used by traffic or traffic is placed
on new resurfacing opened after daily closures. Compensation for damage caused
by public traffic is appropriate if the completed surfacing consists of an asphalt
concrete base or leveling course.
If the contractor requests an opening ahead of the normal schedule, the following
applies:
1. When the opening does not conform to the specified or shown order of work,
it must be covered by a change order approved by headquarters, in accordance
with Section 5-3, Change Orders, of this manual. If Caltrans will not
compensate the contractor for damage to completed permanent facilities, the
change order must state this fact.
2. When the opening does not conform to the specified or shown order of work,
the resident engineer will normally base approval or disapproval of the change
order on an evaluation of the benefit to public traffic. If the benefit is
substantial, it is appropriate to approve the change order and compensation in
accordance with Sections 5-1.38, Maintenance and Protection Relief,
5-1.39, Damage Repair and Restoration, and 7-1.03, Public Convenience,
of the Standard Specifications. If measurable benefits accrue to the contractor,
ensure the change order provides a credit to Caltrans.

3. If the benefits to public traffic are borderline or negligible, it is appropriate to
approve the change order under the condition that the contractor be
responsible for damage caused by public traffic. The contractor must
acknowledge the condition in writing. Again, if measurable benefits accrue to
the contractor, include a credit to Caltrans in the change order.
4. If good reason exists for doing so, the resident engineer can refuse to approve
a proposed opening.
Except as provided for in Section 5-1.38, Maintenance and Protection Relief, of
the Standard Specifications, Caltrans will not relieve the contractor from
responsibility for damage to completed permanent facilities if the contractor never
does the following:
1. Moves public traffic from the existing traveled way.
2. Places public traffic on new pavement.
When the contract temporarily routes public traffic closer to the facilities than the
traffic will be after completion of the work, the contractor will be relieved of
responsibility for damage to the completed permanent facilities caused by public
traffic. For example, Caltrans will relieve the contractor of responsibility if damage
occurs to a completed guardrail at the edge of the shoulder when the plans or special
provisions require public traffic to be temporarily placed on the shoulder to facilitate
construction.
3-520 3-520 Maintenance and Protection Relief
Maintenance and The contractor may be relieved from maintaining and protecting certain completed
Protection Relief portions or sections of the work under conditions specified in Section 5-1.38 [7-1.15],
Maintenance and Protection Relief, of the Standard Specifications.
Caltrans policy recommends relief for only those portions of the work specifically
mentioned in the specifications unless a request for relief fully justifies exceptions.
For completed roadways, the specified length of 0.3 miles is the minimum practical
length of completed main roadway on which to recommend relief from maintenance
and protection. However, shorter units of completed work, such as on-ramps, off-
ramps, frontage roads, or approaches to under-crossings and overcrossings, may also
be eligible for maintenance and protection relief.
Do not recommend relief from maintenance and protection on a 0.3-mile section with
exceptions within that length unless you provide a valid reason to support the
recommendation. Exceptions must be defined in terms of longitudinal sections of
highway or certain specified areas. For example, it is unacceptable to recommend
maintenance and protection relief for a total project except for the inlet ditch to the right
of stations 20+00 to 25+00. It is acceptable to recommend relief for the total project
except for stations 15+00 to 27+00 (the section of highway that could be affected by
the uncompleted ditch to the right of stations 20+00 to 25+00).
Completed bridges or other major structures may also receive maintenance and
protection relief. For purposes of relief from maintenance and protection, the following
describes what constitutes a bridge or other major structure:
Section 1.07 [1], Definitions, of the Standard Specifications says a structure will
be considered a bridge if the plans or other portions of the contract so identify it.

Other structures to be considered of major importance are culverts in excess of
6.5 feet in diameter or of approximate equivalent area.
A facility not meeting the above criteria will be considered of major importance
only if its final cost exceeds 5 percent of the original total bid for all of the bid
items (including mobilization).
Projects with noncontiguous locations may be accepted location by location,
provided the work at each requested location is complete. Noncontiguous areas of
work outside the right-of-way on major projects may also be accepted if the
procedures outlined in Section 3-523C, Work for Other Agencies or Owners, of
this manual have been followed.
Maintenance and protection relief excuses the contractor from responsibility for repair
of damage from causes other than those resulting from the contractors own operations
or from the contractors negligence. Before recommending a request for maintenance
and protection relief, determine that the requested work will not be damaged as a result
of incomplete adjoining work. For example, a roadway section may be complete while
an upstream culvert remains incomplete. Water flowing past the uncompleted culvert
may damage a portion of the requested roadway section.
Before recommending maintenance and protection relief, analyze each situation
critically to determine if it qualifies in all respects. Indiscriminate recommendations for
relief from maintenance and protection must not jeopardize the projects proper
completion. Once the contractor is relieved from maintaining and protecting a portion
of the work, the contractor cannot be required to do more work on it except by
agreement or to remedy defective work or materials.
If the engineer has any doubts about the requested areas eligibility, deny the
contractors request for relief from maintenance and protection. Inform the contractor
in writing so no doubt exists as to the status of the contractors request and the nature of
uncompleted work. Section 5-1.38, Maintenance and Protection Relief, of the
Standard Specifications states that the portion of work must have been completed
under the contract and to the engineers satisfaction before it becomes eligible for
maintenance and protection relief.
For landscape projects, the contract usually includes a special provision to allow
granting relief from maintenance and protection for items not directly connected with
plant establishment work or highway planting and irrigation systems. The special
provisions could grant relief from maintenance and protection for typical items of work
such as asphalt concrete placed as island paving or sidewalks and seal coats placed on
islands, curbs, and fences. In many cases, these items would not have a direct bearing
on the success or failure of plant establishment, and it is unreasonable to require the
contractor to maintain them.
However, to be consistent with the policy for non-landscape contracts, this type of
relief from maintenance and responsibility will be granted for an entire group of items,
not item by item. An item that protects the planting or is involved in plant
establishment should not be submitted for maintenance and protection relief. This
category typically includes planter boxes, sprinkler systems, header boards, or mesh.
Safety roadside rest areas will not be accepted item by item but may be recommended
as completed units.

Maintenance and protection relief denotes recognition of completed work. Therefore,
the resident engineer must conduct a maintenance review of areas that will be granted
maintenance and protection relief. Also, recommendations for this action on work for
other public agencies or owners require the concurrence of these agencies and owners.
Before recommending relief from maintenance and protection on such portions of the
work, complete the procedures outlined in Section 3-523C, Work for Other Agencies
or Owners, of this manual. In the communication recommending relief, include a
statement that the agency authorities concur or, in the absence of such concurrence,
include justification for relief.
For requests for relief from maintenance and protection, use Form CEM-0501, Relief
from Maintenance.
3-521 3-521 Requests for Information and Potential Claim Records
Requests for
3-521A General
Information and
Potential Claim During the course of the project, and up to receiving the proposed final estimate, the
Records contractor must submit a contract dispute or protest in the form of a request for
information. If the request for information leads to a dispute, the contractor must follow
the three-part potential claim process specified in the contract. The three parts of the
potential claim process are the initial potential claim record, the supplemental potential
claim record, and the full and final potential claim record.
Ensure that on all claims-related documents, the date and time of receipt and the name
of the person who received it are noted.
Ensure that the request for information and potential claim documents are complete
and timely. If the information is incomplete, notify the contractor of the deficiencies
and request that the contractor resubmit the document with the complete information. If
the contractor failed to submit the request for information or potential claim record
within the specified time, notify the contractor that the submittal was not timely and
state that this failure to comply with the procedure provided for in the contract is a
waiver of the potential claim, a waiver of the right to a corresponding claim for the
disputed work, and a bar to arbitration.
Some sample dispute response clauses are located in Section 3-521E, Sample Dispute
Response Clauses, of this manual.
3-521B Requests for Information
The contractor may submit a request for information at any time to clarify contract
provisions, notify the resident engineer of a change in condition, or file a protest. The
request for information must be in writing and delivered to the resident engineer (in
person, by mail, or by email) by the contractor.
Using a request for information, the contractor may protest an approved change order
not executed by the contractor, compensation for work specified in the change order,
adjustment of contract time, weekly statement of working days, progress payment,
delays, liquidated damages, or any decision by the resident engineer.
Note that not all requests for information will result in a potential claim.
Upon receipt of a request for information used as a protest, however, the resident
engineer starts a section in Category 62, Disputes, of the project records. Additional

information, including related documents and correspondence will be included in this
section.
The resident engineer references the contractors request for information and must
respond in writing within the time specified in the contract. A response should include
acknowledgement that the request for information was received and may include the
information requested, an invitation for further discussion, a request for clarification, or
the anticipated date for a complete response.
3-521C Potential Claim Records
The contractor submits a written potential claim record when the contractor believes
additional compensation is due in accordance with Section 5-1.43 [9-1.04], Potential
Claims and Dispute Resolution, of the Standard Specifications. Follow the potential
claim record process when protested issues and disputes are not resolved.
The contractor provides a unique identification number for each potential claim
submitted. For supplemental potential claim records and full and final potential claim
records, the contractor must certify each form with reference to the False Claims Act,
Government Code Section 1265012655.
If a supplemental potential claim record or a full and final potential claim record is
received without this certification or is otherwise incomplete or incorrectly filled out,
notify the contractor in writing that it was not submitted in accordance with
Section 5-1.43, Potential Claims and Dispute Resolution, of the Standard
Specifications and that the contractor is allowed 15 days to correct the deficiencies or
withdraw the potential claim. If the corrected record is not provided in the required
time, notify the contractor in writing that Caltrans will not consider the potential claim.
Discuss this latter notification with the construction engineer.
If the nature, circumstances, or basis of the claim differs from the prior potential claim
record, reject the record and return it with a letter indicating which component has
changed.
3-521C (1) Form CEM-6201D, Initial Potential Claim Record
The initial potential claim record provides a notification to Caltrans of a disputed issue.
This record provides the nature and circumstances of the dispute and gives the parties
the opportunity to mitigate the associated costs with the goal of an early resolution.
When the contractors initial potential claim record is not timely, Caltrans may be
disadvantaged by limiting available corrective actions. The timeliness of the original
initial potential claim record is one of the many considerations in evaluating a
contractors protest, especially when quantifying the contractors damages and
compensation requests.
3-521C (1a) Resident Engineers Response to the Initial Potential Claim Record
The resident engineers response to the initial potential claim record acknowledges the
dispute, directs the contractor on how to proceed with the disputed issue, and informs
the contractor of the contractual time requirements to submit the supplemental and full
and final potential claim record.
The resident engineer must determine if the contractors dispute has merit. If the
dispute does have merit, the resident engineer must take appropriate action within the
scope of the contract and within the resident engineers authority to resolve the dispute.
If the resident engineer cannot resolve the dispute or lacks the authority to act, the

resident engineer should discuss the issue with the construction engineer and the
structure construction engineer, if appropriate.
3-521C (2) Form CEM-6201E, Supplemental Potential Claim Record
The supplemental potential claim record provides justification for additional
compensation and adjustments with references to the appropriate provisions of the
contract. The record must also include the estimated costs and impacts to the schedule.
The contractor must update the cost estimate or the impact to the schedule as soon as a
change is recognized.
Upon receipt of Form CEM-6201E, Supplemental Potential Claim Record, analyze
the contractors potential claim. This may involve discussing the potential claim with
peers, subject matter experts, and district management.
Potential claims involving differing site conditions that lack merit must also include an
internal review by a management review committee as referenced in Section 3-404,
Differing Site Conditions, of this manual.
3-521C (2a) Resident Engineers Response to the Supplemental Potential Claim
Record
Ensure the supplemental potential claim record is timely and is submitted on Form
CEM-6201E, Supplemental Potential Claim Record.
Once you receive a complete potential claim record submittal, evaluate it and provide a
detailed response letter to the contractor within the time specified in the contract. The
response letter must include the following sections:
BackgroundExplain the circumstances that led to the dispute. Include only
information such as events, dates, discussions, meetings, memos, and letters.
Contractors PositionBase the position on the information provided in the
contractors supplemental potential claim record. Use direct quotes from the
information provided by the contractor without attempting to interpret or clarify
them.
Resident Engineers PositionState the merits of the potential claim clearly and
concisely. Fully document the contract requirements such as permits, plans,
specifications, and other requirements supporting the findings.
When the potential claim has no merit, remind the contractor of the option to further
pursue the potential claim as specified in the contract. Inform the contractor of the
contractual time requirements for the alternative dispute resolution procedures and for
submitting the full and final potential claim record.
When properly prepared, the response letter serves as the basis for the preliminary
construction claim findings.
Follow the guidelines in Section 3-521D, Documentation Guidelines for Disputes,
later in this section.
3-521C (3) Form CEM-6201F, Full and Final Potential Claim Record
Upon receipt of Form CEM-6201F, Full and Final Potential Claim Record, evaluate
it and respond within the time specified in the contract. Do not respond to the
contractor if the full and final potential claim record is submitted after contract

acceptance. Review and consider the information before processing the proposed final
estimate.
3-521C (3a) Resident Engineers Response to the Full and Final Potential Claim
Record
The requirements and format for the resident engineers response to the full and final
potential claim record are the same as outlined in Section 3-521C (2a), Resident
Engineers Response to the Supplemental Potential Claim Record. Refer also to
Section 3-521D, Documentation Guidelines for Disputes, later in this section.
3-521D Documentation Guidelines for Disputes
The following are guidelines for keeping records and responding to requests for
information and potential claim records:
Ensure that reports and documents are factual and accurate. Use specific
statements in daily reports. An entry such as, Told the contractor that . . . is not
satisfactory, whereas I told Foreman Smith that... is satisfactory. A general
conclusion about the effect of a conversation is not helpful; a statement of the
conversation is better.
Answer letters containing questionable or erroneous statements made by the
contractor in writing by refuting or correcting the contractors statement.
Do not hesitate to put orders and decisions in writing. Confirm any important
statement about the unacceptability of the work in writing. Before ordering the
contractor to proceed with extra or additional work, obtain approval. If the
contractor verbally informs you of a dispute, advise the contractor to comply with
the applicable requirements of the Standard Specifications. Include this verbal
discussion in the resident engineers daily report.
Identify the issue and try to come to agreement with the contractor on a brief
description of the dispute. Identify areas of agreement and disagreement within the
issue. This will help to minimize the peripheral items clouding the core of the
dispute.
The engineers response to the contractors supplemental potential claim record
will serve as the basis for the Caltrans position paper in alternative dispute
resolution proceedings.
Focus on costs specific to the dispute, but do not discuss any funding availability,
such as project contingency balance, with the contractor.
If a dispute arises during the works progress, keep accurate records of the
operations to eliminate subsequent arguments related to work costs. During the
progress of the disputed work, make regular tentative agreements for the labor,
equipment, or material quantities involved.
Take preconstruction and project progress photographs. Photographs and videos
are valuable in confirming job conditions at a particular point in time. Dated
pictures of areas where work is not underway may be as important as pictures of
construction operations or completed work.
Record the full names of all the contractors personnel involved in any dispute.
These individuals may need to be located later. Information such as full names and
addresses of the contractors personnel are contained in the certified payrolls.

Record equipment information such as description, model number, contractors
equipment number, size, and capacity to help calculate and confirm costs
associated with disputes.
Category 62, Disputes, of the project records must contain copies of all documents
related to every dispute on the project including progress schedules. This information
provides the basis for preparing the preliminary construction claim findings. Follow the
procedures outlined in Section 5-102, Organization of Project Documents, of this
manual to provide a good basis for documenting claims.
3-521E Sample Dispute Response Clauses
Use the following sample clauses in responses to requests for information and potential
claim records. Edit the clauses to fit the specific situation.
3-521E (1) Request for Information for Notification of a Possible Differing Site
Condition
3-521E (1a) General
I have received your request for information dated [insert date] providing notification
of a possible differing site condition encountered at [give location]. It is my
understanding that you believe the material encountered differs materially from that
shown on the plans or is considered to be of an unusual nature
I have investigated the material and the contract documents [specify which
documents], and have found that the material does not vary from that shown on the
contract documents. Therefore, no additional cost or extension of contract time is
warranted to complete the work.
If you still believe a differing site condition exists, follow the procedures and
processes described in Sections 5-1.42, Requests for Information, and 5-1.43,
Potential Claims and Dispute Resolution, of the Standard Specifications.
I have investigated the material and the contract documents [specify which
documents], and have found that the material does vary from that shown on the
contract documents. Therefore, additional cost or extension of contract time may be
warranted to complete the work.
Please furnish me with the additional costs that may result from the increased work as
a result of this differing site condition.
3-521E (2) Requests for Information to Protest a Time Adjustment Determination
in a Change Order
Use the following clauses in your response to a protest of time determination in a
change order:
3-521E (2a) General
I have received your request for information dated [insert date] to protest the time
adjustment under change order no. [x]. I understand that you are protesting the
determination of [y] working days time extension for this change and you believe you
are entitled to [z] working days time extension.

My review of change order no. [x], anticipated work, and the progress schedule
indicates that the work required by the change order does not impact the controlling
operation [if a CPM review was performed substitute critical path for controlling
operation]. Therefore, you are not entitled to an extension of contract time.
If you still believe that a time extension is warranted, please provide documentation to
support your position, either in narrative form or an analysis showing the impact of this
work on the completion date of the project. Continue to follow the procedures and
processes described in Sections 5-1.42, Requests for Information, and 5-1.43,
Potential Claims and Dispute Resolution, of the Standard Specifications.
My review of change order no. [x], anticipated work, and the progress schedule
indicates that the work required by the change order impacts the controlling operation
[if a CPM review was performed, substitute critical path for controlling
operation]. I have determined a time extension of [y] days associated with the work.
The change order will be revised to reflect this adjustment of contract time. Please
review and sign the revised change order if you agree with the change.
3-521E (3) Requests for Information to Protest a Weekly Statement of Working
Days
Use the following clauses in your response to a request for information to protest the
determination of contract time in a weekly statement of working days:
3-521E (3a) General
I have received your request for information dated [insert date], to protest the weekly
statement of working days no. [x]. It is my understanding that you are protesting the
charging of [specify day or days protested] as a working day because [specify the
contractors reasons for protesting the days in question].
Our records indicate that you were working on the controlling operation for the entire
day. If you believe that you did meet the requirements of Section 8-1.06, Time of
Completion, of the Standard Specifications, please submit documentation in support
of your protest. In the absence of such documentation, the weekly statement of
working days no. [x] will remain unchanged.
If you decide to pursue this as a potential claim, follow the procedures and processes
described in Sections 5-1.42, Requests for Information, and 5-1.43, Potential Claims
and Dispute Resolution, of the Standard Specifications.
I have reviewed the project records and have determined that [insert date] should be
revised to indicate a non-working day. Attached is the revised weekly statement of
working days no. [x].
3-521E (4) Potential Claim Record
Use the detailed format and response guidelines in Section 3-521C, Potential Claim
Records, of this manual in conjunction with the following clauses to respond to a
potential claim record. Also, refer to Section 3-521C (1a), Resident Engineers

Response to the Initial Potential Claim Record, 3-521C (2a), Resident Engineers
Response to the Supplemental Potential Claim Record, and 3-521C (3a), Resident
Engineers Response to the Full and Final Potential Claim Record, of this manual.
3-521E (4a) General
I have received your [state initial, supplemental, or full and final] potential claim
record dated [insert date], regarding [state the issue]. It is my understanding that this
potential claim is the result of a dispute over [state the dispute and give background of
the dispute].
I understand your position to be [quote the contractors position as described in the
potential claim record].
I have reviewed your [state initial, supplemental, or full and final] potential claim and
based on the information you provided I find that it has no merit. [Explain why in
detail.]
If you decide to pursue this as a potential claim, follow the procedures and processes
described in Sections 5-1.42, Requests for Information, and 5-1.43, Potential Claims
and Dispute Resolution, of the Standard Specifications.
I have reviewed your [state initial, supplemental, or full and final] potential claim and
based on the information you provided I find that it has merit. [Explain why.] Please
provide me with the cost associated with your notice of potential claim for review and
determination of compensation.
3-521E (4d) Request Additional Information
I have reviewed your [state initial, supplemental, or full and final] potential claim
record [or request for information]; however, I am unable to make a determination
based on the information you provided. Please provide me with the following
information so I can make a determination regarding your potential claim.
3-522 3-522 Alternative Dispute Resolution Processes
Alternative Alternative dispute resolution helps resolve disputes and potential claims, mitigate
Dispute Resolution damages, and maintain project schedules.
Processes The alternative dispute resolution processes are partnering, dispute resolution ladders
(DRL), dispute resolution advisors (DRA), and dispute resolution boards (DRB). Their
use is based on the size and duration of the contract. Refer to the special provisions and
Sections 5-1.09, Partnering, and 5-1.43, Potential Claims and Dispute Resolution,
of the Standard Specifications to determine which alternative dispute resolution
process is appropriate for the contract.
In order for the alternative dispute resolution processes to be most effective, they must
be set up and used in accordance with the applicable provisions. Set up partnering, the
DRL, the DRA, or the DRB as quickly as possible within the time specified to avoid
putting timely referral and resolution of a dispute in jeopardy.
3-522A Partnering
As one of the alternative dispute resolution processes, partnering is used to develop
trust and collaboration between the resident engineer and the contractors

representative, the two key members of the project team. Using partnering best
practices makes it more likely that the project team will jointly resolve project issues
before they become disputes.
If a partnering facilitator has been selected for the project and the project team is no
longer having a productive dialogue regarding a dispute, discuss with the contractor the
use of facilitated dispute resolution as a way to reestablish productive dialogue and
better define the dispute. Schedule facilitated dispute resolution after exhausting the
DRL and before referring the dispute to the DRB. Refer to Sections 5-1.09,
Partnering, and 5-1.43E(3)(e), DRB Traditional Dispute Meeting, of the Standard
Specifications; Section 3-504, Partnering, of this manual; and Chapter 7, Resolving
Disputes, of the Field Guide to Partnering on Caltrans Construction Projects for
further direction and guidance.
3-522B Dispute Resolution Ladder
Projects with bids less than $3 million may use the partnering dispute resolution ladder
(DRL). The optional DRL process will be included in the special provisions or can be
added with a no cost change order.
The DRL is an optional part of the alternative dispute resolution process. If used, the
DRL runs concurrently with requests for information and potential claim records. It is
not a substitute for any other contract requirement or administrative claims procedure
or provision.
3-522B (1) Dispute Resolution LadderEstablishment
At the preconstruction conference, kickoff partnering workshop, or any time before
contract acceptance, the resident engineer offers the contractor the option of using a
DRL as an alternative dispute resolution process. When accepted by the contractor, the
resident engineer should document the DRL by filling out Form CEM-6208, Dispute
Resolution Ladder Establishment, which lists the names, titles, and contact
information for Caltrans and contractor personnel. Caltrans dispute resolution ladder,
in ascending order, is as follows:
Field LevelInspector
Level 1Resident Engineer
Level 2Construction Engineer
Level 3Construction Manager, Office Chief, or Deputy District Director of
Construction, as designated by the Deputy District Director of Construction.
The resident engineer and the contractors representative may use Form CEM-6209,
Elevation of a Dispute, to define the dispute before elevating it.
The resident engineer does not pay the contractors costs for participating in the DRL
process.
3-522B (2) Dispute Resolution LadderOperation
A dispute can be advanced up the ladder when an agreement between the parties on a
defined level cannot be reached within the time specified. A dispute can be elevated
sooner if both representatives on the defined level agree and the representatives at the
next higher level concur.

3-522C Dispute Resolution Advisor and Dispute Resolution Board
A DRA and a DRB are used on projects with at least 100 working days. A DRA is an
experienced neutral party that Caltrans and its contractor use to help resolve disputes
on contracts with a total bid of $3 million to $10 million. A DRB is a three-member
board made up of knowledgeable neutral parties that Caltrans and the contractor use to
resolve disputes on contracts with a total bid of more than $10 million.
Use of a DRA or DRB allows knowledgeable and experienced board members, not
directly involved with the contract, the opportunity to review and analyze a dispute and
provide their recommendations. Although these recommendations are not binding, they
are valuable in trying to resolve disputes before they become claims. These
recommendations become important if the dispute is carried over to arbitration.
Disputes must be referred to the DRA or DRB and a dispute meeting held within the
timelines specified. Generally, it is not in Caltrans best interest to wait to have a
dispute heard. Rarely do potential claims get smaller as time passes. Furthermore,
memories fade with time, and project personnel often move on and become
unavailable for a DRA or DRB dispute meeting. Adhering to the timelines is key to
resolving disputes as quickly and as fairly as possible.
If a contractor is not adhering to the specified timelines or indicates that they wish to
defer having the dispute meeting for some stated reason, remind the contractor of the
contractual requirements regarding the timelines for referring the dispute to the DRA or
DRB and for having a dispute meeting.
The Division of Constructions alternative dispute resolution (ADR) engineer
maintains the DRA and DRB websites and a list of prequalified DRA and DRB
member candidates.
3-522C (1) Establishment
When contractually required, the parties establish and use the DRA or DRB as part of
the administrative dispute resolution and claims process. Early establishment of the
DRA and DRB is important for resolving disputes as they occur. Delayed DRA or
DRB formation may affect the ability of the DRA or DRB to accurately analyze
disputes without a baseline reference.
Use the following procedure to select the best DRA or DRB candidates from the
prequalified lists. Links to the lists can be found under Dispute Resolution at the
Division of Constructions internet website.
1. Review the list of names and associated summaries of experience to find the most
qualified candidates for the particular project.
2. Select a candidate with the knowledge and work history that best match the type of
project.
3. Select a candidate with dispute resolution experience in the areas with the largest
potential for dispute.
4. Contact the Division of Construction field coordinator and ADR engineer for
guidance and additional information about the prospective candidates.
5. Contact the candidates, provide them with the project information, and determine
their desire and availability to serve. If a candidate is willing and available to serve,
request a disclosure statement with an updated rsum.

The Division of Construction field coordinator must approve the DRA or the DRB
candidate nominated by Caltrans and the third DRB candidate. The division field
coordinator must also approve DRA or DRB candidates not on the Caltrans
prequalified list.
Nominating a DRA or DRB candidate not on the prequalified list requires that the
candidate have a minimum of 10 years of experience in or directly related to public
works, heavy-highway construction projects with, or on behalf of, federal, state
(particularly Caltrans), or local government agencies. The experience must be any
combination of the following:
1. Supervisor, manager, or executive in public-works heavy-highway construction
contracts with emphasis in resolving disputes arising out of those contracts.
2. Attorney representing parties in litigating or arbitrating public-works, heavy-
highway construction contract claims.
3. Judge or arbitrator adjudicating or otherwise resolving public-works, heavy-
highway construction contract claims.
Require the candidate to submit a candidate application and send the application to the
ADR engineer who processes it. A link to the application can be found at the Division
of Construction website. If the candidate is approved, the ADR engineer adds the
candidate to the prequalified list with the candidates permission.
Submit the names, disclosure statements, and rsums of the DRA or DRB candidates
to the contractor at the preconstruction conference, and ask the contractor to do the
same. Jointly with the contractor, review the disclosure statements and rsums of the
potential DRA or DRB candidates for proper qualifications and possible conflicts of
interest. Jointly select the most qualified candidates as the DRA or DRB members in
accordance with the specifications.
Upon selection of the DRA or DRB member, promptly notify the DRA or DRB
member in writing, with a courtesy copy to the contractor. Notify the candidates not
selected that they are no longer under consideration for the project.
For the DRA, complete Form CEM-6206, Dispute Resolution Advisor Establishment
Report, and send it to the ADR engineer. For the DRB, require the first two approved
DRB members to nominate the third member and provide the appropriate
documentation for the third members approval. Once there is approval of all three
members, complete Form CEM 6202, Dispute Resolution Board (DRB)
Establishment Report, and send it to the ADR engineer.
Sign the DRA or DRB agreement as soon as you have established the DRA or DRB.
Links to the Dispute Resolution Advisor Agreement and the Dispute Resolution Board
Agreement are on the Division of Construction internet website.
3-522C (2) DRA or DRB Member Replacement
With 15 days notice, a DRA or DRB member may be replaced, or the member may
voluntarily resign. Caltrans or the contractor may terminate the service of a DRA or
DRB member who fails to comply fully with all required employment and financial
disclosure conditions of the DRA or DRB membership.
If Caltrans wants to replace the DRA or Caltrans-nominated DRB member, the
resident engineer discusses the proposal with district management. If district
management concurs, the district submits its recommendation to the Division of

Constructions field coordinator for approval before sending a letter to notify the DRA
or DRB member.
When the need arises, a replacement DRA or DRB member is nominated and
approved using the appropriate contractual selection process. In the case of a DRB, if
the previous member was the chairperson, the new board must agree on a new
chairperson. In the case of an impasse, the two original DRB members will select the
chairperson by blind draw. Caltrans, the contractor, and the DRA or DRB members
sign a revised DRA or DRB agreement. The replacement process begins immediately
upon receiving a notice of termination and is completed within 15 days.
3-522C (3) Operation
Alternative dispute resolution is for the benefit of both parties to the contract, so either
party may refer a dispute to the DRA or DRB.
As a complement to the DRA or DRB agreement, the DRA or DRB chairperson may
produce operating procedures with details for conducting DRA or DRB meetings.
Work with the DRA or DRB and the contractor to reach an equitable agreement on the
meeting process for the individual project circumstances. Ensure that the operating
procedures comply with all the contract requirements and the DRA or DRB agreement
before approving them.
For projects with federal funding, notify the Federal Highway Administration (FHWA)
representative when an issue is referred to the DRA or DRB. Coordinate with the
FHWA representative on full-oversight projects to ensure their participation in any
related change order. Give the FHWA representative the date of DRA or DRB dispute
meetings, information regarding the dispute, and the DRAs or DRBs
recommendation.
3-522C (3a) Informal Dispute Meetings
The informal meeting is meant for small, uncomplicated disputes. The informal
meeting is optional and is meant to reduce the duration and effort needed to hear a
dispute. All parties must agree that the informal process is appropriate for resolving the
dispute. The informal dispute process parallels the traditional process.
Typically, very little documentation is provided at an informal dispute meeting. The
parties generally just tell their story to the DRA or DRB members and await the
recommendation which should come the same day as the meeting. Use of the informal
process must not delay the hearing of a dispute using the traditional process.
3-522C (3b) Traditional Dispute Meetings
The traditional dispute meeting must be used for more complex issues or those issues
that were not resolved informally. It is mandatory if the contractor wishes to pursue the
dispute.
The contractual time period for submitting the position paper and having a dispute
meeting is located in the specifications and agreements. Remind the contractor of the
contractual time period for referring disputes to the DRA or DRB when responding to
the supplemental potential claim record.
When a dispute is referred to a DRA or DRB, prepare the position paper for submittal
to the contractor and the DRA or DRB in advance of the oral presentation at the
meeting. Present an effective position paper to the DRA or DRB since the
recommendation may be introduced in arbitration proceedings. Remember, the purpose

of the position paper is to persuade the DRA or DRB that your position is the one that
complies with the contract.
Use the following format for the position paper:
Table of Contents.
Description of the disputeA summary paragraph defining both the nature of the
dispute, as agreed upon with the contractor, and the clearly defined basis for
denying compensation.
Background or chronology of the disputeThe history of the issue in a narrative
format including the facts, presented in a non-judgmental manner. This section
must include a description of any partial or attempted resolutions.
Contractors stated positionAs stated in the contractors potential claim records,
other written materials, or oral communications. Quoted segments are most
effective when supplemented by exhibits. Present this section in a non-judgmental
manner and do not elaborate on the contractors previously stated position.
Caltrans positionState the logical flow of information and the relevant
contractual requirements that resulted in the determination of no merit. All
supporting information must be referenced within this section and included in the
exhibit section.
SummaryA concluding paragraph stating why contractually and factually there
is no merit to the contractors dispute. The summary must be a strong absolute
statement of Caltrans position requesting the DRA or DRB find in Caltrans
favor. Avoid subjective language such as feelings or beliefs within this section.
ExhibitsA number of exhibits for illustrating and clarifying the contractual and
technical requirements. Number and tab exhibits. When compiling the written
position paper, provide complete information related to the dispute including those
exhibits used within the oral presentation at the DRA or DRB dispute meeting.
Failure to provide certain exhibits will likely result in the DRA or DRB
disallowing related items within the oral presentation. Distribute written position
papers in accordance with the contract.
Submit a draft written position paper to the construction engineer and peers for review
and comment in advance of the formal exchange with the contractor and the DRA or
DRB. These internal reviews provide an opportunity to improve the position paper, and
benefit Caltrans by informing management of dispute issues.
The oral presentation given during the dispute meeting is important to effectively put
forward Caltrans position to the DRA or DRB. Begin preparing for the presentation
well in advance of the dispute meeting. Hold a mock presentation at least a week in
advance of the dispute meeting to allow incorporation of comments from attendees.
Attendees at the mock presentation should include the resident engineer, construction
engineer, structure representative, bridge engineer, and construction field personnel.
Other attendees may include technical experts, district construction claims engineer,
construction manager, Division of Construction field coordinator, and others with
dispute resolution board experience, depending on the size and complexity of the issue
under consideration.
The objective of the mock presentation is to further examine the contractors position,
review the basis of Caltrans determination of no merit, and to rehearse Caltrans

presentation including potential rebuttal statements. During the mock presentation, it is
advisable that an experienced participant, not directly involved in the contract provides
constructive criticism of Caltrans position and the rebuttal of the contractors position.
Typically, either the resident engineer or structure representative gives the presentation
to the DRA or DRB depending on the dispute issue. Other Caltrans personnel
associated with the project may provide additional evidence depending on the dispute
and the circumstances involved. Use of experts not associated with the contract is
discouraged unless the dispute issue is complex and requires a technical specialist. The
contractor can also request to use a technical specialist. All parties must agree to the use
of a technical specialist in advance.
The dispute meeting will follow the procedure outlined in the DRA or DRB agreement
and any operating procedures agreed to by all of the parties involved.
3-522C (3c) Dispute Resolution Board Progress Meetings
For DRBs, in addition to the specific dispute meetings, there are mandatory initial and
follow up progress meetings. The DRB progress meetings give members the
opportunity to gain knowledge of the progress of work. Hold the first meeting at the
start of the project. Each progress meeting must include a site visit allowing the DRB
members to view construction operations, construction work completed, and areas
where construction work must begin before the next meeting. A representative from
both the contractor and Caltrans must attend all progress meetings. The minimum
frequency of the progress meetings is stated in the DRB agreement; however, the
frequency of meetings may require adjustment if the work is proceeding quickly. In
addition, if the contract is suspended for a significant period, reconsider the frequency
of the progress meetings.
The agenda of a typical progress meeting is contained within the DRB agreement. At a
minimum, the agenda should include a discussion of the following:
Status of change orders
Status of the work in terms of expended time and dollars
Summary of potential claims
Promptly prepare and circulate progress meeting minutes to the parties for revision and
approval.
3-522C (4) DRA or DRB Recommendations and Responses
Upon receiving a DRAs or DRBs recommendation regarding a dispute, provide a
copy to the Division of Constructions field coordinator and ADR engineer.
Begin preparing Caltrans response once the DRA or DRB issues its recommendation
to the parties.
Although the recommendation is nonbinding, the parties must respond to the DRA or
DRB and the other party within the time specified so it is clear if the dispute is resolved
or remains unresolved. Accept or reject a DRA or DRB recommendation in
accordance with the following:
1. Acceptance of a DRA or DRB recommendation that finds in favor of Caltrans
is delegated to the district.
2. Acceptance of a DRA or DRB recommendation in the contractors favor or
rejecting a DRA or DRB recommendation will require approval from the

Division of Constructions field coordinator. The deputy district director of
construction and the field coordinator will review and discuss the reasoning
for the proposed response before sending it to the DRA or DRB and the
contractor.
Complete Form CEM-6207, Dispute Resolution AdvisorDispute Meeting Report,
or Form CEM-6204, Dispute Resolution Board Dispute Meeting Report, to notify
the Division of Constructions ADR engineer of the dispute meeting and each partys
acceptance or rejection of the recommendation.
A request for clarification of the DRB recommendation will only be considered if
made within the time specified in the contract. Any request for clarification of a DRA
or DRB recommendation needs to be discussed with the Division of Constructions
field coordinator before its submittal. Requests for clarification are warranted when the
recommendation fails to thoroughly explain the rationale for the recommendation,
when the DRA or DRB has not stated Caltrans position accurately, or when the
contractual provisions have been disregarded.
A request for reconsideration of an issue may be made, and will only be considered, if
new evidence concerning the dispute is provided and the request is made within the
time specified. Reconsideration requests must be discussed with the Division of
Constructions field coordinator before submittal.
3-523 Final Inspection and Contract Acceptance 3-523
Final Inspection
3-523A General
and Contract
As a projects completion approaches, schedule appropriate reviews with maintenance, Acceptance
traffic, and safety personnel. Before the final inspection, give the contractor a written
list of items needing attention.
To resolve any potential problems on interstate projects, request that a field engineer
from the FHWA review the project before the day of final inspection. The objective is
to prevent last-minute delays in contract acceptance.
In accordance with Section 5-1.46 [5-1.13, 7-1.17], Final Inspection and Contract
Acceptance, of the Standard Specifications, the resident engineer must do a final
inspection of the contract work.
Maintain a record of the final inspection in the resident engineers daily report. The
record should include a statement similar to the following:
I made a final inspection of the project today and determined that all contract
work has been completed.
Or
[Name] made the final inspection today and agreed that all contract work has
been completed.
Time the final inspection so that the recommendation for contract acceptance will not
be delayed pending the inspection.
3-523B Contract Acceptance
On the day project work is completed in accordance with the requirements of the
Standard Specifications, special provisions, plans, and approved change orders, notify
the district construction office recommending district acceptance of the contract. Refer

to Section 5-1.46, Final Inspection and Contract Acceptance, of the Standard
Specifications.
For recommendations of acceptance, use Form CEM-6301, Contract Acceptance.
Follow the same procedure for accepting emergency contracts.
3-523C Work for Other Agencies or Owners
As a courtesy, when any work performed under the contract is for other agencies or
owners, ask for the concurrence of these entities in the acceptability of the work.
Include the concurrence of others such as local agencies, other state agencies, utility
companies, and school districts.
Also, ask for concurrence from another party or agency if it finances a state highway
project or a portion of the project. The district must arrange a joint field inspection with
the owner or agency. In writing and in advance (usually 30 days), notify the owner or
agency when the facility will be ready for final inspection. Time the inspection so that
concurrence for acceptance is available at the time of recommending the acceptance of
the contract or relief from maintenance and protection to the director. However, do not
withhold recommendations for acceptance or relief merely because an outside agency
will not concur.
The letter notifying the owner or agency of readiness for inspection should include:
A reference to the cooperative agreement or other agreement.
A statement that the inspection is to determine whether work is in compliance with
plans, the agreement, or both.
The date of the inspection.
A request that, when an inspection reveals no deficiencies, the agencys authorized
representative responsible for performing the inspection will confirm in writing
that the agency agrees to accept the work.
A statement that failure by the agency to inspect or confirm acceptance in writing
will be deemed acceptance of the work as constructed.
If the size or complexity of the work warrants such an action, the resident engineer and
an agency representative should make a preliminary joint inspection to correct minor
deficiencies before the final inspection described above.
Write a record of the preliminary and final joint field inspections. Note what actions
were necessary to complete the work to the agency representatives satisfaction.
Record if the agency representative is satisfied with the completeness of the work but
declines to concur in writing.

Section 6 Control of Materials

3-601 General
3-602 Department-Furnished Materials
3-603 Local Materials
3-604 Quality
3-605 Brand or Trade Names and Substitutions
3-606 Certificates of Compliance
3-606A Buy America Requirements
3-606A (1) Resident Engineer Approval of Minimum Use Requirements
3-606A (2) Federal Highway Administration Approval of Waivers
3-607 Out-of-State Fabrication
3-608 Testing
3-608A Operating Range and Contract Compliance
3-609 Testing by Contractor
3-610 Suspected Fraudulent Test and Inspection Reports
3-611 Guarantee
3-611A General
3-611B Work Not Completed by Contractor

Control of Materials 3-6.i
Section 6
Section 6 Control of Materials Control of
Materials
3-601 General 3-601
Section 6, Control of Materials, of the Standard Specifications, describes the General
contractors responsibilities regarding materials used on the project.
The service life of a properly designed highway depends on the construction methods
and quality of materials used in the highways construction. The resident engineer must
ensure that materials used in the work comply with contract specifications. This section
presents general guidelines for ensuring that specifications are met.
Caltrans Office of Materials Engineering and Testing Services (METS) will assign
inspectors for materials that require inspection during manufacture or at the source of
supply. Obtain a properly completed Form CEM-3101, Notice of Materials to Be
Used, which lists the contractors sources of materials and the location at which those
materials can be inspected. Review this form to ensure that all expected materials are
included, then forward the completed form to METS. METS will ensure the proper
assignment of inspectors and notify the suppliers of the required inspections.
For a list of products inspected by METS, see Table 6-2.1, Inspection of Fabricated
and Manufactured Materials, of this manual.
Not all products will be inspected by METS. METS has assigned to the resident
engineer the inspection and release at the job site of those products listed in Table
6-2.2, Materials Acceptance Based on Authorized Material List, and Table 6-2.3,
Materials Accepted by Certificate of Compliance, of this manual.
Do not allow any material to be incorporated into the work until the required evidence
or certificate of inspection has been received and until the field inspection has been
completed at the job site.
3-602 Department-Furnished Materials 3-602
Section 6-2.03 [6-1.02] Department-Furnished Materials, of the Standard Department-
Specifications describes the conditions under which the contractor receives department- Furnished
furnished materials. The resident engineers duties related to these materials include the Materials
following:
Review the special provisions for materials to be furnished. For materials
manufactured specifically for the project, such as signs, check with the district unit
responsible for ordering them to ensure they will be available when the contractor
requests them.
Obtain the contractors written request for all department-furnished materials.
Retain a copy of the request in the project file under Category 52, Charges to
Total Contract Allotment.
Ensure the contractor signs a receipt for the materials when they are delivered.
Retain a copy of the receipt in the project file.

Control of Materials 3-6.1
If department-furnished materials are damaged or lost, deduct a sufficient amount
from the contractors monthly estimate to cover the estimated cost of repair or
replacement, pending such repair or replacement.
Ensure the return or disposal of department-furnished material that has not been
used in the work.
3-603 3-603 Local Materials
Local Materials Section 6-2.04 [6-2], Local Materials, of the Standard Specifications, covers the
requirements for the use of local materials and the resident engineers responsibility for
testing the material. This section also requires the contractor to furnish material from
any source the contractor may elect, except that when mandatory local sources of
certain materials are designated in the special provisions or on the plans, the contractor
must furnish material from those designated mandatory sources.
If the contractor elects to obtain material from a non-mandatory local source, the
contractor is responsible for making all arrangements necessary to obtain materials
from that source. The contractor must furnish the resident engineer with a copy of the
contractors agreement with the property owner and provide copies of all necessary
permits, licenses, and environmental clearances prior to removing any material. Refer
to Section 3-510, Coordination With Other Entities, of this manual and Section
5-1.20 [6-2.01], Coordination With Other Entities, of the Standard Specifications for
additional information.
Where Caltrans has entered into agreements with property owners in the vicinity of a
project for obtaining material from an owner's property, the arrangements are made
solely for the purpose of providing all bidders an equal opportunity to obtain material
from that property. Provide the contractor a copy of the agreement between Caltrans
and the property owner. Refer to Section 3-510, Coordination with Other Entities, of
this manual for more information.
The special provisions may require the contractor to obtain materials from a specified
source. It may be necessary for the contractor to process the material as indicated in the
special provisions to produce acceptable materials from this source.
If the resident engineer determines that the specified local material source can no
longer be used for any reason, designate an alternative local material source for the
balance of the material. Pay for the costs associated with the change in material source
as extra work.
Occasionally, it becomes necessary to obtain additional embankment material from
outside the local area when the contract does not allow the contractor to import non-
local material because there is no item for imported borrow. Under these
circumstances, it is normal practice for Caltrans to locate an alternative source for this
material. Consult with the district materials engineer for help locating an alternative
material source.
In accordance with the State Contract Act, material sources must comply with the
Surface Mining and Reclamation Act of 1975 (SMARA). Refer to Chapter 7,
Environmental Stewardship, of this manual and the Department of Conservations
website at the link provided later in this section for further information regarding
SMARA requirements.
If a change order directs the contractor to obtain material from Caltrans chosen source,
the Federal Highway Administration (FHWA) considers the source mandatory. The

3-6.2 Control of Materials
FHWA then requires written approval of a public interest determination before
approval of the change order.
At a minimum, the public interest determination, written by the resident engineer, must
include the following:
The reason the chosen source is the most economical. If the determination is not
based on economy, other reasons such as public safety or convenience must be
included.
The alternatives considered.
The effect on the value of the material site.
All such sites are subject to compliance with SMARA. Mining operations determined
to be in compliance are listed on the AB 3098 SMARA Eligible List. This list can be
obtained from the Division of Construction or at the Department of Conservations
website:
http://www.consrv.ca.gov/OMR/ab_3098_list/index.htm
The above requirements do not apply to local borrow, as defined in Section 19-7
[19-7.01], Borrow Material, of the Standard Specifications and the special
provisions. Refer to Chapter 7, Environmental Stewardship, of this manual for a list
of mining operations which are and which are not subject to SMARA requirements.
3-604 Quality 3-604
Section 6-3.04, Quality Control, of the Standard Specifications informs the Quality
contractor of general quality control requirements regarding the materials incorporated
into the work. Ensure the contractor maintains thorough quality control records.
Section 6-3.05, Quality Assurance, of the Standard Specifications allows the resident
engineer access to the material sources for quality assurance. Refer to Section 3-501,
General, of this manual for information regarding safe access.
The resident engineer and their authorized representatives have a primary duty to
sample and test the materials incorporated into the work to ensure compliance with the
Standard Specifications, special provisions, and plans within the tolerances specified.
When tolerances are not specified, the resident engineer and their authorized
representatives use judgment in determining the allowable deviation consistent with the
trades and materials involved.
Deduct retesting costs. Contact the district materials engineer who oversees the district
materials lab for guidance on determining the costs. For hot mix asphalt verification
retesting, refer to Section 39-1.03E, Job Mix Formula Verification, of the Standard
Specifications.
3-605 Brand or Trade Names and Substitutions 3-605
When specific brand or trade names are used to designate required products, the Brand or Trade
contractor may furnish other products that are of equal or better quality. Names and
Substitutions
A product is not necessarily equivalent merely because it is on an approved products
list published by Caltrans. These lists indicate that the products meet the general
qualifications. However, some of the listed products may not meet the specific needs of
the project or may not be appropriate for a particular location due to factors such as
climate conditions or maintenance difficulties. Consult with the responsible unit (the

design unit, traffic unit, maintenance unit, or METS, among others) before making
decisions about the acceptability of substitutes.
3-606 3-606 Certificates of Compliance
Certificates of For a discussion about certificates of compliance, refer to Section 6-203C, Materials
Compliance Accepted on the Basis of a Certificate of Compliance, of this manual.
3-606A Buy America Requirements
Section 6-2.05 Buy America of the Standard Specifications includes Buy America
provisions for crumb rubber, steel, and iron materials.
A discussion of the Buy America requirements should be included in preconstruction
conferences for federal-aid projects.
To be considered a domestic material, all manufacturing processes must take place
domestically. Manufacturing begins with the initial melting and mixing and continues
through the bending and coating stages. If a domestic product is taken out of the United
States for any process, it becomes a foreign source of material.
The manufacturing process for steel and iron products is considered complete when the
product is ready for use in items such as fencing, posts, and girders. It could also be
considered complete if the material could be incorporated as components of a more
complex product through a further manufacturing process, as is the case for a traffic
signal head. The final assembly process does not need to be accomplished domestically
as long as the steel or iron component is only installed and no manufacturing process is
performed on the steel or iron component.
A certificate of compliance from the manufacturer (not the contractor) showing
compliance with Buy America requirements must accompany all steel and iron
products incorporated into a federal-aid project. The resident engineer must ensure
receipt of the required certificates of compliance and mill test reports.
3-606A (1) Resident Engineer Approval of Minimum Use Requirements
Buy America requirements do not apply to a minimal use of steel and iron materials
incorporated in the work as specified in Section 6-2.05C, Steel and Iron Materials, of
the Standard Specifications.
Before incorporating any foreign steel and iron materials into the work, the contractor
must submit documentation of the quantity and value of any foreign steel and iron to
the resident engineer. Review the documentation to determine if it supports the
minimum use rule before allowing the material to be incorporated into the project. If
the minimum use rule applies, approve the exception in writing. This applies as a one-
time total exemption for each contract, not for each purchase. File the documentation,
exceptions, and a running total of the value of foreign steel and iron allowed under the
minimal use allowance under Category 41, Report of Inspection of Materials.
3-606A (2) Federal Highway Administration Approval of Waivers
Caltrans does not have the authority to allow the use of foreign steel and iron in
federal-aid projects without FHWA approval. The California FHWA Division
administrator may grant waivers only upon receiving concurrence from FHWA
headquarters in Washington, D.C. Approval or denial may take several months.

Approval by FHWA of the waiver is required prior to allowing foreign steel or iron
that exceeds the minimum use rule into the project. Lack of an FHWA-approved
waiver can result in the loss of all federal funds for the project.
The contractor must submit the following information to the resident engineer when
requesting a waiver to Buy America requirements:
A detailed description of the waiver item.
Item costobtained from the manufacturer or supplier.
The country of origin for the product.
The reason for the waiver.
The resident engineer must provide the following information when preparing a waiver
request for the FHWA engineer:
The contractors waiver submission.
Federal-aid project number, description, and location.
Analysis of proposed redesigns using available domestic products
3-607 Out-of-State Fabrication 3-607
Section 6-3.05B, Source Inspection Expense Deductions, of the Standard Out-of-State
Specifications includes deductions in payment for fabrication at some distance from Fabrications
Sacramento and Los Angeles. In addition, some special provisions may modify the
amount to be deducted. Deduct the appropriate amount, applying it as an administrative
deduction on estimates that include payment for the item. Use a standard description of
Out of State Inspect on Form CEM-6101, Project RecordEstimate Request. This
deduction should be made in whole, when appropriate. However, if the deduction is
large, the resident engineer has the option to deduct incremental amounts until the full
deduction is made.
3-608 Testing 3-608
In addition to the California Tests, the Standard Specifications contain references to the Testing
standards and tests of the American Association of State Highway and Transportation
Officials (AASHTO) and the American Society for Testing and Materials (ASTM).
These standards and tests may or may not be readily available to the resident engineer.
Note any references to these tests well in advance of need, and obtain any necessary
copies of them from the district materials engineer. It is not practical to supply each
resident engineer with complete AASHTO and ASTM standard test procedures.
Whenever samples are taken from materials sites, the resident engineer must ensure the
samples are representative of material being used. Degradation and segregation may
occur in aggregates between the processing operation and their incorporation in the
work. The resident engineer cannot assume that material satisfactorily tested at the
source or at the processing plant is still satisfactory at the job site. To ensure
specification compliance, confirm the contractor tests at the frequencies shown in the
specifications as the material is being incorporated into the work. Also, perform and
record acceptance tests as required by Section 6-1, Sample Types and Frequencies,
of this manual.

3-608A Operating Range and Contract Compliance
Section 25, Aggregate Subbases; Section 26, Aggregate Bases; Section 27,
Cement Treated Bases; Section 28, Concrete Base; Section 39, Hot Mix
Asphalt; and Section 90, Concrete, of the Standard Specifications, all contain
provisions for an acceptable range of test results. If a test result fails to meet the
requirements of the operating range but meets contract compliance, the contractor
usually needs to make some change in operations to ensure subsequent test results meet
the operating range requirements. The resident engineer should document the
contractors actions and any off-site testing done before the next days work.
If a test result fails to meet the specified value for contract compliance, the result
should be treated just like any other failing test result. However, if the contractor writes
a request, the resident engineer may consider leaving the material in place and applying
the specified deduction, if the specifications allow. The contractors written request,
along with documentation of reasons for leaving the material in place and the
contractors actions, is sufficient for the contract records. A change order accepting out-
of-specification material is not required in this case because the specifications provide
the procedure for acceptance.
The resident engineer must inform the contractor promptly of test results that indicate
unacceptable or borderline work. The contractor must be advised that all test results are
available for the contractors inspection. Accordingly, test results must remain in the
project files for ready accessibility.
3-609 3-609 Testing by Contractor
Testing by Contractor The contractor must be satisfied at all times that the quality of materials entering the
work and the work performed, regardless of who supplies the materials or performs the
work, will meet the contract requirements. For acceptance of materials or work,
resident engineers must not use as documentation any tests the contractor performs to
control the work.
3-610 3-610 Suspected Fraudulent Test and Inspection Reports

Suspected Fraudulent When fraudulent tests or inspection reports are suspected, discuss the situation with the
Test and Inspection Division of Construction field coordinator. Contact METS for assistance in evaluating
Reports the reports. Retest the material represented by suspect tests, as appropriate. If after
investigating, fraud is still suspected, the deputy district director provides the facts in
writing to the Division of Construction field coordinator.
3-611 3-611 Guarantee

Guarantee 3-611A General
The contractor must perform corrective work due to a substantial defect as part of the
guarantee if all of the following can be demonstrated:
1. The substantial defect existed in the contractors work based on the specifications.
2. The substantial defect existed when the contract work was accepted.
3. A reasonable inspection by the resident engineer during construction would not
have revealed the defect.
If the resident engineer cannot demonstrate the substantial defect is the responsibility of
the contractor, the corrective work cannot be completed as part of the contract.

If a substantial defect is identified, the resident engineer will discuss the substantial
defect with district management and the Division of Construction field coordinator.
Send a letter to the contractor describing the substantial defect to be remedied. Any
correspondence with the contractor regarding corrective work and the substantial defect
must include the following language:
Your refusal may result in a review of your responsibility to perform future work with
Caltrans.
The contractor can perform corrective work without obtaining an encroachment permit.
The contractor may dispute the need for the corrective work but is nevertheless
contractually bound to perform the necessary repairs. If the proposed final estimate
(PFE) has not been issued, the contractor can file an exception in response to the PFE.
Otherwise, the contractor must file for arbitration pursuant to Section 10240.1 of the
Public Contract Code. The contractor has 90 days from the completion of the
corrective work or the end of the guarantee period, whichever is later, to file for
arbitration.
The end of the guarantee period is 1 year from contract acceptance and will not be
suspended or extended based on any corrective work being required or performed.
3-611B Work Not Completed by Contractor
If the contractor refuses to perform the corrective work or if the corrective work
requires an immediate response, Caltrans will perform the corrective work. The district
may complete the corrective work with its own forces, day labor, by informal contract
or by directors order. Discuss this process with district management and the Division
of Construction field coordinator.
The contractor is liable to the state for the costs to Caltrans resulting from the
contractors failure to complete the corrective work. The resident engineer will need to
maintain records on corrective work expenditures to expedite billing.
The resident engineer will send the detailed billing to the Division of Accounting,
abatements section, with instructions to prepare the accounts receivable bill and to mail
it to the contractor. If the contractor is not available, the bill should be mailed to the
surety.

Section 7 Legal Relations and Responsibility to the Public

3-701 Laws to Be Observed
3-701A Reporting Apparent Attempts at Fraud on Construction Contracts
3-701B Labor Code Requirements and Fair Labor Standards Act
3-701C Vehicle Code
3-701D Occupational Safety and Health Standards
3-701D (1) Excavation Safety
3-701D (2) Tunnel Safety
3-701E Falsework Erection or Removal
3-702 Public Convenience
3-702A Convenience of the Public and Public Traffic
3-702B Maintenance and Improvement of Passageway Through Construction
3-703 Public Safety
3-703A Temporary Clearance and Bridge Permit Rating Changes
3-703A (1) Temporary Vertical and Horizontal Clearance Changes
3-703A (2) Temporary Bridge Permit Rating Changes
3-703B Permanent Clearance and Bridge Permit Rating Changes
3-703B (1) Permanent Vertical and Horizontal Clearance Changes
3-703B (2) Permanent Bridge Permit Rating Changes
3-703B (3) Notification Procedure
3-704 Indemnification and Insurance
3-704A Responsibilities
3-704B Evidence of Insurance
3-704B (1) Actions Allowed by the Standard Specifications
3-704C Railroad Protective Insurance
3-704C (1) Responsibility
3-704C (2) Insurance Renewal
Example 3-7.1 Sample Notice of Contract Suspension of Work Due to Insurance Lapse Letter

Legal Relations and Responsibility to the Public 3-7.i
Legal Relations
Section 7 Legal Relations and Responsibility to the Public
and Responsibility
to the Public
3-701 Laws to Be Observed 3-701
The contractor must be familiar with and comply with all laws, regulations, and Laws to Be
ordinances that affect the labor, materials, and conduct of the work. However, the Observed
specifications do not intend or require that the resident engineer exercise police
enforcement power. If the resident engineer learns that the contractor has violated a
work-related law or regulation, the engineer must bring the matter to the contractors
attention in writing.
3-701A Reporting Apparent Attempts at Fraud on Construction Contracts
Resident engineers are confronted occasionally with situations where contractors or
their subcontractors or suppliers attempt to obtain improper additional payment.
These matters may differ in magnitude and intent, and minor situations may be
resolved satisfactorily at the project level. However, certain fraudulent acts, such as
presenting false weight certificates, padding the number of loads of a commodity
delivered, tampering with scales, or falsifying test or inspection reports may require
special investigation and appropriate action. Such investigations are confidential and
begin with a discussion between the resident engineer and the construction engineer.
To request a special investigation, write a letter to the Division of Construction field
coordinator.
3-701B Labor Code Requirements and Fair Labor Standards Act
For the resident engineers duties with regard to Labor Code requirements and the Fair
Labor Standards Act, refer to Chapter 8, Employment Practices, of this manual.
3-701C Vehicle Code
In any areas open to public traffic within the projects limits, the contractor is not
exempt from Vehicle Code requirements. Equipment that fails to comply with the
Vehicle Code must not be operated on detours or any other roadway open to public
traffic. Refer to Section 3-519, Maintenance and Protection, of this manual.
3-701D Occupational Safety and Health Standards
The contractor must conform to all Department of Industrial Relations, Division of
Occupational Safety and Health standards. Refer to Section 2-1, Safety, of this
manual for guidelines for administering the contracts safety requirements.
3-701D (1) Excavation Safety
The Office of Structure Constructions Trenching and Shoring Manual provides
technical guidance for analyzing designs of trenching and shoring systems. It also
contains information regarding Californias legal requirements for excavation safety.
California Department of Transportation Construction Manual August 2014

Legal Relations and Responsibility to the Public 3-7.1
3-701D (2) Tunnel Safety
The California Code of Regulations, Title 8, Subchapter 20, Tunnel Safety Orders,
establishes minimum safety standards for excavation, construction, alteration, repair, or
demolition. The contract will describe tunnel locations and the Information Handout
will describe the classification. However, the contractors activities may also create
work conditions that will fall under the tunnel safety orders that were not identified in
the contract. Be aware of potential tunneling activities such as the following:
Cut and cover operations.
Boring and jacking operations of pipes with an outside diameter of 30 inches or
greater.
Shaft where excavations are greater than 20 feet deep, the depth is at least twice its
greatest cross-sectional dimension, and employees may enter the shaft or approach
the shaft area. Cofferdams may fit this definition.
The regulations related to these activities are covered in detail at the California
Department of Industrial Relations web site:
http://www.dir.ca.gov/Title8/sub20.html
Consult the district construction safety coordinator for guidance.
3-701E Falsework Erection or Removal
Detailed instructions for reviewing falsework for bridges or other major structures are
contained in the Office of Structure Constructions Falsework Manual. When the
erection or dismantling of falsework is over or adjacent to a traveled way, the resident
engineer must do the following:
Before the erection or removal of falsework, determine the exact method of
operation the contractor proposes to use.
If any possibility exists that a material or equipment failure or human error could
endanger the public, ensure traffic is rerouted or temporarily stopped during critical
portions of the erection and removal operations.
Normally, the contract will provide necessary detours or other restrictions, such as the
time of day when certain operations may be performed. In the absence of specific
contract requirements, require the contractor to take the necessary measures in
accordance with Section 7-1.04 [7-1.09], Public Safety, of the Standard
Specifications.
3-702 3-702 Public Convenience
Public The following sections provide guidelines for enforcing the provisions in Section
Convenience 7-1.03 [7.1-08], Public Convenience, of the Standard Specifications and contain
discussion of other topics related to the passage of public traffic through construction
projects.
3-702A Convenience of the Public and Public Traffic
The contractor has a contractual obligation to provide for the convenience of the public
and public traffic. Section 7-1.03 [7-1.08], Public Convenience, of the Standard
Specifications requires that operations be conducted in such a way as to present the
least possible obstruction and inconvenience to the public. The public consists of

3-7.2 Legal Relations and Responsibility to the Public
anyone passing through or affected by construction operations, including pedestrians
and residents, as well as vehicular traffic.
Ensure that the contractor provides accessible temporary routes through and around
work zones for those pedestrians with disabilities. For guidance, refer to Caltrans
Temporary Pedestrian Facilities Handbook.
Ensure the contractor has made adequate provisions for public convenience when the
specifications leave the manner of providing for convenience to the contractors
discretion. Also, ensure the contractor does not unnecessarily delay or interfere with
traffic for the contractors own benefit or convenience.
The least possible obstruction and inconvenience will always depend on judgment.
What is permissible should be that which is accepted as good practice in the industry,
complies with the specifications, and does not materially diminish the degree of
convenience and free passage through the area that existed before construction. For
example, do not accept a trench that lies adjacent to a traffic lane for the entire length of
the project and that was excavated just to suit the contractors convenience. A length of
trench sufficient to accommodate an orderly and workmanlike progression of
operations is reasonable. Likewise, it is physically impossible to carry on a series of
operations between an existing roadway and adjoining properties that have access to
the roadway without temporarily disrupting the access. However, whether permanent
or temporary, restore the access as soon as possible without waiting for the work to be
completed past all the adjacent access points.
The intent of Section 7-1.03 [7-1.08], Public Convenience, of the Standard
Specifications is to ensure public convenience, not a minimum construction cost.
Frequently, the contractor can achieve both through careful planning and skillful
operation.
3-702B Maintenance and Improvement of Passageway Through Construction
Normally, paved detours will be provided for the passage of public traffic during
construction. On low volume roads where the cost of detour construction is
unreasonably high, the contract may provide for traffic to pass through the work during
the grading and structural section operations. Section 7-1.03 [7-1.08] Public
Convenience of the Standard Specifications specifies the responsibility of the
contractor for providing reasonably smooth and even surfaces for passage of public
traffic through the work. Any ordered construction to provide improved conditions for
the convenience of the traveling public is considered to be detour construction and is
paid for as provided in Sections 7-1.03 Public Convenience and 7-1.04 Public
Safety [4-1.04] of the Standard Specifications. Also, any ordered construction or
improvement of facilities required for pedestrians or the resident public, not otherwise
provided for in the contract, is to be paid for in a like manner.
3-703 Public Safety 3-703
The contractor must bear all expenses associated with those devices primarily intended Public Safety
to protect traffic from hazards arising because of the contractors operations. Typical
items classified as public safety devices include barricades, signs, and lights placed to
guard the public against damage. The contractor must protect traffic from falling rocks,
falling trees, collision with equipment (whether idle or in operation), open trenches,
and other excavations.

Some of the factors affecting public safety include the disposition, placement,
movements, and actions of workers and equipment, and the placement and handling of
materials.
Under the specifications, the resident engineer can point out the contractors failure to
carry out any of the specification requirements. The specifications do not relieve the
contractor of the cost of protecting the public simply because the engineer has or has
not called attention to an unsafe situation.
3-703A Temporary Clearance and Bridge Permit Rating Changes
The following guidelines apply to situations where temporary changes exist in vertical
or horizontal clearance for vehicular traffic or where temporary changes exist in bridge
permit ratings.
3-703A (1) Temporary Vertical and Horizontal Clearance Changes
Whenever the operation will reduce clearances available to public traffic, the
specifications require the contractor to notify the resident engineer at least 20 days and
not more than 90 days before the anticipated start of an operation that will change the
vertical or horizontal clearance available to public traffic (including shoulders). At least
15 days before implementing proposed changes in vertical clearances, horizontal
clearances, or both, notify the Transportation Permits Branch of the proposed changes
and their duration. Use Forms TR-0019, Notice Of Change In Clearance Or Bridge
Weight Rating, for divided highways; TR-0020, Notice of Change in Vertical Or
Horizontal Clearance; or TR-0029, Notice Of Change In Clearance Or Bridge
Weight Rating. If the clearance change is on a local jurisdiction roadway, notify the
affected agency in writing at the same time.
3-703A (2) Temporary Bridge Permit Rating Changes
Fifteen days before implementing proposed bridge permit rating changes, the structure
representative must notify the resident engineer in writing and the bridge rating
engineer of the proposed ratings and their duration. Use Forms TR-0019 or TR-0029.
The bridge rating engineer must then immediately notify the Transportation Permits
Branch of any rating changes.
Within 3 days of rescinding the temporary bridge permit rating, the structure
representative must notify the resident engineer in writing and the bridge rating
engineer. The bridge rating engineer must then immediately notify the Transportation
Permits Branch.
3-703B Permanent Clearance and Bridge Permit Rating Changes
The following guidelines apply to situations where permanent changes exist in vertical
or horizontal clearance for vehicular traffic or where permanent changes exist in bridge
permit ratings.
3-703B (1) Permanent Vertical and Horizontal Clearance Changes
Fifteen days before implementing proposed permanent vertical and horizontal
clearance changes, the resident engineer must notify the Transportation Permits Branch
of the proposed changes. Use form TR-0019, TR-0020, or TR-0029. Also, to confirm
the necessary information, the resident engineer must consult the Transportation
Permits Branch before making field measurements.

3-703B (2) Permanent Bridge Permit Rating Changes
Fifteen days before implementing proposed changes to the bridge permit rating, the
structure representative must notify the resident engineer in writing and the bridge
rating engineer of the proposed bridge permit ratings. Use form TR-0019 or TR-0029.
The bridge rating engineer must then immediately notify the Transportation Permits
Branch of any rating changes.
3-703B (3) Notification Procedure
Submit changes to be reported in accordance with the above procedures to either the
North Region or South Region construction/maintenance liaison in the Transportation
Permits Branch. The North Region liaison is responsible for districts 1, 2, 3, 4, 5
(except San Luis Obispo and Santa Barbara Counties), 6 (except Kern County), and 10.
The South Region liaison is responsible for districts 5 (San Luis Obispo and Santa
Barbara Counties only), 6 (Kern County only), 7, 8, 9, 11, and 12.
The Transportation Permits Branch will, within 1 business day, send a fax to the
resident engineer confirming receipt of the change.
3-704 Indemnification and Insurance 3-704
The contractors obligation for insurance is contained in various sections of the Indemnification
Standard Specifications. Section 3-1.07 [3-1.05], Insurance Policies, has provisions and Insurance
describing the types of insurance documents required. Section 3-1.18 [3-1.09],
Contract Execution, requires the contractor to submit those insurance documents at
the time the contract is executed. Section 7-1.05 [7-1.12], Indemnification, requires
the contractor to indemnify Caltrans and to carry liability insurance without allowing it
to lapse.
The contractor must also have railroad protective insurance when required by the
contract. This topic is covered later in this section of the manual.
3-704A Responsibilities
The Division of Construction, Office of Risk Management, is responsible for
reviewing, approving, and monitoring contractor insurance documents.
The Office of Risk Management sends a notice of insurance approval to the districts.
Each district has a designated person responsible for notifying resident engineers about
insurance-related matters. That person serves as the resident engineers contact for all
insurance issues. The resident engineer files insurance-related documents in the
contract records.
3-704B Evidence of Insurance
The contractor may show evidence of insurance in two ways:
A contractor may be pre-approved for the insurance and indemnification
requirements before bidding on a Caltrans contract. If a contractor is pre-
approved, the Office of Risk Management will issue a certificate of pre-approved
insurance valid until the next insurance policy expiration date. The Division of
Construction has posted information and instructions for pre-approval of a
contractors insurance on its website at:
http://www.dot.ca.gov/hq/construc/riskmanagement/insurancepreapproval/

The contractor may bid on any Caltrans contract without first obtaining insurance.
If the contractor is the apparent low bidder, it must submit the insurance
documents to the Office Engineer as a condition of contract approval.
Ensure the contractors required insurance does not lapse during the life of the project.
If the contractor has not submitted the renewed insurance documents 10 days before
expiration of its previous insurance, the Office of Risk Management will:
Send a notice to the contractor that they have failed to comply with the insurance
requirements of the contract.
Send a copy of the notice to the districts insurance contact and the deputy district
director of construction.
If the contractor has not submitted the renewed insurance documents 1 day before the
expiration of the contractors insurance, the Office of Risk Management sends a second
notice to the districts insurance contact with a copy to the deputy district director for
construction and the Division of Constructions field coordinator.
3-704B (1) Actions Allowed by the Standard Specifications
After consultation with the deputy district director for construction and the Division of
Construction field coordinator, take one or both of the following actions:
Suspend the contractors operations in accordance with Section 8-1.06 [8-1.05],
Suspensions, of the Standard Specifications until the contractor submits the
insurance documents and the Office of Risk Management approves them. Inform
the contractors surety in writing that the contractor has failed to maintain
insurance as required by the contract and that the work has been suspended
temporarily.
Act in accordance with the provisions of Section 7-1.06H [7-1.12B],
Enforcement, of the Standard Specifications, which allows Caltrans to maintain
the required insurance coverage and withhold or charge the expense to the
contractor or to terminate the contractors control of the work in accordance with
Section 8-1.13[8-108], Contractors Control Termination, of the Standard
Specifications.
Example 3-7.1, Notice of Contract Suspension of Work, in this section can be used
for either or both of the previous actions.
3-704C Railroad Protective Insurance
State highway construction occasionally requires a contractor to work on or near a
railroads operating property. This varies from minor side encroachments to work
involving the direct crossing of a railroads tracks. The contract defines the
relationships between Caltrans, the contractor, and the railroad.
When work must be performed on or near a railroads operating properties, the
contractor must provide insurance to ensure the financial ability to meet legal liability
for damage, and to cover the losses that a railroad might sustain because of the
contractors operations.
Requirements for railroad protective liability insurance vary depending on the railroad
company involved. If the contract includes an agreement with a railroad company,
Caltrans makes the provisions of the agreement available in the Information Handout
in the document titled "Railroad Relations and Insurance Requirements."

The district railroad agreements coordinator within the Right of Way and Land Surveys
unit in the district is the point of contact for all railroad insurance issues. Before the
contractor performs contract work that encroaches on the railroads operating
properties, the resident engineer must either receive a copy of the approved insurance
documents from the contractor or district railroad agreements coordinator, or confirm
with the district railroad agreements coordinator that the contractor has furnished
railroad protective insurance.
For emergency contracts, obtain verbal release and authority to start work after the
railroad has received all the insurance documents.
3-704C (1) Responsibility
The resident engineer must ensure the specified insurance is in force at all times when
work that requires such insurance is being performed.
Prohibit work that involves encroachment on railroad property by either a prime
contractor or subcontractor until the following conditions are met:
The railroad or the district railroad agreements coordinator advises the resident
engineer that the contractor, subcontractor, or both, have furnished the specified
insurance.
The resident engineer receives a copy of the approved proof of insurance.
3-704C (2) Insurance Renewal
The contractors or subcontractors obligation to renew the required railroad protective
insurance before expiration is specified in the contract. The Office of Risk
Management monitors the expiration of an approved railroad protective insurance. The
Office of Risk Management will notify the districts insurance contact if the contractor
fails to renew the railroad protective insurance.
If the contractor fails to renew the railroad protective insurance, suspend the operation
related to the railroad operating property as stated in Section 3-704B(1), Actions
Allowed by the Standard Specifications, of this manual.

Example 3-7.1. Sample Notice of Contract Suspension of Work Due to Insurance Lapse Letter
[City, CA Postal Zip Code] Serious drought.
[PHONE (Area Code) xxx-xxxx] Help save water!
TTY 711
www.dot.ca.gov
[Name of Surety Company]

[Address]
[City, State ZIP]
Subject: Notice of Contract Suspension of Work Due to Insurance Lapse

[Contractors Name]
[Contract Number/Project Description]
Dear Surety:
This is to notify you that [insert contractors name] has failed to maintain insurance on Contract No. [insert contract
EA and project description] as required under Sections 7-1.05, Indemnification, and 7-1.06, Insurance, of the
Standard Specifications. In accordance with Section 8-1.06, Suspensions, of the Standard Specifications
[contractors name]s operations on Contract No. [insert contract EA] are suspended effective [effective date of
temporary work suspension].
Your attention is directed to the provisions of Section 10253 of the Public Contract Code and to Section 8-1.09,
Contractors Control Termination, of the Standard Specifications relating to the contractors failure to comply with
the insurance provisions of the contract. According to PCC 10253, unless the contractor submits proof of the
required insurance as required by the contract, Caltrans may issue a 5-day notice to terminate the contractors
control.
You will be notified if the contractor provides the required proof of insurance before a notice to terminate the
contractors control of the work.
If you have questions, please contact me at [(area code) xxxxxxx].
Sincerely,

Resident Engineer
c:
bc:

Section 8 Prosecution and Progress

3-801 Schedule
3-802 Preconstruction Conference
3-803 Start of Job Site Activities
3-803A Work Before Contract Approval
3-803B Flexible Start
3-803C Potential Budget Impasse Start
3-803D Delayed Start
3-803E Next Day Start
3-804 Time
3-804A Weekly Statement of Working Days
3-804A (1) The Record Section (Upper Block)
3-804A (2) Change Order Time Adjustments (Center Block)
3-804A (3) Computation of Extended Date for Completion (Lower Block)
3-804A (4) Final Weekly Statement of Working Days
3-804A (4) Examples
Example 3-8.1 First Working Day/Begin Work
Example 3-8.2 Change Order Time Adjustment
Example 3-8.3 Revised Weekly Statement of Working Days for Nonworking Day
Example 3-8.4 Nonworking Day Due to Temporary Suspension
Example 3-8.5 Type 2 Plant Establishment Period. Highway Work Not Yet Completed
Example 3-8.6 Type 1 Plant Establishment. Non-Plant Establishment Work Completed
Example 3-8.7 Final Weekly Statement of Working Days
Example 3-8.8 Contract in Overrun
Example 3-8.9 Calendar Day Project
3-805 Suspensions
3-805A Suspensions Related to Contractor Performance
3-805B Suspensions Unrelated to Contractor Performance
3-806 Delays
3-806A Payment Adjustments
3-806B Material Shortage
3-807 Liquidated Damages
3-807A Failure to Complete Work Parts Within Specified Times
3-807A (1) Case 1
3-807A (2) Case 2
3-807A (3) Case 3
3-807A (4) Case 4

Prosecution and Progress 3-8.i
3-808 Contractors Control Termination
3-808A Work Completed by the Surety
3-808B Work Not Completed by the Surety
3-808B (1) Section 1
3-808C Billing
3-809 Contract Termination
3-809A Federal-Aid Contracts on the National Highway System

3-8.ii Prosecution and Progress
Section 8 Prosecution and Progress Prosecution and
Progress
3-801 Schedule 3-801

Three levels of critical path method schedules are defined in Section 8-1.02, Schedule
Schedule, of the Standard Specifications. The level is determined by the number of
working days and the total bid amount.
Make every effort to obtain a reasonable baseline schedule at the beginning of the
contract. Record in a daily report any communication regarding the schedule. Notify
the contractor in advance if a progress payment will be withheld for failure to submit a
satisfactory schedule.
In general, schedules should:
Separate the major items into activities that are likely to become the controlling
activity or activities.
Be used by the resident engineer and the contractor to monitor and evaluate
progress, determine controlling items of work, and analyze time impacts from
changes or work delays.
Be consistent with contract time requirements.
Display milestones such as placing traffic on detours or new pavement and
beginning new phases of the work in staged construction.
Require the contractor to submit an updated or revised schedule monthly or when
significant changes occur in the project. Level 1 and level 2 specifications require that
you request a revised schedule to evaluate alterations to the critical path or an extension
to the completion date. For these levels, the revised schedule may be used in lieu of a
time impact analysis. Also refer to critical path method training publications, Intro to
CPM Scheduling with Suretrak, Advanced CPM Scheduling with Suretrak, and Project
Scheduling with Primavera P6, located on the Division of Construction intranet
website.
3-802 Preconstruction Conference 3-802
Schedule a preconstruction conference as soon as practical after a contractor has been Preconstruction
selected for a project. Be prepared to discuss with the contractor the items in Conference
Section 8-1.03, "Preconstruction Conference," of the Standard Specifications.
Refer to Section 5-003, Preconstruction Conference with the Contractor, of this
manual for additional guidance. Review the job with Caltrans personnel before the start
of construction, and refer to Section 5-002, Preconstruction Conference with Caltrans
Personnel, of this manual.

Prosecution and Progress 3-8.1
3-803 3-803 Start of Job Site Activities
Start of Job Site This section covers the subject of when the contractor begins work. Do not confuse the
Activities beginning of work with the beginning of contract time which is specified in Section
8-1.05 [8-1.03], Time, of the Standard Specifications, and the date used on Form
CEM-2701, Weekly Statement of Working Days (Section 3-805, Time of
Completion, of this manual).
Section 8-1.04 [8-1.03], Start of Jobsite Activities, of the Standard Specifications
requires the contractor to begin work on a project within 15 calendar days after
receiving notice of contract approval. The special provisions may modify the 15-day
requirement for some instances including:
Flexible start
Delayed start
Potential budget impasse start
Next-day start
The start of job site activities may not coincide with the first chargeable working day.
The contractor is required to submit a 72-hour notice before the start of job site
activities. If the project has work at more than one location, require submittal of a
separate notice for each location.
Determine when to record the beginning of job site activities based on judgment and
experience. For example, setting up construction area signs might be the only work
underway. If conversations with the contractor indicate movement toward pursuing the
work, the setting up of signs is sufficient to indicate the beginning of job site activities.
Record the date the contractor begins job site activities on Form CEM-2701, on the
resident engineers daily report, and on the original or supplemental Form CEM-6003,
Progress Pay-Estimate, Project Initiation or Update. For more information, see
Section 5-103B (3), Completing Form CEM-6003, Progress PayEstimate Project
Initiation or Update, of this manual.
Record the districts actions toward encouraging the contractor to begin work. Notes of
discussions from the preconstruction conference or other conversations with the
contractor provide the necessary records. If a contractor fails to begin work by the
specified time, remind the contractor of this failure under Remarks on Form
CEM-2701.
Send a separate letter with an additional reminder which includes notice that, according
to Section 8-1.05 [8-1.03] Time, of the Standard Specifications, the contract time
starts on the day specified in Section 8-1.04 [8-1.03] Start of Job Site Activities, of
the Standard Specifications or on the day job site activities are started, whichever
occurs first.
If you decide that failure to begin work will result in unsatisfactory progress, discuss
the situation with your district management.
3-803A Work Before Contract Approval
After the contractor has executed and returned the contract to Caltrans, the contractor,
after submitting the specified notice, may enter the site and begin job site activities.
When a contractor wants to start work before contract approval, call the Office of
Office Engineer, contract documents unit, to determine whether Caltrans has received

3-8.2 Prosecution and Progress
the executed contract documents. If the office has received the documents, proceed as
set forth in Section 8-1.04 [8-1.03], Start of Job Site Activities, of the Standard
Specifications.
If a contractor wants to begin work before contract documents have been delivered to
Caltrans, the contractor must obtain an encroachment permit from the district. The
permit must incorporate the same terms stated in Section 8-1.04 [8-1.03] that apply
after the contractor has returned the executed contract documents to Caltrans but before
the time of the contracts approval. In addition, the permit must include the following:
A statement that the contractor is responsible and liable for any personal injury or
property damage resulting from the work.
The requirements for cooperation contained in the special provisions and in
Section 5-1.20 [7-1.14], Coordination with Other Entities, of the Standard
Specifications. The terms of the permit should include notice that the contractor
may be working on the site concurrently with others performing utility relocation,
right-of-way clearance work, or other construction activities and that the work of
the others will take precedence over the contractors job site activities. When
obvious conflicts are apparent, a permit should not be issued.
The limits of the area in which work will be performed.
The activity or activities to be performed.
A statement that the contractor will comply with the requirements of the contract
plans, the Standard Specifications, the projects special provisions, and any order
of work specified in these documents.
A statement that the contractors job site activities will not deprive property owners
of access.
A requirement to provide an adequate bond (or cash deposit) to cover the work
contemplated before starting any work. The amount should be the same as for
other types of work, as covered in the Manual for Encroachment Permits on
California State Highways.
A reference to the contracts water pollution control requirements.
When extra work must be a first order of work, it should be performed under a prior
authorization, as covered in Section 5-3, Change Orders, of this manual. After the
executed contract documents have been delivered as specified, change orders may be
approved in the normal manner. The district must not process requests for maintenance
and protection relief or contract acceptance until after the contracts approval.
3-803B Flexible Start
Flexible start is a beginning-of-work specification that allows a contractor to choose the
first working day based on conditions defined by the district before advertising. This
section applies in cases where the standard 15-day start has been modified to a flexible
start in the special provisions.
The contractor must submit a request for authorization to establish the first working
day within 10 days after contract approval. If the contractor does not submit the request
for authorization to begin work within 10 days after contract approval, the first working
day will be 15 days after contract approval.

3-803C Potential Budget Impasse Start
Minor A or highway maintenance program projects advertised before the fiscal year in
which the project is budgeted will include additional contract language restricting the
start of work date to begin after the State of California budget becomes law.
3-803D Delayed Start
This section applies in cases where the standard 15-day start has been modified to a
delayed start. For example, the special provisions may allow a 55-day delayed start.
Work should not be started at the job site until the resident engineer approves the
submittals listed in the special provisions. Work may be started at the job site before
the time specified in the delayed start if the submittals are approved and the resident
engineer authorizes the start in writing. The beginning of work provision allows
adequate time for contractors to prepare, and for the resident engineer to approve,
specified submittals before job site activities begin. Review and approve satisfactory
contractor submittals or return insufficient submittals within contractually required
time frames.
3-803E Next-Day Start
Informal-bid contracts may be used after a catastrophic incident or after a notification
of a threat of future significant damage. The special provisions for these types of
projects require that the start of job site activities begin the next business day after
contract approval.
3-804 3-804 Time

Time Section 8-1.05 [8-1.06], Time of the Standard Specifications discusses the use of the
Form CEM-2701, Weekly Statement of Working Days, as the method of tracking
contract time. Issue this weekly statement to the contractor every week until the
contract is accepted. To determine if the progress of the work may require a
withholding, refer to Section 3-906F (1), Progress Withholds, of this manual.
Section 1-1.07 [8-1.06], Definitions, of the Standard Specifications, defines the terms
day, working day, and controlling activity. Days during the contract are either a
working day or a nonworking day. However, the contracts special provisions may
modify the definition of working days.
The total time allowed for completion of a contract is a specified number of working
days. The computed date for completion of a contract is the date of the last working
day, based on the number of working days specified in the original contract. On most
projects, situations arise that extend the date for completion beyond the computed date
for completion. The computed date for completion will be extended by either
charging a nonworking day or by writing a change order which adds working days to
the contract.
3-804A Weekly Statement of Working Days
Use Form CEM-2701, Weekly Statement of Working Days, to report the status of
contract time to the contractor.
As soon as possible and no later than the end of the following week, forward the
original statement to the contractor. Send one copy to the district construction office for
review, and file another copy with the project records. Form CEM-2701 consists of
three sections:

3-804A (1) The Record Section (Upper Block)
This section is used to record all working days, nonworking days as defined in Section
1-1.07 [8-1.06], Definitions, of the Standard Specifications; and working days on
which no productive work was performed on the controlling activity. In this section,
tabulate each elapsed working and nonworking day during the life of the project.
Each day, determine whether to charge a working day and, if necessary, discuss the
decision with the contractor. The current controlling activity is the basis of this
determination; therefore, the resident engineer must base the decision on conditions
effective on the day under consideration. If the progress schedule does not accurately
represent conditions effective on that day, request that the contractor update the next
progress schedule to provide an accurate representation. Note on Form CEM-2701 the
activity that, in your opinion, is currently controlling. If the contractor does not concur,
the entry will give the contractor an opportunity to protest formally.
If the controlling activity is not dependent upon weather, such as concrete curing or an
embankment settlement period, a working day must be charged during inclement
weather.
When determining nonworking days, loss of time because of inclement weather may
extend beyond the period of actual inclement weather. Situations occur where there is
no progress toward contract completion though the full crew might have worked the
entire day. This may be due to the grade being too wet to work, access to the work
needing to be reestablished, or saturated material needing to be removed from the tops
of slopes.
Inclement weather can be other than wet or cold weather. For instance, it may be too
hot to produce concrete that meets specified temperatures. If all specified precautions
have been complied with and the concrete work is the controlling activity, a weather
nonworking day should be granted.
If a nonworking day is granted because of requirements in Section 12, Temporary
Traffic Control, of the Standard Specifications, state the reason as traffic restriction
in the Remarks section of Form CEM-2701.
In the column Working Day No Work Done on Controlling Operation, record any
working day on which no work is done on the project or on the controlling activities. If
the reasons are known for lack of work, note them in the Remarks section and on the
daily report.
3-804A (2) Change Order Time Adjustments (Center Block)
This section is used for recording adjustments of time as a result of approved change
orders. In the column under Change Order Days Approved, record working days
granted for approved change orders during the week. In the column under Change
Order Number, list the approved change order numbers corresponding to the working
days granted during the week. In considering a time adjustment, deduct all nonworking
days within the adjustment period, and ensure that the adjustment is made only for the
working days charged to the contract during the adjustment period. For additional
information on time adjustments after contract completion, refer to Section 3-807,
Liquidated Damages, of this manual.

3-804A (3) Computation of Extended Date for Completion (Lower Block)
In the lower section of Form CEM-2701, summarize the information the contractor
will receive. The first working day is the calendar day specified in Section 8-1.05
[8-1.03], Time, of the Standard Specifications. This day is usually the 15th calendar
day after contract approval. If the contractor starts job site activities before the 15th day
after contract approval, the first working day is the day the contractor starts job site
activities.
Several methods are used to specify the first working day. Read and understand the
contracts specifications and correctly record the date of the first working day.
Use the Construction Workday Calendar to determine the correct values to place in the
Numbered Day column on Form CEM-2701 for the first working day, the computed
date for completion, and the extended date for completion. Standard 5-day and 7-day
calendars are available online:
http://www.dot.ca.gov/hq/construc/calendar/index.htm
The number shown on the calendar on a particular date is that dates numbered day.
Refer to Section 4-2002C (8), Plant Establishment Work, of this manual for
guidelines on plant establishment time requirements and computation of the extended
date for completion.
3-804A (4) Final Weekly Statement of Working Days
Designate the Form CEM-2701 that is used for the week when a contract is accepted as
the Final Weekly Statement of Working Days. Prepare this statement on the day the
district accepts the contract and ensure that the statement reflects the approved status
of time on this date. For revising the status of time from that shown on the final
weekly statement of working days, refer to Section 3-807, Liquidated Damages, later
in this section.
3-804A (5) Examples
The following pages show examples of typical entries for Form CEM-2701, Weekly
Statement of Working Days.

Example 3-8.1. First Working Day/Begin Work
(Form may be changed pending revised Standard Specifications and Construction Management System implementation.)
STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION
WEEKLY STATEMENT OF WORKING DAYS
CEM-2701 (REV. DRAFT) JOB STAMP
ADA Notice 08-888884

For individuals with sensory disabilities, this document is available in alternate
formats. For information call (916) 654-6410 or TDD (916) 654-3880 or write
Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814
REPORT NUMBER 1
CONTRACTOR WEEK ENDING (month, day, year)

Name of Contractor, Inc. 03/24/2012
Working Day
No Work
1 Nonworking
Date Day Weather, Weather Conditions or Other Conditions Working Day Done on
Day
Controlling
Activity2
03/18/12
03/19/12 Monday 0
03/20/12 Tuesday 0
03/21/12 Wednesday First Working Day - Clear 1
03/22/12 Thursday Clear 1
03/23/12 Friday Clear 1
03/24/12
Days this week _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 3 0 0
Days previously reported _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 0 0 0
Total days to date _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 3 0 0
Change Order
Change Order Time Adjustments Days Change Order
Approved Numbers3
Days this report _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 0 None
Days previously reported _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 0
Total change order days to date _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 0
Number of Numbered
Computation of Extended Date for Completion
Days Day5 Date
1. First working day_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 755 03/21/12
2. Original working days specified in contract _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 40
3. COMPUTED DATE FOR COMPLETION (line 1 + line 2 - 1) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 794 05/15/12
4. Total change order days approved to date _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 0
5. Total nonworking days to date4_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 0
6. EXTENDED DATE FOR COMPLETION (line 3 + line 4 + line 5) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 794 05/15/12
7. Revised working days for contract (line 2 + line 4) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 40
8. Total working days to date_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 3
9. WORKING DAYS REMAINING (line 7 - line 8) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 37
CONTROLLING ACTIVITY(IES)
Installation of construction area signs.
REMARKS
th
Contract approved on March 6, 2012. Refer to Special Provisions Section 4, the first working day 15 day after contract approval.
The contractor will be allowed fifteen (15) days in which to protest in writing the correctness of the statement;
otherwise, the statement shall be deemed to have been accepted by the contractor as correct.
NOTE: Footnote instruction for resident engineer are on reverse side.
RESIDENT ENGINEER SIGNATURE DATE
Distribution: Original contractor; Copies district and resident engineer

Example 3-8.2. Change Order Time Adjustment

REPORT NUMBER 3

Working Day
No Work
1 Nonworking
Day
Controlling
Activity2
04/01/12
04/02/12 Monday Rain 0 1
04/03/12 Tuesday Cloudy Wet Grade 0 1
04/04/12 Wednesday Clear 1 0
04/05/12 Thursday Clear 1 0
04/06/12 Friday Clear 1 0
04/07/12
Days this week _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 3 2 0
Change Order
Approved Numbers3
Days this report _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 2 #2
Number of Numbered
Days Day5 Date
Shoulder widening at location 2 EB, A line Station 2+00.
REMARKS
04/04 and 04/05 granted 2 days time adjustment for extra work related to CCO #2 at location 2.

Example 3-8.3. Revised Weekly Statement of Working Days for Nonworking Day

REPORT NUMBER 4 (REVISED)

Working Day
No Work
1 Nonworking
Day
Controlling
Activity2
04/08/12
04/09/12 Monday Labor Dispute (Revised) Cloudy 0 1
04/10/12 Tuesday Labor Dispute (Revised) Cloudy 0 1
04/14/12
Days this week _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 3 2 0
Change Order
Approved Numbers3
Days this report _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 0
Number of Numbered
Days Day5 Date
Shoulder widening at location 3 EB, A line Station 4+00.
REMARKS
A review of our records indicate that the controlling activity of shoulder widening was delayed by a labor dispute on
04/09/12 and 04/10/12. In accordance with definition of working day of the Standard Specifications, and your letter
dated April 20, 2012, two nonworking days are granted and shown in this report.

Example 3-8.4. Nonworking Day Due to Temporary Suspension

REPORT NUMBER 5

Working Day
No Work
1 Nonworking
Day
Controlling
Activity 2
04/15/12
04/16/12 Monday Clear 1 0
04/17/12 Tuesday Clear 1 0
04/20/12 Friday Clear Suspension 0 1
04/21/12
Days this week _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 4 1 0
Change Order
Approved Numbers3
Days this report _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 0
Number of Numbered
Days Day5 Date
Digouts from Station 1+00 to 3+00.
REMARKS
Work is suspended for April 20, 2012 in accordance with Section 8-1.06B, Suspensions Unrelated to Contractor Performance, of the
Standard Specifications and will be recorded as a nonworking day. The town has a special event on 04/21/12.

Example 3-8.5. Type 2 Plant Establishment Period Highway Work Not Yet Completed
Refer to Section 4-2002C (8), Plant Establishment Work, of this manual for more information.


REPORT NUMBER 8
Working Day No
Work Done on
Date Day Weather, Weather Conditions or Other Conditions1 Working Day Nonworking Day
Controlling
Activity 2
05/13/12
05/14/12 Monday Clear 1 0
05/15/12 Tuesday Clear 1 0
05/16/12 Wednesday Clear (PEP started, see remarks) 1 0
05/19/12
Days this week _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 5 0 0
Change Order Change Order

Change Order Time Adjustments
Days Approved Numbers3
Days this report _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 0
Number of Numbered
Days Day5 Date
Paving final lift on EB A line Station 0+50 to 15+00.
REMARKS
Begin Type 2 plant establishment period of bioswales (Location 6 and 10).
Status of plant establishment work and working days
1. Plant establishment period started 05/16/12
2. There are 125 plant establishment days in this contract 125
3. Working days previously credited 0
4. Working days credited this week 3
5. Total plant establishment days credited to date 3
6. Plant establishment days remaining 122

Example 3-8.6. Type 1 Plant Establishment. Non-Plant Establishment Work Completed
Refer to Section 4-2002C (8), Plant Establishment Work, of this manual for more information.

CEM-2701 (REV. DRAFT)
JOB STAMP

REPORT NUMBER 39

Working Day No
Work Done on
Controlling
Activity 2
12/16/12
12/17/12 Monday Rain Contract Accepted (end of PEP) 0 0
12/18/12 Tuesday 0 0
12/19/12 Wednesday 0 0
12/20/12 Thursday 0 0
12/21/12 Friday 0 0
12/22/12
Days this week _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 0 0 0

Days this report _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 0
Number of Numbered
Days Day5 Date
2. Original working days specified in contract _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 165 *
End of PEP.
REMARKS
Contract work completed 06/15/12 (42 WDs), WSWD Report Number 42. End of PEP on 12/17/12, contract accepted on 12/17/12. Final WSWD. * - PEP plus non-PEP time added
(125 + 40 = 165 working days).

Example 3-8.7. Final Weekly Statement of Working Days
REPORT NUMBER 49

Working Day No
Work Done on
Controlling
Activity2
12/16/12
12/17/12 Monday Rain Contract Accepted (end of PEP) 0 0
12/18/12 Tuesday 0 0
12/19/12 Wednesday 0 0
12/20/12 Thursday 0 0
12/21/12 Friday 0 0
12/22/12
Days this week _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 0 0 0

Days this report _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 0
Numbered
Computation of Extended Date for Completion Number of Days
Day5 Date
PEP
REMARKS
Contract work completed 06/15/12 (42 WDs), WSWD Report Number 42. End of PEP on 12/17/12, contract accepted on 12/17/12. Final WSWD.


Example 3-8.8. Contract in Overrun
04-888884
ADA Notice
REPORT NUMBER 80

Another Name of Contractor, Inc. 10/27/2012
Working Day
No Work
1 Nonworking
Day
Controlling
Activity2
10/21/12
10/22/12 Monday Clear 1* 0
10/23/12 Tuesday Cloudy 1* 0
10/24/12 Wednesday Cloudy 1* 0
10/25/12 Thursday Cloudy 1* 0
10/26/12 Friday Clear 1* 0
10/27/12
Days this week _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 5* 0 0
Change Order
Approved Numbers3
Days this report _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 0
Number of Numbered
Days Day5 Date
9. WORKING DAYS REMAINING (line 7 - line 8) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ -5*
Functional testing.
REMARKS
* Working days are shown for record only as the contract time has elapsed, contract time expired on 10/19/12. There are currently a
total of 5 working days overrun through October 26, 2012.

Example 3-8.9. Calendar Day Project

REPORT NUMBER 80

Yet Another Name of Contractor, Inc. 11/10/2012
Working Day
No Work
1 Nonworking
Day
Controlling
Activity2
11/04/12 Sunday Clear 1 0

11/05/12 Monday Rain 0 1
11/06/12 Tuesday Cloudy Wet Grade 0 1
11/08/12 Thursday Cloudy 1 0
11/10/12 Saturday Clear 1 0
Days this week _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 5 2 0
Change Order
Approved Numbers3
Days this report _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 0
Number of Numbered
Days Day5 Date
Timber lagging at wall 2 (11/04 11/07); excavation for tieback of level 3 at wall 1 (11/08 11/10).
REMARKS
Wet grade prevented excavation at wall 2 for timber lagging and wall 1 bench after rain event on 11/05/12, 2 nonworking days provided.

3-805 3-805 Suspensions
Suspensions Temporary suspension of work is covered under Section 8-1.06 [8-1.05],
Suspensions, of the Standard Specifications and gives the resident engineer the
authority to suspend work. The two general categories of suspensions are described
below.
In areas subject to severe weather, it is permissible to suspend an entire project if this
action is considered to be in the best interest of Caltrans. However, authority to suspend
work is limited to the reasons stated in Section 8-1.06. When an entire project is
suspended for reasons that do not fall under the scope of Section 8-1.06 the suspension
must have the contractors concurrence.
A suspension does not always impact the entire project; it might only affect some
items. Usually this type of suspension is used when either the work or the public will
be affected adversely by continued work activity. Although this type of suspension is
an option available only to the resident engineer, consider the contractors opinion on
such a suspension.
3-805A Suspensions Related to Contractor Performance
Any letter that orders such a suspension must include references to applicable sections
of the specifications and, if possible, state the conditions under which work may be
resumed. Such action is taken only after careful consideration of all aspects of the
problem.
3-805B Suspensions Unrelated to Contractor Performance
This type of suspension may result from any condition unfavorable for the prosecution
of the work. This includes anticipated heavy traffic because of a holiday or a special
event.
During any suspension, advise the contractor of the conditions under which
maintenance will be performed. During a suspension, preferably use the contractor to
perform work necessary to provide for public convenience or public safety. If Caltrans
must perform such work, the district will request a directors order, financed from the
contract allotment, that allows the district to hire a contractor to perform the work at
force account.
When the reason for a suspension no longer exists, or when favorable conditions for
resuming work are expected, notify the contractor in writing. The letter must state the
date when working days will resume and must allow sufficient time to permit the
contractor to remobilize the necessary labor and equipment. Generally speaking, a
period of 10 working days is considered reasonable.
Because of an ordered suspension of work, the contractor may be due additional
compensation, contract time, or both depending on whether the delay is a critical delay
or just an excusable delay.
3-806 3-806 Delays
Delays
3-806A Payment Adjustments
Section 8-1.07 [8-1.07], Delays, of the Standard Specifications covers provisions for
delay-related time or payment adjustments.

The resident engineer must monitor the progress of any work that may cause an
excusable delay or critical delay. To avoid or mitigate the effects of delays, initiate
action such as the following:
Initiate requests to the district utility coordinator to modify agreements that would
allow the contractors forces to perform work under change order. Section 5-1.36D
[8-1.10], Nonhighway Facilities, of the Standard Specifications covers such
work by the contractor.
Initiate any changes in the order of work that would eliminate or mitigate an
excusable delay or critical delay, provided that any cost involved would not exceed
the estimated cost resulting from a delay.
If an excusable delay or critical delay occurs, take the following actions:
Determine the length of the delay.
Make a list of the equipment that will be affected by the delay. Attempt to get
agreement from the contractor regarding the lists accuracy.
Estimate the cost of the delay using the method specified in Section 8-1.07C
[8-1.09], Payment Adjustments, of the Standard Specifications.
Estimate the cost of removing the affected equipment from the project and
returning it when the delay is over.
Compare the costs and choose the most cost-effective option. If the contractor
removes the equipment, but the cost for doing so is higher than leaving the
equipment on the project, pay only the delay cost for idle equipment.
If the contractor does not remove the equipment, attempt to determine how the
contractor intended to use the delayed equipment. Review the progress schedule to
determine if the contractor intended to use the delayed equipment full time or if the
contractor intended some idle time. Use this estimate of time when determining
delay costs.
3-806B Material Shortage
Material shortage is defined in Section 1-1.07 [8-1.07], Definitions, of the Standard
Specifications. Do not make a time adjustment for a material shortage. Days during a
material shortage are considered nonworking days. Before a determination of
nonworking days can be made, several conditions must be satisfied:
A request for information for the delay exists.
The contractors request for information must be received no later than 15 days
after the material shortage first caused the work delay.
The delay must affect the controlling activity.
If the delay does not affect the controlling activity, advise the contractor
accordingly in writing. If the contractor asks to be allowed to substitute the
unavailable material with available material, the resident engineer must seek
assistance from those responsible for the design. Change orders are to be processed
as contractor-requested changes.
The materials, articles, parts, or equipment are standard items.
Standard items are produced to meet the specifications of such industry-wide
organizations as the American Association of State Highway and Transportation

Officials (AASHTO), the American Society for Testing and Materials (ASTM),
the American Wood-Preservers Association, the American Institute of Steel
Construction (AISC), and the United States Department of Agriculture (USDA),
among others. The fact that Caltrans specifications refer to these standards does not
alter the items status.
Standard items include those that are listed in a catalog and are available for
immediate delivery, and items that are normally shelf items available for purchase
at supply houses. Items that are manufactured only upon order are not standard
items even if included in a catalog.
Examples of materials that are usually considered standard items:
1. Commercial fertilizer (industry specification)
2. Soil amendment (industry specification)
3. Iron sulfate (USDA)
4. Straw (USDA)
5. Seed (USDA)
6. Lumber (industry specification)
7. Plants (USDA)
8. Pipes and conduit, except cast-in-place (industry specification)
9. Backflow preventers (industry specification or catalog item)
10. Lime (industry specification or shelf item)
11. Asphalt (industry specification or shelf item)
12. Timber piles (industry specification)
13. Steel plates or shapes shown in the AISC handbook (shelf item)
14. Prestressing steel (industry specification)
15. Expansion joint materials (industry specification)
16. Elastomeric bearing pads (industry specification)
17. Steel bars for reinforcementthe material, not the bending and cutting (shelf
or catalog item)
18. Bolts (industry specification)
19. Pumping plant equipment, components only (catalog items)
20. Miscellaneous metal, material, not fabrication (industry specification)
21. Fence posts, wire, fabric, hardware (industry specification)
22. Guide marker posts, plates, reflectors, hardware (industry specification)
23. Metal beam guard railing (industry specification)
24. Metal beam barrier (industry specification)
25. Type 1 lighting standards (industry specification)
26. Electrical conductors (industry specification)
27. Controller components (industry-wide catalogs)

28. Traffic signals and fittings (proprietary item)
29. Lamps for luminaries (proprietary item)
30. Ballasts (proprietary item)
31. Cement (industry specification or shelf item)
32. Pavement markers (proprietary item)
Items that do not fall into the above list and that are produced to meet the requirements
of Caltrans plans and specifications are not standard items. For example, the following
materials are usually not standard items:
1. Processed structure backfill material.
2. Pervious backfill material.
3. Aggregates for bases and subbases.
4. Aggregates for cement-treated base, asphalt concrete, portland cement
concrete, rock slope protection, and screenings.
5. Wood chips.
6. Portland cement concrete.
7. Traffic signal and lighting standards (except Type 1).
8. Controller assembly.
9. All material manufactured to meet a state specification such as curing
compound, paint, or epoxy.
10. Concrete piling.
The nonstandard items listed above may contain components that are in short
supply. They may then be eligible for consideration in a material shortage situation
if the component is a standard item.
If a physical shortage exists.
The term physical shortage means that the standard item or component of a
standard item is not available at the time it is required for work on a controlling
activity. However, do not consider an extension if the physical shortage results
from any of the following:
1. Untimely ordering of material.
2. Failure to make a requested down payment.
3. Lack of credit.
You must presume that a contractor, when submitting a bid, thoroughly considers
all aspects of procuring materials and bids accordingly. This thorough
consideration can include timely delivery commitments, price, and responsibility
for meeting specifications.
Whenever it has been determined that an industry-wide shortage exists, the
Division of Construction will advise all districts
A physical shortage will not be considered to exist if either the contractor or a
subcontractor has failed to perform any required fabrication or processing.

Whether the contractor diligently tried to obtain the material.
Require the contractor to furnish documented proof of dates that material was
ordered and confirmed. The orders must have been placed sufficiently in advance
of the desired delivery to cover a normal lapse time in the particular industry.
However, you cannot expect the contractor to have placed orders before contract
approval.
If the contractors order was timely, request documented proof of efforts to obtain
material from alternate sources that normally supply such materials to projects in
the area. Alternate sources include, when possible, production of an item using the
contractors own forces.
If written proof is unavailable from an alternate source, the resident engineer may
accept a verbal confirmation from a supplier. Record such confirmation in the
daily report. When no alternate source exists or when procurement from an
alternate source may delay delivery even longer than procurement from the
original source, also record confirmation of this situation.
3-807 3-807 Liquidated Damages
Liquidated Damages Section 8-1.10 [8-1.07], Liquidated Damages, of the Standard Specifications lists the
daily rate to be charged for damages related to contract time overrun.
3-807A Failure to Complete Work Parts within Specified Times
If the Extended Date for Completion on the final Weekly Statement of Working
Days contains a date before the date of the contracts completion, an apparent overrun
has occurred. Proceed as follows:
3-807A (1) Case 1
The district intends to assess liquidated damages for the overrun shown on the final
Weekly Statement of Working Days. Enter the deduction for liquidated damages into
the project records, and proceed with the proposed final estimate.
3-807A (2) Case 2
The district intends to change the status of time from that shown on the final Weekly
Statement of Working Days by time due on change orders. Time adjustments
resulting from change orders should have been resolved before the contracts
acceptance in accordance with instructions covered elsewhere in this manual. For those
instances where extenuating circumstances result in unresolved time for change orders
after completion, complete all deferred-time change orders, enter the data into the
project records, enter any remaining deductions for liquidated damages into the
records, and proceed with the proposed final estimate.
3-807A (3) Case 3
The district intends to change the status of time from that shown on the final Weekly
Statement of Working Days by changing working days to nonworking days. Obtain
concurrence for making such changes from the Division of Construction. Report the
recommended disposition of each item of unresolved time so clearly and completely
that no interpretation or further explanation is needed. Upon receipt of the
recommendations, the division will advise the district of what action to take.

Include a status of contract time in a form similar to the following:
Working Days
Calendar Date or Numbered Day
Date attorney general approved contract 3/06/2012 744
First working day 3/21/2012 755
Working days specified in contract 40
Computed date for completion 5/15/2012 794
Total change order time adjustments, final 5
CEM-2701
Nonworking days, final CEM-2701 75
Additional change order days 14
(if applicable)
Additional working days recommended 10
(if applicable)
Extended date for completion 10/12/2012 898
Date contract completed 10/12/2012 898
Remaining overrun 0
After the disposition of overruns has been determined, the district will advise the
contractor directly. Place copies of all memorandums in the project files as the record
of final disposition of overruns. For any unresolved overrun in time, show a deduction
to assess liquidated damages on the proposed final estimate. If the contractor objects to
this assessment, follow the claim procedures outlined in Section 5-4, Disputes, of this
manual.
3-807A (4) Case 4
When the final quantities of individual contract items have exceeded 125 percent of the
engineers estimate, not as a result of ordered changes, the district may recommend the
directors approval of a commensurate time extension. Such a recommendation is
subject to all of the following provisions:
Time is allowable only to the extent that each item was considered controlling.
Any time extension is applicable only to the excess above 125 percent of the
engineers estimate.
The maximum allowable time extension for each item cannot exceed the amount
of time determined by applying normal production rates to the increased quantity
of the item involved.
3-808 Contractors Control Termination 3-808
Section 8-1.13 [8-1.08], Contractors Control Termination, of the Standard Contractors
Specifications explains the contractual requirements for terminating the contractors Control
control of the work. Sections 10253 through 10260 of the Public Contract Code cover Termination
defaulted contracts.
Termination of control may occur only when a contractor fails to supply an adequate
work force, fails to supply material of proper quality, fails to make proper and timely

payments to subcontractors, or fails in any other respect to prosecute the work with the
diligence and force specified by the contract. Normally, when Caltrans terminates the
contractors control, the surety (bonding company) assumes responsibility for
completing the contract. The following are guidelines for determining if the contractor
may be failing to supply an adequate workforce:
If the percent completed of the contract is more than 25 percent behind the
percent time elapsed. These percentages can be found in the project status report.
Complete cessation of the work.
The work has not started within a period equal to 10 percent of the original
working days or 50 working days, whichever is less.
If the resident engineer suspects termination may be necessary, the resident engineer
must immediately notify the construction engineer and construction manager.
With agreement from the construction engineer, the Division of Construction field
coordinator, and the structure construction engineer (if applicable), the resident
engineer sends a letter to the contractor that describes the defaults to be remedied. The
letter also specifies the amount of time allowed to remedy the defaults and states that,
in accordance with Section 8-1.13 [8-1.08], Contractors Control Termination, of the
Standard Specifications, Caltrans will start the termination process if the defaults are
not remedied. A copy of this letter is sent to the contractors surety. Typically, Caltrans
allows 5 business days to remedy either failure to supply an adequate work force or
failure to supply proper quality material. Generally, 15 days are allowed to remedy
failure to pay subcontractors.
If the contractor fails to promptly remedy the defaults outlined in the resident
engineers letter, the district construction deputy director will send a request to the
Division of Construction chief to start the termination process. The request must
include:
The defaults to be remedied.
Current status of the contract, including dates the contractor last performed work.
Any other information considered pertinent.
To determine what action is necessary, the Division of Construction chief may call a
conference with the contractors representatives, its surety, the Division of
Construction field coordinator, and the district. If terminating the contractors control is
necessary, the Division of Construction chief will send a letter to the contractor, with a
copy to the surety, notifying the contractor that it has 5 business days to remedy the
defaults or Caltrans will terminate the contractors control of the work. The contractor
and surety will be responsible for any costs Caltrans incurs to complete the work.
If available, the contractor must be personally served with the 5-day notice letter. If
both the contractor and its representative are unavailable and their addresses are
known, send the letter by registered mail. If both the contractor and its representative
cannot be located and their addresses are unknown, post the 5-day notice letter in the
most conspicuous place within the project limits. If the contractor does not remedy the
defaults within the time required, the Division of Construction chief will send a letter to
the contractor notifying the contractor that its control of the work has been terminated.
The Division of Construction field coordinator will notify the district of the effective
starting date of the notice and will transmit any further instructions deemed necessary.

All 5-day notices and termination of control letters must include the following
language:
Your default may result in a review of your

responsibility to perform future work with Caltrans.
Once the contractors control has been terminated, the Division of Construction field
coordinator will notify the arbitration engineer in the Division of Construction by
forwarding a copy of the termination letter. The arbitration engineer will update and
maintain the termination database.
The district will maintain a file that can be used as evidence to defend the termination
or in a future responsibility hearing for the terminated contractor. The file should
remain in the district for a minimum of three years.
The Division of Construction chief will send a letter to the surety requesting the surety
to fulfill its obligations under the bond to complete the work with other forces. Because
it is typically preferred that the surety proceed with the contractual work, the resident
engineer should assist the surety in its efforts to complete the work. The resident
engineer will determine and resolve with the surety the precise quantities and costs
necessary to complete the work.
For additional information, refer to the Construction Coordinators Termination Desk
Guide on the Division of Construction intranet.
The following two sections describe the process to complete the contract after the
contractors control has been terminated.
3-808A Work Completed by the Surety
As requested by the surety, the Division of Construction field coordinator, with the
assistance of the district, negotiates a takeover agreement or a tender-and-release
agreement with the surety. A takeover agreement is an agreement between Caltrans
and the surety outlining terms and conditions for the remaining contract work to be
performed by the surety or a contractor hired by the surety. The surety is not released
from contract responsibility until the contract is accepted. A tender-and-release
agreement is an agreement between Caltrans and the surety outlining the terms and
conditions for the remaining work to be performed by a contractor recommended by
the surety. The recommended contractor agrees to do the remaining work and provides
new bonds, and the surety pays the additional contract costs. The surety is then released
from any further contractual responsibility.
Once the Division of Construction field coordinator has negotiated an agreement with
the surety, the coordinator sends a draft copy of the appropriate agreement to the surety
and requests that the surety make project specific revisions as needed. The Division of
Construction field coordinator will review the agreement and forward it to the Legal
Division. Both the Division of Construction field coordinator and the Legal Division
recommends approval. The Division of Construction chief approves either agreement.
In the interim between the termination of the contractors control of the work and
completion by other forces, the district must take all necessary steps to preserve any
already completed work. The district may use a separate work order for interim
maintenance work by day labor. Day labor may be obtained by entering into a
service contract with another contractor to perform the contract work. To use day labor,
a directors order is necessary.

3-808B Work Not Completed by the Surety
If time or circumstance does not permit the surety to complete the work, Caltrans may
elect to complete the work with its own forces. If the surety elects not to complete the
contract after termination of the contractors control over the work, the district may
complete the work by day labor or by informal contract. The district will determine the
amount of completed work, the amount of work remaining to be performed, materials
on hand, and extra work authorized. In the interim between the termination of the
contractors control of the work and completion by other forces, the district must take
all necessary steps to preserve any completed work. The district may use a separate
work order for interim maintenance work by day labor.
An informal contract permits a short advertising period. If the work will be completed
by informal contract, the resident engineer, with the assistance of the district office
engineer, will put together plans and specifications to complete the work, select three to
five bidders, and take informal bids for the work. The informal bids must be sent to the
contractor and the surety 3 days before the informal contract proceeds. In some cases,
additional funds will be needed to complete the work. The resident engineer must
request that the surety provide these funds although, under the Public Contract Code,
the surety is allowed to wait until completion of the work to make payment. If the
surety does not immediately provide these funds, the resident engineer may use
available contingency funds or submit a supplemental funds request, if needed.
If either the surety asks Caltrans to complete the work or Caltrans elects to complete
the work, the surety and the original contractor are liable to the state for the costs to
Caltrans resulting from the original contractors failure to complete the work. These
costs include:
The sum paid to the completion contractor to complete the various items to the
extent it exceeds the sum that would have been payable to the original contractor.
The sum of all costs to protect the work during the period between the original
contractor leaving and the completion contractor arriving (usually day labor costs).
The sum of all costs related to corrective change order work required to bring the
original contractors work into contract compliance and Caltrans engineering
costs to develop a completion contract and administer it. If appropriate, liquidated
damages may be used to estimate these costs.
During completion of the work, the resident engineer must maintain current contract
records to expedite billing. The project files must show the following:
Segregated quantities of work performed under the original contract and under the
day labor or informal contract for completion.
Overruns and underruns greater than 25 percent requiring adjustment.
Change orders.
All other pertinent information.
When the surety does not complete the work, the resident engineer must prepare a bill
for the original contractor and surety and break down the billing into the following five
sections:
Subsection AThis subsection lists the amount Caltrans paid for the entire contract
item work. This amount would be equal to the sum of the amount paid to the original

contractor for item work before the termination plus the amount paid to the completion
contractor to complete the item work.
Subsection BThis subsection shows the amount that would have been paid for the
item work assuming the original contractor had not defaulted on the contract.
Subsection CThis subsection lists the amount billable to the original contractor or
surety under Section 1 of the billing. This amount would be the difference between
Subsection A and Subsection B. If Subsection A is less than Subsection B, the original
contractor must not be credited with this amount; instead, a zero balance will apply.
This section lists the costs Caltrans incurred to maintain the contract during the period
between the original contractors departure and the arrival of the completion contractor.
These costs are usually day labor costs but may include costs incurred by the Caltrans
maintenance forces.
This section lists the change orders and related costs to correct any defects left in the
original work by the original contractor.
This section lists the engineering costs Caltrans incurred to develop, implement, and
administer the completion contract. Separate the administrative costs from the
development and implementation costs. Compare the total administrative engineering
costs with the liquidated damages costs incurred in the original contract, assuming the
original contract was not complete until the completion contractor finished its contract.
This section shows the amounts determined in Sections 1, 2, 3, and 4, and adds them
together. List the penal sum of the bond, along with the bond number. The penal sum
of a performance bond limits the responsibility of the surety. The original contractor
may be billed for the full cost of completion even when that cost exceeds the penal sum
of the bond.
3-808C Billing
The resident engineer sends the detailed billing, as described above, to the Division of
Accounting, abatements section, with instructions to prepare the accounts receivable
bill and to mail it to the contractor. If the contractor is not available, the resident
engineer should mail it to the surety. After payment is received, the abatements section
will credit the payment to a specific expenditure authorization.
If payment is not received within 45 calendar days, the abatements section will inform
the district construction deputy director that payment has not been received.
Representatives of district construction, the Division of Construction, and the Legal
Division will meet to discuss alternate courses of action and choose the appropriate
one. The abatements section must not submit the billing to a collection agency unless
the meeting participants have agreed to this action.
Keep backup documents in the project files and make them available to the surety upon
request. To ensure special handling of defaulted contracts, identify all related internal
correspondence with the words Defaulted Contract under the jobs file reference.

3-809 3-809 Contract Termination
Contract Termination Section 8-1.14 [8-1.11], Contract Termination, of the Standard Specifications
specifies the contractual requirements for termination when the district director
determines and the deputy director of Project Delivery approves that it is not in
Caltrans best interest to continue with the project.
When the majority of the contract work has been completed, it is normally not the
preferred alternative to terminate the contract. Instead, it is preferred to delete the
remaining work by change order, accept the contract, and provide additional payment
to the contractor, if necessary, in accordance with Section 9-1.17C [9-1.08], Proposed
Final Estimate, of the Standard Specifications.
Termination of contracts is rare. Section 4412 of the Government Code covers
contracts terminated in the best interest of Caltrans. The Division of Construction must
ensure that all necessary steps are taken in handling contracts terminated for the
convenience of Caltrans. To ensure the special handling of these types of terminated
contracts, identify all internal correspondence related to them with the words
Convenience Termination under the jobs file reference.
To initiate contract termination, the district director must write a letter to the Division
of Construction chief stating the reasons for requesting the termination. The letter
should include:
Reasons for the termination.
Work performed.
Work yet to be performed.
Any information pertaining to the advertisement date of the new contract.
If the Division Construction chief concurs, the Division of Construction will prepare a
letter to the deputy director of Project Delivery to reiterate the relevant points from the
districts letter and recommend approval for terminating the contract. If appropriate, the
deputy director of Project Delivery approves the termination.
Upon approval, the Division of Construction chief will issue a letter to the contractor,
signed by the deputy director of Project Delivery, notifying the contractor that Caltrans
will terminate the contract as soon as any work the resident engineer requested is
complete. When all work is complete, the district must accept the project.
The contractor will be paid all reasonable costs as computed according to Section
8-1.14 [8-1.11], Contract Termination, of the Standard Specifications. An audit of
the contractors cost records is normally required to resolve compensation issues. After
contract acceptance, payments can be made in accordance with Section 9-1.17D
[9-1.07B], Final Payment and Claims, of the Standard Specifications.
For additional information, refer to the Construction Coordinators Termination Desk
Guide on the Division of Construction intranet
3-809A Federal-Aid Contracts on the National Highway System
For federal-aid contracts, the resident engineer or construction engineer must contact
the Division of Construction field coordinator to obtain concurrence from the Federal
Highway Administrations engineer on the termination of a contract. Refer to the Code
of Federal Regulations, Title 23, Part 635 (23 CFR 635.125).

Section 9 Payment
3-901 General
3-902 Measurement
3-902A Method of Measurement
3-902B Accuracy
3-902C Source Documents
3-902D Audit Trail
3-902E Weighing Equipment and Procedures
3-902E (1) Personnel
3-902E (2) Responsibilities
3-902E (2a) Resident Engineers
3-902E (2b) District Weights And Measures Coordinator
3-902E (2c) Assistant Resident Engineers
3-902E (2d) Contractors
3-902E (2e) Division of Construction Weights and Measures Coordinator
3-902F Final Pay items
3-903 Force Account
3-903A Authorization for Force Account Payment
3-903B Force Account Records
3-903C Tentative Agreements
3-903D Markup for Subcontracted Work
3-903E Owner-Operated Labor and Equipment
3-903F Billing for Extra Work at Force Account
3-903G Labor
3-903H Material
3-903I Equipment Rental
3-903I (1) Equipment Selection
3-903I (2) Equipment Rental Rates
3-903I (3) Time in Operation
3-903I (4) Equipment Not on the Job Site
3-903I (5) Non Owner-Operated Dump Truck Rental
3-903I (6) Standby Time
3-903J Extra Work Performed by Specialists
3-904 Payment Adjustments
3-904A Changed Quantity Payment Adjustments
3-904A (1) Increases of More Than 25 Percent
3-904A (2) Decreases of More Than 25 Percent

Payment 3-9.i
3-904A (3) Eliminated Items
3-904A (4) Surplus and Salvaged Material
3-904B Payment Adjustments for Price Index Fluctuations
3-904C Work-Character Changes
3-905 Time-Related Overhead
3-905A Audit Examination and Reports
3-905B Payment
3-906 Progress Payments
3-906A Bid Items
3-906B Schedule of Values
3-906C Extra Work
3-906D Interest
3-906E Materials on Hand
3-906E (1) Materials at the Project
3-906E (2) Materials Not at the Project
3-906F Withholds
3-906F (1) Progress Withholds
3-906F (1a) Noncompliant Progress
3-906F (1b) Plant Establishment Work
3-906F (2) Penalty Withhold
3-906G Deductions
3-906H Supplemental Progress Payments
3-906I Negative Estimates
3-907 Payment After Contract Acceptance
3-907A Payment Before Final Estimate
3-907B Proposed Final Estimate
3-907C Semifinal Estimate
3-907D Final Payment and Claims
3-907D (1) Material to Submit with the Final Estimate
3-907E Payment Offset
3-908 Arbitration
Example 3-9.1 Quantity Calculations
Example 3-9.2 Form letter for Submitting Proposed Final Estimate to the Contractor
Example 3-9.3 Acceptance Statement Form
Example 3-9.4 Sample of the Proposed Final Estimate
Example 3-9.5 Sample of Project Record Estimate, Summary of Payment
Example 3-9.6 Schedule BExtra Work and Adjustment of Compensation
Example 3-9.7 Schedule of Extra Work
Example 3-9.8 Schedule of Deductions

3-9.ii Payment
Section 9 Payment Section 9

Payment
3-901 General 3-901
This section covers measurement and payment of bid item work and change order General
work, partial payments, and payment to the contractor after contract acceptance. The
contract provides the following methods to make payment for all work performed:
Payment for bid item work at unit prices. The contractor establishes the fixed
prices of the bid items included in the contract. Fixed prices of bid items should
not be confused with the costs to produce the work. Loss of profit, damage, repair,
cost escalation, or other unanticipated changes of item costs are the sole
responsibility of the contractor unless specifically provided for in the contract.
Adjustments to contract prices (known as payment adjustments).
Payment for change order work. Before payment can be made for change order
work, the resident engineer must issue an approved change order as described in
Section 5-3, Change Orders, of this manual. For additional information
regarding Caltrans policies on change order work, refer to Section 3-403,
Changes and Extra Work, of this manual. The methods specified for paying for
change order work are bid item prices, force account, agreed price, and specialist
billing.
Deductions and withholds are temporarily or permanently taken from monies due
under the contract.
3-902 Measurement 3-902
Contract work, as bid on by the contractor, is measured and paid for as bid items. Bid Measurement
items are measured for payment as units. The unit for each bid item is shown in the bid
item list as unit of measure. Bid items may be measured by units of count, length,
area, volume, weight, or lump sum. The bid item list also includes the estimated
quantity of each bid item. Resident engineers and assistant resident engineers must
determine, by measurement and calculation, the quantities of the various bid items
actually performed by the contractor.
3-902A Method of Measurement
Check the measurement or measurement and payment clauses in the specifications
for the required method of measurement for each bid item. Use the specified method to
measure quantities. For more information about measuring quantities for specific bid
items, refer to Chapter 4, Construction Details, of this manual.
A change in the unit or the method of measurement changes the contract. Do not
change the unit or the method of measurement unless the change is provided for in a
change order.

Payment 3-9.1
3-902B Accuracy
Measure and calculate bid item quantities to a degree of accuracy consistent with the
unit price of the item. Give early consideration to the accuracy desired so that all
personnel on a given project will measure and calculate uniformly. The general rule is
to measure to a degree of accuracy that, when calculated, the resulting value will be
accurate within 0.2 percent to 0.5 percent. A $50,000 item should be measured and
calculated to result in payment accurate within about $100.
3-902C Source Documents
Enter measurements and calculations for bid item quantities on permanent record
sheets that are commonly referred to as source documents. Include on each source
document the appropriate bid item number, the location of installation (if applicable),
the necessary measurements and calculations, and the name of the person preparing the
document. Check source document calculations independently, and enter the name of
the checker on the document.
Check source document calculations as soon as possible, preferably before the quantity
is entered on a progress pay estimate. Always check them before entry on the proposed
final estimate. Whenever possible, measure, calculate, and check bid item quantities as
the work on a bid item is completed. Resident engineers must assign responsibility for
checking calculations to assistant resident engineers in the same manner that other
project responsibilities are assigned.
Enter into the system for progress payment the quantities from the source documents.
For a description of the progress payment process, refer to Section 5-1, Project
Records and Reports, of this manual.
3-902D Audit Trail
State the source of any figure, calculation, or quantity shown on the source document.
For instance, a quantity may be the result of a field measurement, scale weights, a
count, or a calculation based on planned dimensions.
Create a clear and easily followed trail for the total pay quantity in the proposed final
estimate back to the first measurement or calculation for each bid item.
Consider organizing source documents for each bid item so an easily followed audit
trail exists. Category 47, Drainage Systems, in Section 5-102, Organization of
Project Documents, of this manual, provides a very good system, especially for large
projects, for organizing source documents for drainage related bid items. Category 48,
Bid Item Quantity Documents, in the same manual section, describes the numbering
system to be used for source documents for other bid items.
3-902E Weighing Equipment and Procedures
The following describes the duties and responsibilities of the people involved in
weighing and measuring materials and the procedures for ensuring accurate weighing
and measuring:
3-902E (1) Personnel
The process of determining bid item quantities by weighing and measuring includes
the following personnel:
The resident engineer

3-9.2 Payment
Assistant resident engineers
The district weights and measures coordinator
The Division of Construction weights and measures coordinator
In addition to Caltrans personnel, the following people also are involved in the
weighing and measuring process:
County sealers of weighing and measuring devices
Representatives of the California Department of Food and Agriculture, Division of
Measurement Standards
Private scale technicians performing California Test 109, Test for Weighing and
Measuring Devices
3-902E (2) Responsibilities
All Caltrans personnel must be alert for conditions that contribute to failure to obtain
the accurate weight and measurement of materials. The following describes the typical
duties and responsibilities for ensuring compliance with the specifications for weighing
and measuring:
3-902E (2a) Resident Engineers
The resident engineer must do the following:
Ensure accurate weighing and measuring through adequate inspection.
Routinely determine that proper weighing procedures are used.
Ensure that the spot-checking of weighing procedures is recorded in daily reports.
Require the contractor to correct any malfunctioning weighing or measuring
device.
To ensure accuracy, order the resealing and retesting of scales and meters as often
as necessary.
Determine when load slips are to be used. Order the use of load slips except when
the number of loads is very small or conditions preclude proper weighing
procedures. In the daily report, record the reasons for not using load slips.
3-902E (2b) District Weights and Measures Coordinator
The district weights and measures coordinator must do the following:
Provide technical assistance to the resident engineer and assistant resident
engineers.
Provide information to resident engineers regarding the adequacy of scales and the
validity of seals.
When requested by the resident engineer, witness the testing of scales or meters in
compliance with the requirements of California Test 109, Method of Testing of
Material Production Plants.
Furnish copies of California Test 109 report to each project using a scale tested in
accordance with California Test 109.
Furnish and attach Form CEM-4204, California Test 109 Sticker, to tested
scales.

Payment 3-9.3
Maintain a file on the current status of all scales that are commonly used for
weighing materials for Caltrans projects in the district.
On request, provide scale status information to adjacent districts.
Perform spot-checks of weighing and measuring devices and procedures in the
district, and furnish written reports to the resident engineer.
Determine whether any weighing or measuring problems should involve the
California Department of Food and Agriculture, Division of Measurement
Standards. Request any such involvement through the Division of Construction
weights and measures coordinator.
3-902E (2c) Assistant Resident Engineers
Assistant resident engineers act for the resident engineer and, depending on the
authority delegated to them, do the following:
Observe the installation of scales installed primarily for use on a given project.
Decide whether such scales and appurtenances meet the requirements of the
specifications. When necessary request assistance from the district weights and
measures coordinator.
Inspect and observe the general condition of all scales used on the project. If the
scales are in questionable condition, request advice from the district weights and
measures coordinator.
Request a material plant approval report from the district weights and measures
coordinator on the validity of the current seals. If a seal or Form CEM-4204 is not
valid, require the contractor to have the scales tested before use.
Witness scale testing. Determine that the scales have been tested to the capacity for
which they are being used on the project. Request the district weights and
measures coordinator to observe the procedure.
Whenever a scale is moved, overhauled, or shows obvious deficiencies, require the
scale to be restored to normal operating condition and then retested.
To observe the weighing of materials, visit the scale house or plant periodically. If
necessary, request technical assistance from the district weights and measurement
coordinator. Check the scale sheets and load slips to ensure they are being used
properly.
Spot-check tare and gross weights to see that weigh masters are using the correct
tare. Ensure the weigh master is licensed for the scale location.
Observe all meters that are required under the contract, and ensure they have been
tested and sealed.
Collect load slips at the point of delivery. A Caltrans employee should be present
at the work site to collect load slips. Sign or initial the load slip or weight
certificate to indicate that the represented material was used in the work.
When certified summary scale sheets are used, and load slips are not used, verify that
material shown on the summary sheets has been used in the work. Do this verification
by using a tally sheet, a spread record, or a random check. In the daily report, record
that the material has been used in the work and the verification method. Sign the
summary scale sheets to certify that the represented material, less any material
deducted from the total, was used in the work.

3-9.4 Payment
Return to the contractor a copy of any load slips or scale sheets representing loads or
partial loads that are not to be paid for. On the load slip or scale sheet, indicate the
quantity of material not included for payment. Retain a copy for the project records.
When a determination is made to reduce the quantity, advise the contractors foreman
or superintendent of the amount and reason for the reduction. In the daily report, note
the reduction and the name of the contractors employee who you advised of the
reduction.
3-902E (2d) Contractors
The following describes some of the duties and responsibilities of contractors and their
agents in using scales and measuring devices for measuring and proportioning
materials:
The contractor and materials suppliers must maintain scales and meters within the
accuracy required by the California Department of Food and Agriculture, Division
of Measurement Standards.
The owner of the scale or meter must maintain it in good operating condition at all
times. If breakdowns or suspected inaccuracies occur, the owner must make
repairs. After repairing a commercial device, the owner must notify in writing the
county sealer of weights and measures that this work has been done. The device
must be resealed before it is used to weigh materials for payment. For non-
commercial devices, the contractor must ensure California Test 109, Test for
Weighing and Measuring Devices, is performed. In either case, the contractor
must notify the resident engineer at least 24 hours before any scheduled testing so
that the testing can be witnessed.
The resident engineer may recommend to the contractor the following procedure
for obtaining tests by the county sealer of weights and measures:
1. Contact the county sealer of weights and measures directly by telephone and
request testing followed by written confirmation of the request.
2. When the county sealer of weights and measures cannot respond to the
contractors request in a reasonable time, the contractor should contact the
Standards.
Do not directly contact the county sealer of weights and measures for the contractor.
The owner of the measuring device must request the testing. The resident engineer may
only inform the contractor that such testing is necessary.
The district weights and measures coordinator may contact the Division of
Construction weights and measures coordinator on any question regarding the validity
of a seal or the legal capacity of a scale.
3-902E (2e) Division of Construction Weights and Measures Coordinator
The Division of Construction weights and measures coordinator does the following:
Ensures the weights and measures program is operating satisfactorily throughout
the various Caltrans districts.
Serves as a contact between the district weights and measures coordinators and the
Standards.

Payment 3-9.5
Keeps the district weights and measures coordinators informed of the latest
equipment and techniques being developed throughout the industry.
3-902F Final Pay Items
Section 9-1.02C [9-1.015], Final Pay Item Quantities, of the Standard Specifications,
defines and specifies the procedure for calculating pay quantities for final pay items.
3-903 3-903 Force Account
Force Account The force account method, used to determine payment for extra work, consists of
adding specified markups to the actual cost of labor, equipment, and material used to
perform the extra work.
Section 9-1.04 [9-1.03], Force Account, of the Standard Specifications specifies the
force account method of payment. Section 5-3, Change Orders, of this manual
contains examples of change orders with payment for extra work at force account.
Normally the contractor will use labor and equipment that is on the site and used for
work in progress. The change order will usually specify materials to be used in the
extra work. However, before the work begins, the resident engineer should discuss
with the contractor the labor, equipment, and materials to be used. The resident
engineer can avoid misunderstandings and inefficiencies by knowing the resources to
be used ahead of time. After the work is performed, Caltrans must pay the contractor
for material used and at the appropriate rates for the number of hours that labor and
equipment was used.
3-903A Authorization for Force Account Payment
On the authorizing change order, always show the amount to be paid for extra work at
force account as an estimated amount. For the format for change orders, refer to
Section 5-3, Change Orders, of this manual. You may make payment for extra work
in excess of the estimated amount shown on the contract change order up to 100
percent of the estimated amount or $15,000, whichever is smaller. To authorize any
additional payment, use a supplemental change order.
3-903B Force Account Records
On daily reports, record observations and inspections of extra work in progress in
sufficient detail to provide a reasonable basis for agreement on payment. Records must
be original, not a copy from other documents.
Include the following information when appropriate to the method of payment for the
work:
Description of work performed. This description must be consistent with the
description of extra work authorized by the change order.
Time and date of inspection.
The change order number.
Location of work.
Types of labor, equipment, and materials used.
Estimated hours worked.
General measurement or amount of work accomplished.

3-9.6 Payment
Make entries on the day of observation. If clarifying reports are necessary to cover
work not previously reported, state the facts as known and date the clarifying report as
of the day it is written.
The daily report must also contain a reference to any known off-site work.
When extra work is performed at force account, decide whether the magnitude of the
work warrants the full-time presence of an assistant resident engineer. An assistant
resident engineer assigned full time must include in the daily report the number of
hours actually worked at the site. When an assistant resident engineer is assigned only
part-time, daily reports must present only known facts. On the daily report, record that
inspection was intermittent. A typical entry might read as follows:
Hours reported on report dated 6/26/00 entry based on one inspection during the day.
Later found out that crew and equipment worked whole shift instead of half shift [add
the date of the supplemental entry and sign the entry].
Include notations concerning decisions to allow or deny payment for work that may be
in dispute or not considered a legitimate part of extra work. Similarly, prepare a
supplemental daily report if it is later found that the number of hours or labor and
equipment was substantially different than recorded on the original daily report. Such a
supplemental daily report might read as follows:
6/26/00 10:15 a.m. Change Order No. 17 Placing Riprap Lt. of Sta. 500.
Crew of two laborers and foreman with a D-6 crawler tractor with side-boom and
operator laid about 150 sq. feet of salvaged rubble riprap. Estimate crew and tractor
worked about 4 hours.
3-903C Tentative Agreements

Do not give copies of daily reports to the contractors personnel. Do not permit the
contractors personnel to sign or initial daily reports. However, at the earliest possible
time, reach tentative agreement on extra work details. With the contractors foreman,
discuss labor, equipment, and materials at the end of each shift or no later than the
following shift that extra work was performed. Good communication at this time will
help to prevent misunderstanding and arguments over details at a later date.
Use a district tentative agreement form if the form complies with district policy. On
this form, tentatively agree to and list hours of labor and equipment used in extra work
at force account for each change order each day. The form must state that the labor,
equipment, and time worked are acceptable for progress payment purposes. In this
way, use of the form does not preclude subsequent audit and adjustment.
3-903D Markup for Subcontracted Work
Section 9-1.04A [9-1.03A], General, of the Standard Specifications includes an extra
work markup for the prime contractor when a subcontractor performs the work.
When an engineers cost analysis is based on force account, using rates as specified in
the contract, include a markup in the calculation of the work performed by a
subcontractor in the following situations:
Changes and extra work at the agreed prices in accordance with Section 4-1.05A
[4-1.03D], General, of the Standard Specifications.

Payment 3-9.7
Work performed before item elimination in accordance with Section 9-1.06D
[4-1.03B(3)], Eliminated Items, of the Standard Specifications.
Bid item adjustment due to increased or decreased quantities in accordance with
Section 9-1.06B [4-1.03B(1)], Increases of More Than 25 Percent, and Section
9-1.06C [4-1.03B(2)], Decreases of More Than 25 Percent, of the Standard
Specifications.
Payment adjustments for work-character changes are made in accordance with
Sections 4-1.05B [4-1.03C], Work-Character Changes, and 9-1.15 [4-1.03C],
Work-Character Changes, of the Standard Specifications.
3-903E Owner-Operated Labor and Equipment
For owner-operated labor and equipment refer to Section 9-1.04A [9-1.03A(3c)],
General, of the Standard Specifications. The method for paying for owner-operated
equipment on a force account basis is at market-price invoice. Apply the applicable
markup for owner-operated labor and equipment.
3-903F Billing for Extra Work at Force Account
The following are the procedures for billing for extra work at force account:
The contractor must submit change order bills covering extra work under each
change order each day that extra work is performed. The contractor must use the
Caltrans internet change order billing system to submit change order bills.
Field construction personnel must do the following when reviewing change order
bills:
1. Compare change order bills against assistant resident engineers daily reports
and tentative agreements, if they are used. Make this comparison to verify the
correctness of the contractors billing, and to avoid the possibility of a
duplicate payment for the same work. For a discussion of assistant resident
engineers daily reports and tentative agreements, refer to Section 3-903B,
Force Account Records, and Section 3-903C, Tentative Agreements.
2. The contractor must include everything to be paid for on the change order bill.
Do not add any items even though you know them to be legitimate charges.
Instead, call the omission to the contractors attention. The contractor may
submit a supplemental change order bill to include the omitted items.
3. Delete items for which the contractor is not entitled to payment.
4. You may correct hours for labor and equipment downward, but not upward.
5. Do not correct wage rates that the contractor has submitted. Reject any change
order bill with incorrect wage rates. Note that Caltrans must pay for extra
work at the same wage rate paid by the contractor. Do not refuse to pay a
particular wage rate because it is above the prevailing wage rate.
6. Correct equipment rental codes that are obviously in error, or reject the
reports. Ensure the rental codes shown are for the equipment that was actually
used.
7. The person, whether a contractor or Caltrans employee, who makes
corrections to a change order bill must print out, sign (not initial) and date the
corrected change order bill.

3-9.8 Payment
8. Maintain a log of change order bills received and rejected.
The resident engineer must approve the change order bill to authorize payment for
extra work. The resident engineers approval of a change order bill for progress
payment certifies that payment is in accordance with contract requirements and
established administrative procedures.
3-903G Labor
The markups to be applied to the cost of labor performed on force account work are
specified in Section 9-1.04B [9-1.03A], Labor, of the Standard Specifications, or as
changed by the special provisions.
A labor surcharge is included in the cost of labor. The Labor Surcharge and
Equipment Rental Rates (Cost of Equipment Ownership) book in effect at the time the
work is performed contains the labor surcharge percentage. One general rate applies to
most crafts, and the book contains several higher rates for certain crafts. The resident
engineer must determine the correct surcharge percentage to be used and verify that the
percentage has been entered on the change order bill.
At times, a superintendent or owner acts as a working foreman or an equipment
operator or works at some other craft. In such situations, make payment on a value
received basis. Payment will be made for owners or supervisory personnel at the
proper rate for the work performed. For example, pay for a superintendent acting as a
foreman on force account work at the normal hourly rate for a foreman. Do not prorate
the superintendents weekly or monthly salary to an hourly rate. In paying for a
superintendent on force account work, make the payment on a functional basis and not
on a position or classification basis.
On some projects, a superintendent or project manager directs the activities of several
foremen or one or more general foremen who directly supervise the foremen. The
general foremen are sometimes referred to as superintendents, such as grading
superintendents or paving superintendents. This change in nomenclature does not
change the functional nature of these positions. They are general foremen or foremen
and are not considered to be supervisory or overhead personnel. Make payment at the
actual hourly rate paid by the contractor when such personnel function as foremen on
force account work.
When paying for salaried personnel, do not authorize force account payment for
overtime hours unless the contractor has an established practice of paying overtime to
salaried personnel. The usual case is that the weekly or monthly salary covers the
number of hours required by the work.
The Standard Specifications allow for payment of the actual subsistence and travel
allowances paid by the contractor.
Pay per diem and travel allowances on force account only when the contractor is
paying these allowances on bid item work.
When 7-day subsistence is included in labor contracts in lieu of per diem and travel
time, subsistence will be paid for the entire period involved if the workers are
employed full time on force account.
When workers are employed on both force account work and bid item work in the
same day, prorate subsistence payments and travel allowances between the contractor

Payment 3-9.9
and Caltrans. Base the prorated amount on the first 8 hours worked. Do not pay per
diem for time worked after the first 8 hours in any one day.
3-903H Material
Payment for material purchased for force account work must be supported by a copy of
the vendors invoice whenever possible. If no individual invoice is available, as in the
case of materials taken from contractors stock, a copy of the mass purchase invoice
may be used as support. If no invoice is available to support unit purchase prices,
submit a statement with the change order bill. In the statement, explain how the unit
prices were verified. Any invoice the contractor submits must represent the material
actually used.
3-903I Equipment Rental
For equipment used for extra work paid at force account, refer to Section 9-1.04D
[9-1.03A(3)], Equipment Rental, of the Standard Specifications or as modified by the
special provisions. The following are guidelines for paying for equipment rental.
3-903I (1) Equipment Selection
In accordance with Section 5-1.03 [5-1.01], Engineers Authority, of the Standard
Specifications, approve equipment used on force account work. Before giving
approval, determine whether available and suitable equipment is already on the job site
or whether equipment not on the job site is required. For example, a piece of equipment
on the job site that can perform a given operation satisfactorily may be larger than
necessary. Determine if it will be economical to use oversized equipment at its rate or
to obtain equipment of the proper size. Obtaining equipment not on the job site
necessitates payment for move-in and move-out expenses and for minimum rental
periods. The determination may also be based on other factors, such as public safety
and the urgency of the work. Availability of equipment on the job site can be
determined by using daily diaries, progress schedule, and other contractor-provided
information. When there is no contractor-owned equipment available for use and only
rented equipment is available on the job site, the engineer may approve the use of the
rented equipment at the rental invoice price in accordance with Section 9-104D,
Equipment Rental, of the Standard Specifications. If both contractor-owned and
rented equipment on the job site are suitable and available for use, the contractor-
owned equipment should be used.
Some equipment includes accessories as an integral part of the basic machine. When
accessories are an integral part of the machine, the rates in the Labor Surcharge and
Equipment Rental Rates (Cost of Equipment Ownership) book indicate that the
accessory is included in the quoted rate. Do not make deductions for accessories on
such integral equipment. For unusual situations, consult the Division of Construction.
When the accessories are not integral and not necessary for the effort of the extra work,
payment is only for the equipment required.
3-903I (2) Equipment Rental Rates
The Labor Surcharge and Equipment Rental Rates (Cost of Equipment Ownership)
book contains the cost of ownership rates for most of the equipment used on Caltrans
projects. However, the Division of Construction has also established cost of ownership
rates for some equipment that is not in the book. These rates are available on the
Caltrans Division of Construction website. To establish rates that are not listed in the
book or on the website, use the following procedure:

3-9.10 Payment
Obtain a complete description of the equipment, including the manufacturer,
model number, horsepower, size or capacity, and accessory equipment.
If the equipment is nonstandard or unusual, request the following data from the
contractor:
1. Type of equipment (such as segmented, self-propelled, rubber-tired roller,
telescoping hydraulic crane, articulated, or rubber-tired roller)
2. Trade name
3. Model and serial numbers
4. Year manufactured
5. Size, capacity, or both
6. Type and amount of power
7. Whether crawler, rubber-tire, or other
8. Manufacturer or distributor (if local, give address)
9. Initial cost of the basic machine and attachments
10. Operating requirements, costs, or both, if available or unusual
11. Name of owner
Transmit this information to the Division of Construction. The Division of
Construction will establish a cost of ownership rate, codes, and effective time
period and advise the district by mail, e-mail, or fax. Use this document as the
authority to pay the rate established.
The contractor must be advised of the codes so that its billings can include them.
For equipment not on the job site, and in special circumstances, the Standard
Specifications permit a rate to be paid that is in excess of the rate listed in the
Labor Surcharge and Equipment Rental Rates (Cost of Equipment Ownership)
book. When the contractor proposes a rental rate in excess of the listed rate, ensure
the equipment meets all the conditions listed in Section 91.04D(1) [9-1.03A(3b)],
General, of the Standard Specifications. The higher rate will constitute a change
to the contract and must be established by a change order. Use the following
procedures to determine the rate:
1. Obtain a written statement from the contractor. The statement must include the
proposed rate and the justification that Section 9-1.04D(1) [9-1.03A(3b)],
General, of the Standard Specifications requires.
2. Decide whether the conditions of use and ownership of the equipment meet all
the specified criteria for payment of the higher rate.
3. Submit a change order that provides for the proposed rate. State in the change
order whether the table titled Equipment Rental Hours is applicable. The
table appears in Section 9-1.04D(3) [9-1.03A(3b)], Equipment Not On the
Job Site Required for Original-Contract Work, of the Standard
Specifications. If the equipment is used for bid item work, use the normally
established rental rates for the entire time the equipment is used for extra
work. Include in the change order a clause similar to the following: In the
event this equipment is subsequently used on bid item work, this rate is void.

Payment 3-9.11
4. Include justification for approval in the change order memorandum, and attach
the contractors letter.
Equipment for which the rental rate is not shown in the Labor Surcharge and
Equipment Rental Rates (Cost of Equipment Ownership) book, but for which the
Division of Construction established a rental rate, is eligible for the higher rate,
providing all necessary conditions are met.
3-903I (3) Time in Operation
The engineer in the field must determine the rental time to pay for equipment in
accordance with Section 9-1.04D(2) [9-1.03A(3a)], Equipment on the Job Site, of
In general, consider equipment to be in operation when all of the following conditions
exist:
The equipment is at the site of the extra work or being used to perform the extra
work.
The equipment is not inoperative due to breakdown.
The force account work being performed requires the equipment.
Use the following examples as guidelines for determining rental time to be paid for
equipment.
An air compressor is on the job site for 8 hours on a force account operation. It is
actually used for only a few periods during the 8 hours, but it is impractical to use
it on other work during the standby periods. Pay for the compressor and all
accessories used intermittently for the entire period. The engine does not have to
be running continuously during the period to qualify for payment. If the air
compressor was also used on bid item work intermittently, prorate the 8 hours
between the extra work and the bid item work.
An air compressor is on the job site for 8 hours. It is used for the first 2 hours, but
after those hours, it is no longer needed. Pay the rental for only 2 hours whether the
contractor chooses to remove it or chooses to leave it at the site of the work. Apply
the same reasoning if the time of operation occurred at any other time of the day.
In this example, if a pavement breaker was needed intermittently for 2 hours and a
tamper intermittently for 2 hours, pay 2 hours for each tool. If the pavement
breaker is needed for the first hour and the tamper for a second hour, pay 1 hour
for each. Advise the contractor when equipment is no longer needed at the site. In
the daily report, record this notice and the time.
A skip loader is used to load dump trucks. The operation is not balanced because
one of the dump trucks broke down. However, the resident engineer allows the
operation to continue because it is critical. The skip loader is used only about one-
half time intermittently during the shift. Make payment for the loader for the entire
shift. In a situation such as this one, the resident engineer must try to do whatever
is necessary to balance the operation. When balancing cannot be achieved, the
resident engineer must decide whether suspending an operation is more
economically feasible than allowing it to continue.
Sometimes two pieces of equipment perform extra work at force account, yet the work
does not require full-time use of both. In such instances, it is appropriate to accept (but
not order) the use of only one operator for both pieces of equipment. Determine the

3-9.12 Payment
rental time in the same manner as if each piece of equipment had a full-time operator
and was used intermittently.
On extra work at force account, pay the same time for a foremans pickup truck that
you would pay for the foreman.
3-903I (4) Equipment Not on the Job Site
In general, the contractor schedules extra work paid for on a force account basis and
uses equipment available on the project. However, circumstances may require use of
equipment not on the job site that must be brought in especially for the extra work. The
resident engineer should make decisions regarding the type of equipment and its
scheduled use. Sections 9-1.04D(3) [9-1.03A(3b)], Equipment Not On the Job Site
Required for Original-Contract Work, and 9-1.04D(4) [9-1.03A(3b)], Equipment
Not On the Job Site Not Required for Original-Contract Work, of the Standard
Specifications specify the requirements for paying for the use of such equipment. These
specifications apply when the contractor uses or does not use equipment for bid item
work. Change any previous payment as equipment not on the job site to payment as
equipment on the job site when such equipment is used for bid item work.
Order the equipment removed from the project, pay move-out and possible subsequent
move-in costs, or continue paying for the equipment during a suspension in extra work.
Temporary removal of the equipment to the contractors shop or a storage area off the
project is not removal from the project. To end payment for the equipment, the resident
engineer must order its removal.
3-903I (5) Non-Owner-Operated Dump Truck Rental
Section 9-1.04D(5) [9-1.03A(3d)], Non-Owner-Operated Dump Truck Rental, of the
Standard Specifications specifies that the resident engineer must establish the hourly
rate to be paid for dump truck rental. The actual hourly rate paid by the contractor or
the truck broker may be the established rate if it is consistent with rates paid for the
same trucks on other work. For help in establishing hourly rates, compare with rates
paid for similar equipment on other Caltrans work.
3-903I (6) Standby Time
Pay standby charges for commercial delivery at the invoice rate.
3-903J Extra Work Performed by Specialists
Section 9-1.05 [9-1.03B], Extra Work Performed by Specialists, of the Standard
Specifications, allows extra work to be performed by a new subcontractor that neither
the contractor nor its current subcontractors can perform. In general, these new
subcontractors are considered specialists and are to be used only for minor portions of
the work. The specifications also allow for the specialist work to be paid for by invoice
if itemized billing is not that industrys established practice.
Do the following when considering the use of specialists:
Before work begins, decide whether the work is normally done by any of the
contractors forces. The contractors forces include any firms or organizations
performing bid item work, including subsidiaries of such firms or organizations
and subsidiaries of the contractor. Subsidiaries of a subcontractor are considered to
be a part of the subcontractors organization. If you decide that the contractors
forces can perform the work expediently, do not authorize the use of the specialist.

Payment 3-9.13
Allow the contractor to hire a specialist only if an established firm with established
rates would do the work.
Districts must establish procedures to pre-approve invoiced billing. Invoiced
billing must not be used to circumvent the force account method for determining
payment.
3-904 3-904 Payment Adjustments
Payment A payment adjustment is a monetary increase or decrease applied to the unit price of a
Adjustments bid item. The adjustment is a change to the contract and must be made by change
order. Payment adjustments are either unit adjustments to the unit price of a bid item or
they may be a lump sum increase or decrease applied to a bid item.
Payment adjustments are provided for in Sections 9-1.06 [4-1.03B], Changed
Quantity Payment Adjustments; 9-1.15 [4-1.03C], Work-Character Changes;
9-1.17C Proposed Final Estimate; and 9-1.17D(2)(b) [9-1.08], Overhead Claims,
of the Standard Specifications. Other payment adjustments may be required depending
on the bid items, such as hot mix asphalt and concrete pavement.
Do not pay for payment adjustments until change orders authorizing the adjustments
have been approved.
If you anticipate that payment adjustments in accordance with Section 9-1.06
[4-1.03B], Changed Quantity Payment Adjustments, or Section 9-1.15 [4-1.03C],
Work-Character Changes, of the Standard Specifications will result in decreases in
final payment, withhold an amount sufficient to cover the value of the decrease.
For more discussion about determining payment adjustments, refer to Section 5-3,
Change Orders, of this manual.
3-904A Changed Quantity Payment Adjustments
When the total pay quantity of a bid item varies from the bid item list by more than 25
percent, the variation may be the result of more or fewer units than shown in the bid
item list required to complete the planned work. The variance may also result from
ordered changes or a combination of both of these factors. When the variation exceeds
25 percent, adjust the compensation in accordance with Section 9-1.06 [4-1.03B],
Changed Quantity Payment Adjustments, of the Standard Specifications, or
document in the contract records the reason for not making a payment adjustment.
When the accumulated increase or decrease in bid item units shown on a change order
exceeds 25 percent of the bid item list, the overrun or underrun must be acknowledged
and provided for in the current change order. Refer to Section 5-306C, Methods of
Payment, of this manual for more information on change orders. Provide for this
overrun or underrun through one of the following options, whichever is applicable:
Adjust the contract price in accordance with Section 9-1.06 [4-1.03B], Changed
Quantity Payment Adjustments, of the Standard Specifications.
Defer any payment adjustment due to the overrun or underrun.
State in writing that the bid item is not subject to adjustment. Refer to Section 5-3,
Change Orders, of this manual for a discussion and examples of change orders
providing for payment adjustments resulting from increased or decreased
quantities.

3-9.14 Payment
3-904A (1) Increases of More Than 25 Percent
It is usually appropriate to defer adjustment if work on the bid item has not been
completed. Additional change orders may affect the quantity, or the number of units
required to complete planned work may not be known. However, as soon as unit costs
and final quantities can be reasonably determined, calculate any required unit
adjustment and provide for it through a change order. When work on the bid item is
completed, apply the unit adjustment to the total number of units in excess of 125
percent of the quantity shown on the bid item list.
Unless requested by the contractor in writing, the engineer does not have to adjust the
contract price of an item if the bid item cost of the work in excess of 125 percent of the
quantity shown on the bid item list is less than $5000. However, before exercising this
right, ensure Caltrans will not gain any economic benefit from an adjustment. On the
other hand, make an adjustment if it would decrease cost and the amount of the
decrease would exceed the cost of making the adjustment.
3-904A (2) Decreases of More Than 25 Percent
If a bid item underruns the quantity shown on the bid item list by more than 25 percent,
inform the contractor in writing as soon as work on the item has been completed.
Unless the contractor requests an underrun adjustment in writing, no adjustment will be
made.
3-904A (3) Eliminated Items
Section 9-1.06D [4-1.03B(3)], Eliminated Items, of the Standard Specifications
applies only to bid items eliminated in their entirety. Advise the contractor as soon as it
is known that an item will be eliminated. Caltrans will not be responsible for costs
incurred for material ordered after notification.
In the change order providing for the elimination of a bid item, ensure it covers the
disposition of surplus material. Refer to Section 3-904A (4) for how to handle surplus
material resulting from an eliminated item that cannot be returned to the vendor.
3-904A (4) Surplus and Salvaged Material
Minor differences between quantities of material required to complete the planned
work and quantities shown in the bid item list or shown in quantity summaries on the
contract plans are normal operating differences. Caltrans is not liable for a surplus of
material resulting from these operating differences.
If the final quantity of an item is less than 75 percent of the quantity shown on the bid
item list, include any actual loss due to excess material in the costs as computed in
accordance with Section 9-1.06C [4-1.03B(2)], Decreases of More Than 25 Percent,
of the Standard Specifications.
Do not make any allowance for material the contractor keeps.
Caltrans recognizes that certain materials or manufactured items required for the
planned construction may be unique and not usable by the contractor, the supplier, or
for other projects or customers. If such materials or items become surplus by reason of
an ordered change, resulting in a direct and unavoidable loss to the contractor, such loss
must be compensated. Determine compensation on the basis of actual cost as provided
in Section 9-1.06D Eliminated Items, of the Standard Specifications. The guidelines
below describe how to dispose of material that the contractor cannot economically
dispose of.

Payment 3-9.15
A determination to salvage items made surplus by ordered changes should be based on
economic benefit to Caltrans, conservation of the energy and materials required to
fabricate the items, or both. Base economic benefit on the following:
The items condition is adequate to perform its function satisfactorily. Damage
does not necessarily make an item unsuitable for salvage. Caltrans has the
capability to repair some items, so investigate this approach before deciding to
dispose of a damaged item. Also consider repair costs when determining the cost-
effectiveness of salvaging.
The value equals or exceeds the difference in the cost of salvaging (including
hauling) and the cost of removal and disposal.
Also, an item should be salvaged if it meets one or more of the following conditions:
It is a stock item with a definite, foreseeable use. Stock items include all items that
Caltrans normally uses.
It is not a stock item, but can be put to immediate use or has a definite, foreseeable
use. This classification would include items that can be reinstalled in the
immediate project or could be installed on future projects.
It is part of an electrical installation owned jointly with another agency, and the
other agency requests its salvage.
It can be used immediately for some other beneficial purpose.
Most districts maintain a district salvage yard or other designated areas for receiving
salvaged material. Each district also has a district recycle coordinator. Before the
delivery of potentially salvageable items, make arrangements with the appropriate
person. Materials should not be salvaged until such arrangements are made.
3-904B Payment Adjustments for Price Index Fluctuations
Section 9-1.07 Payment Adjustments for Price Index Fluctuations, of the Standard
Specifications specifies payment adjustments for various bid items that contain paving
asphalt. The payment adjustment occurs when the California statewide crude oil price
index fluctuation exceeds the threshold as described in the contract specifications.
Compensation is adjusted when the paving asphalt price fluctuates from the month of
the bid date to the month in which the contract item containing paving asphalt was
placed. Refer to the example in Section 5-3, Change Orders, of this manual.
It is important to make timely payments for price index fluctuations. Increases in the
cost of paving asphalt may place financial burdens on contractors and can cause
projects to exceed allocated supplemental and contingency funds. The resident
engineer is responsible for the following:
Initiating a change order within 30 days of contract approval.
Verifying that monthly payment adjustments for paving asphalt are included in
monthly estimates when items that contain paving asphalt are used.
Monitoring monthly expenditures and estimating future months of expenditures of
payment adjustments for paving asphalt to avoid exhausting the project
supplemental funds and contingency balance.
Notifying the construction engineer and project manager if you anticipate the
project contingency balance will be depleted so that appropriate action can be
taken.

3-9.16 Payment
At the time of bid the contractor has the option to opt out of payment adjustments
for price index fluctuations. Form DES-OE-0102.12A, Opt Out of Payment
Adjustments for Price Index Fluctuations, is included in the bid book. To
determine if the contractor has opted out, review the bid book for the project. If the
opt out form in the bid book is not completed, then all of the requirements apply to
the project.
3-904C Work-Character Changes
Before work can be considered a work-character change, there must have been an
ordered change to the plans or specifications. If such an ordered change materially
increases or decreases the unit cost of a bid item, then a work-character change has
occurred. Work-character changes are not to be confused with differing site
conditions. For a discussion of differing site conditions, refer to Section 3-5, Control
of Work, of this manual.
When calculating the adjustment for a change in work-character, the original bid price
bears no relation to the adjustment unless it can be demonstrated that the bid price
actually represents the cost of the work. Section 5-3, Change Orders, of this manual
contains examples of calculations and sample change orders.
3-905 Time-Related Overhead 3-905
Section 9-1.11, Time Related Overhead, of the Standard Specifications applies to Time-Related
projects that have a time-related overhead bid item. This section includes a description Overhead
of time-related overhead and what is considered home and field office overhead. The
contractor includes time-related overhead costs in the time-related overhead bid item.
Overhead that is not related to time is included in the various other bid items. Any
contract time adjustments made by change order will result in an equivalent adjustment
to the time-related overhead bid item quantity.
The markups for force account work performed by the prime contractor on time-related
overhead projects are modified in Section 9-1.11C, Payment, of the Standard
Specifications.
Refer to Section 5-408, Overhead Claims, of this manual for information regarding
claims for overhead for projects without a time-related overhead bid item.
3-905A Audit Examination and Reports
When the time-related overhead bid item quantity exceeds 149 percent of the quantity
at time of bid, consult with your district management before ordering the contractor to
provide an audit of its overhead costs. Refer to Section 5-409, Audits, of this manual
for more information.
3-905B Payment
Time-related overhead is paid on the monthly progress payment for each working day
charged during the pay period. The quantity of time-related overhead will be adjusted
only as a result of critical delays that revise the current contract completion date.
Adjustments to contract time are handled as follows:
If contract time is adjusted by change order, and there are no revisions to working
days charged to date, payments for the adjusted time occurs when the original bid
item quantity is exceeded.

Payment 3-9.17
If you have charged nonworking days that you later determine to be a critical
delay, write a change order to make a time adjustment and promptly pay for the
revised working days charged to date.
3-906 3-906 Progress Payments

Progress Payments Section 9-1.16 [9-1.06], Progress Payments, of the Standard Specifications requires
Caltrans to make an estimate of work completed each month. Such estimates are
designated as progress pay estimates. Each progress pay estimate must include
payment for work completed up to and including the 20th day of the month. Include
payment for change order bills that are submitted timely. Also include payment for
extra work performed at agreed price and payment adjustments. Billing for this work
must be submitted by the resident engineer during the pay period in which the work
was performed.
Resident engineers must transmit to the district construction office the documents and
information required to prepare progress payment vouchers. All documents must be in
the district office no later than the date established by the district (usually no later than
the end of the first working day after the 20th of each month).
District construction must arrange a schedule with the Division of Construction that
will accommodate the Division of Accounting.
A monthly estimate and payment must be made if any amount of money is due the
contractor.
Show all quantities submitted for payment on source documents. Typically, Form
CEM-4801, Quantity Calculations, is used for this purpose. Form CEM-4801 is
shown in Example 3-9.1. The estimate must reflect the totals on the source documents.
A source document is defined as the basic document executed to record or calculate
quantities, percentages of lump sums, or extra work for payment. Refer to Section
3-902C, Source Documents, in this manual for a discussion of source documents.
Example 3-9.1, Quantity Calculations, is a sample of a source document.
The quantity shown on the estimate for a bid item must agree with the sum of the
quantities to date on all of the source documents for that item.
The resident engineer is responsible for the accuracy of a progress pay estimate. By
approval, the resident engineer verifies that the quantities are correct and that data
submitted conforms to the policies of Caltrans. All entries on Form CEM-6004,
Contract Transactions Input, must be checked by other construction personnel for
errors such as transposition and wrong numbers.
The resident engineer must review and approve each monthly estimate before district
construction office staff can process it for payment. To expedite handling, the resident
engineer need not sign the estimate itself to indicate approval. Approval may be by
telephone. Confirm telephone approval by sending a memo or a pre-verification of
pay estimate form letter to the district construction office.
Refer to Section 5-103, The Contract Administration System, of this manual for
technical details on the production of estimates.
3-906A Bid Items
Include all bid item work completed satisfactorily in accordance with the contract in
progress payments. Do not include in progress payments preparatory or organizational
work such as assembling equipment, shop work, forming, or crushing or stockpiling of

3-9.18 Payment
aggregate (unless provided for in the special provisions). Do not pay for material
placed or installed for which you have not obtained the required evidence of
acceptability (Form TL-0029, Report of Inspection of Material; Form TL-0624,
Inspection Release Tag; Certificate of Compliance; or acceptance tests).
For items bid on a unit basis, include in progress payments work that is substantially
complete. Withhold a sufficient number of units to cover the value of the incomplete
incidental work. In each case, a source document must be on file showing the details of
the quantitys determination.
Refer to intermediate source documents for items that are bid on a unit basis with a
fixed final pay quantity, such as structural concrete and bar reinforcing steel (bridge), to
show how partial payment was estimated. Withhold units of work to cover the value of
incomplete incidental work. Base the withheld amount on a force account analysis of
the remaining incidental work.
The following examples are listed to illustrate the procedure for partial payments:
1. Mobilization Item
The Contract Administrative System (CAS) will automatically calculate and
enter partial payments for the item, Mobilization.
2. Maximum Value Items
Handle items for which maximum payment is limited until after a time fixed
in the contract as follows:
a. Include on the estimate the quantities completed in the same manner as
for any other bid item. The quantity will be extended at the bid price and
added to the total of work done.
b. The system will make a deduction for any overbid.
c. The system will return the deduction at the time set forth in the contract.
3. Roadway Excavation
In normal situations, material is excavated, hauled, placed in final position in
embankment, and compacted, but slope finishing is not done. This is
considered incidental work, and a quantity may be withheld to cover the value
of the work remaining.
4. Aggregate for Subbase and Base
Material may be produced, hauled, placed, and compacted, but final trimming
to tolerance has not been performed. This is incidental work, and a quantity
may be withheld to cover the value.
5. Portland Cement Concrete Pavement
Concrete may be in place and cured but not ground to meet surface tolerance.
Grinding is incidental work, and units may be withheld to cover the estimated
cost.
6. Sewers and Irrigation Systems
Pipe may be placed and backfilled but not tested. Withhold units to cover this
work.
7. Fence

Payment 3-9.19
Posts and wire or mesh may be in place and securely fastened but bracing
wires not completed. Withhold units to cover this incidental work.
8. Structural Concrete, Bridge (Final Pay Quantity)
Bridge construction generally requires erecting falsework to carry dead loads
of concrete (or steel) members until they become self-supporting. When
falsework supports the superstructure concrete of box girder or slab bridges,
make partial payments for the bid item.
When the soffit plywood is complete in place, make a partial payment
equivalent to 35 percent of the projected superstructure concrete volume.
Withhold 5 percent for removal of the falsework materials and the final
surface finishing of concrete.
9. Bar Reinforcing Steel
Pay for bar reinforcing steel that is complete and in place in the forms. It does
not have to be encased in concrete before payment is made.
10. Structural Steel (Final Pay Quantity)
Steel placed is paid by units erected and in place. Withhold units to cover
incidental work such as additional bolting and welding.
For work that includes an item for furnishing, make no payment for furnishing until
all contract requirements have been met, including acceptability of the material and
delivery to the project. However, payment may be made for materials on hand, as
covered below, for items that qualify and are listed in the special provisions. Refer to
the Bridge Construction Records and Procedures manual for additional instructions.
For lump sum bid items, if a schedule of values is required, refer to Section 3-906B of
this manual. Otherwise, pay a percentage of the lump sum bid price as work
progresses. Use for this calculation the ratio of the number of working days an item of
work has been in progress divided by the estimated total number of working days
required to complete the item work. Be aware that such a simplified method might not
reflect the value of the work actually completed. Reach an equitable agreement with
the contractor for the basis of determining progress payments on lump sum items.
If any work or material on hand paid for on a previous monthly estimate loses value
through loss, damage, or failure to function, deduct units representing the lost value
from the following monthly estimate. Another example is storm damage requiring
repair or replacement in accordance with Section 5-1.39B [7-1.16], Damage Caused
by an Act of God, of the Standard Specifications.
Do not pay for item work added by change order until the change order is approved.
However, payment for bid item overruns that are not the result of a change in the
contract may be included in the monthly estimate.
3-906B Schedule of Values
A schedule of values is required for specific lump sum bid items such as electrical
systems. Refer to Section 86, Electrical Systems, of the Standard Specifications for
more information. Building construction will also be a lump sum bid item and will
require a schedule of values as specified in the special provisions. Structure
Construction will provide a technical review to ensure progress payments can be based
on the value of the work in place.

3-9.20 Payment
3-906C Extra Work
Do not pay for change order work until the change order is approved. Refer to Section
3-403, Changes and Extra Work, Section 3-906D, Interest and Section 5-3,
Change Orders of this manual, for further information on change orders providing
for extra work.
3-906D Interest
Section 9-1.03, Payment Scope, of the Standard Specifications provide for interest to
be paid on unpaid and undisputed progress payments, payments after acceptance, extra
work payments, claim payments, and awards in arbitration.
Keep a log of the dates when change order bills are received, rejected, and resubmitted.
In a timely manner, process all change order bills, and fully document reasons for
rejecting change order bills.
Make any necessary interest payments for late payments by change order as a payment
adjustment at lump sum. Refer to Section 5-3, Change Orders, of this manual for
more information.
3-906E Materials on Hand
Pay for acceptable materials on hand provided that all specified conditions have been
met. Follow the procedure described below:
Give the contractor Form CEM-5101, Request for Payment for Materials on
Hand.
The contractor must initiate payment by submitting in duplicate a properly
completed Form CEM-5101. Make no payment for any material if the contractor
has not requested payment on the state-furnished form. The contractor must submit
a request one week before the end of the estimate period for each estimate. Each
request must represent the current status of materials on hand at the time the
request is made. Do not honor a request if it does not represent the actual amount
on hand.
Upon receipt of a request for payment for materials on hand, the resident engineer
must check that it is filled out properly, includes only eligible material listed in the
special provisions, and that the contractor attached evidence of purchase. When the
contractors supporting evidence of purchase shows that a discount has been
allowed, reduce the payment for materials on hand by the amount of the discount.
Before processing a materials on hand request, inspect all materials for
acceptability. Materials must have a Certificate of Compliance or Form TL-0029,
Report of Inspection of Material. Form TL-0029 is evidence that the material
was inspected at the source. In general, accept only completely fabricated units,
ready for installation on the project with the following exceptions:
1. PilingSteel plate used for steel pipe piling and driven steel shells filled with
concrete and reinforcement as described in Section 49, Piling, of the
Standard Specifications may be considered acceptable as raw material.
However, pay for such material as raw material only until shop fabrication of
the pile is 100 percent complete. After shop fabrication is complete, the
estimated fabricated value may be paid, subject to other specified restrictions
and administrative guidelines.

Payment 3-9.21
2. Structural SteelStructural steel used in steel structures as described in
Section 55, Steel Structures, of the Standard Specifications may be
considered acceptable as raw material. However, pay for such material as raw
material only until shop fabrication of a usable member (such as a girder or
other shape ready for shipment to the job site) is 100 percent complete. After
shop fabrication is complete, the estimated fabricated value may be paid,
subject to other specified restrictions and administrative guidelines.
3. Sign StructuresStructural steel used in overhead sign structures as described
in Section 56, Signs, of the Standard Specifications may be considered
acceptable as raw material. However, pay for such material as raw material
only, until shop fabrication of a usable member (such as a sign frame or other
member) is 100 percent complete. After shop fabrication is complete, pay for
the estimated fabricated value, subject to other specified restrictions and
administrative guidelines.
Verify proper storage of materials listed on Form CEM-5101 in accordance with
the following procedures:
3-906E (1) Materials at the Project
For all valid requests for material located at or near the project, determine whether the
materials are stored in conformance with the contract. To conform to this requirement,
the contractor may have to store materials in fenced areas with locked gates, in locked
warehouses, or in areas where it is improbable that materials would be lost from any
cause. In addition to having controlled storage, the contractor is required by the
Standard Specifications to provide proper storage and handling so that the materials do
not become damaged. Call any indication of improper storage to the contractors
attention. Withhold payment for materials on hand until the materials are properly
stored.
Do not pay for material accepted on the basis of certificates of compliance until such
certificates have been received.
The resident engineer or an assistant resident engineer must review Form CEM-5101
to verify that the request is acceptable.
3-906E (2) Materials Not at the Project
For materials not delivered to the job site, obtain evidence, and establish the fact of
purchase, proper storage, acceptability, accessibility and other factors. The Office of
Materials Engineering and Testing Services (METS) maintains representatives in the
major industrial areas and provides inspection in all other areas for this purpose. The
following is the procedure for requesting METS assistance:
If it is not practical for the resident engineer or assistant resident engineers to verify
quantity, quality, location and proper storage, send the duplicate copy of the Form
CEM-5101 to METS.
Upon receipt of Form CEM-5101, METS will immediately notify the appropriate
inspection office or offices. The METS representative will notify the resident
engineer directly using Form TL-0649, Inspectors Report of Material on Hand,
or TL-6037, Fabrication Progress Report, that the material has been inspected
and that it is in acceptable condition and properly stored. METS will use Form
TL-6037 for structural steel, precast prestressed concrete members, or sign
structures. For other products, METS will use Form TL-0649.

3-9.22 Payment
METS may also indicate on its correspondence, the percent complete of shop
fabrication on various structural components. This figure is given for the purpose of
reporting progress on the affected items. Do not use it to increase payment for materials
on hand during fabrication.
Upon receipt of the Form CEM-5101 and the above verification, the resident
engineer can approve the partial payment. The contractor must submit a new Form
CEM-5101 for each estimate, and the above procedure must be followed.
However, it is possible METS may not be able to respond in time for payment on
the estimate. METS gives priority to new or changed requests. Therefore, for
requests that have not changed since a previous submittal, resident engineers may
approve subsequent payments in the absence of any METS reports to the contrary.
On the monthly progress pay estimate, enter the total value of acceptable material as
material on site regardless of storage location.
The maximum payment for materials on hand should be such that, when the estimated
placing and other remaining costs of the work are added, the contract price is not
exceeded. The purpose of this is to prevent payment of more than the contract price for
the materials and to leave sufficient funds in the item to complete the work.
3-906F Withholds
3-906F (1) Progress Withholds
Progress withholds are usually determined by noncompliant (unsatisfactory) progress.
Whenever a contractors performance is unsatisfactory, the resident engineer notifies
the contractor of the apparent failure.
3-906F (1a) Noncompliant Progress
Progress is determined by comparing the contractors actual progress with the curve on
Form CEM-2601, Construction Progress Chart. This requires calculation of the
percent of work completed and the percent of time elapsed. If the plot of these
percentages falls on or above the curve on Form CEM-2601, progress is considered
satisfactory. Otherwise, it is considered unsatisfactory except under extenuating
circumstances. Refer to Section 9-1.16E(2), Progress Withholds, of the Standard
Specifications for noncompliant progress conditions.
After each progress estimate, update Form CEM-2601. The Contract Administration
System (CAS) uses the formula contained on this form to determine progress. For a
description of this process, refer to Section 5-1, Project Records and Reports, of this
manual.
The contractors progress is usually considered unsatisfactory when the contractors
progress curve falls below the curve of the contract progress chart or when successive
points on the contractors progress curve indicate the contractors progress rate will
soon fall below the curve.
The percentage of work completed (except on landscape projects with Type 1 plant
establishment) is determined by dividing the amount on the line titled Total Work
Completed on the Project Record Estimate by the Authorized Final Cost on the
Project Status. CAS calculates this percentage. Calculations for percentage of work
completed for Type 1 plant establishment are shown in Section 3-906F (1b) of this
manual.

Payment 3-9.23
CAS computes the percent of contract time elapsed by dividing the number of working
days elapsed to the date of the progress estimate, by the original working days specified
in the contract plus Total time extension days approved to date, on Form CEM-2701,
Weekly Statement of Working Days.
Whenever the contractor fails to prosecute the work adequately, evidenced by the plot
of actual progress and your concurrence, you must notify the contractor of the apparent
lack of progress. If you judge that the work on the remaining work activities will not be
completed by the computed date for completion as defined in Section 3-804, Time
of this manual, you must request that the contractor submit a revised schedule showing
how the balance of the work will be carried out.
Occasionally the resident engineer has information indicating that the percent of time
elapsed is different from that which CAS will calculate. The usual reason for this is that
pending time extensions have not yet been approved and entered into the system. The
percent of time elapsed can be calculated using the anticipated time extension in the
formula described above. The resident engineer must document the calculated percent
of time elapsed as well as the reasons therefore. Enter the calculated percent of time
elapsed in the appropriate place on Form CEM-6101, Project Record-Estimate
Request. CAS will calculate satisfactory or unsatisfactory progress based on this
figure.
Whenever the district believes the contractors bonding company should be notified of
unsatisfactory progress, advise the Division of Construction of the reasons supporting
such an action. If appropriate, the district will initiate the notification.
If the district believes the lack of progress on a contract justifies a meeting, the district
arranges a conference to be attended by the contractors representatives, the bonding
company, and Caltrans. If appropriate, the Division of Construction will arrange the
conference. For more information, refer to Section 3-808, Contractors Control
Termination, of this manual.
3-906F (1b) Plant Establishment Work
For specifications and administrative guidelines for plant establishment time
requirements refer to Section 20-9 [20-4.08], Plant Establishment Work, of the
Standard Specifications, and Section 4-2002C (8), Plant Establishment Work, of this
manual. In general, a withhold for unsatisfactory progress should be waived only for
landscape projects or on other projects only after a corrected entry has been made for
percent time elapsed as covered for Type 1 and Type 2 plant establishment.
For projects with Type 2 plant establishment, the percent of time elapsed and percent
of work completed is determined in the normal manner as described above.
For projects with Type 1 plant establishment, compute the percent of time elapsed and
the percent of work completed as follows for the periods before the start of plant
establishment. After the start of Type 1 plant establishment, the resident engineer will
decide if the progress is satisfactory. In general, consider progress satisfactory if the
contractor entered the plant establishment period on time and carries out plant-
establishment work on time. Progress will be considered unsatisfactory if there will be
an overrun in contract time due to a delayed start of Type 1 plant establishment.
Determine the percentage of work completed by dividing the value of work
accomplished by the authorized contract amount minus the authorized plant
establishment work.

3-9.24 Payment
$ Value Completed Work
% Complete =
($ Total Auth. Contract Amt. $ Plant Estab. Work)
Determine the percent of time elapsed by dividing the number of working days elapsed
to the time of the estimate on Form CEM-2701 by the total contract time limit plus
Total change order days approved to date on Form CEM-2701 and minus the length
of the plant establishment period.
Working Days Elapsed
% Time =
(Orig. Cont. Time + Time Ext. to date Plant Estab. Period)
Compare these two percentages to the curve on Form CEM-2601, Construction
Progress Chart. If progress is satisfactory, check the Override Unsatisfactory
Progress on Form CEM-6101, Project Record-Estimate Request.
3-906F (2) Stop Notice Withholds
Refer to the Division of Accounting all inquiries regarding bills for labor, material, or
equipment rental not paid by Caltrans contractor. Detailed information for
construction payments, legal withholds, labor compliance withholds, levies and liens,
including stop notice contacts can be found on the Division of Accounting Major
Construction Payment and Information website:
http://www.dot.ca.gov/hq/asc/oap/payments/
3-906F (3) Penalty Withhold
For penalty withholds, refer to Section 7-1.02 [7-1.01], Laws, and Section
9-1.16E(5), Penalty Withholds, of the Standard Specifications. Penalty withholds
may become a deduction if appropriate. Withholds may be required per Section 7-104,
Air, Water, and Noise Pollution Control; Section 7-105, Permits, Licenses,
Agreements, and Certifications, and Section 8-102, Labor Compliance
Responsibilities, of this manual.
3-906G Deductions
Deductions (as opposed to withholds) are those amounts held back for specific
purposes. The resident engineer must identify, initiate, and control all deductions. Refer
to Section 5-103F (1c), Deductions, of this manual for information on administering
deductions.
Make a deduction from payment to the contractor as soon as the liability for the event
requiring a deduction has been determined. It is preferable to base deductions on
known amounts resulting from agreements or actual billings, but, if necessary, they can
be estimated.
Resident engineers must keep source documents and summary sheets in the
appropriate contract records to cover all deductions. In the absence of any information
to the contrary, CAS will carry deductions forward from the previous month.
Whenever the contractors progress is unsatisfactory and the project has progressed to a
point where a reasonably accurate estimate of possible liquidated damages can be
made, the resident engineer must deduct an amount sufficient to cover probable
liquidated damages. Make the deduction in lieu of any withhold for unsatisfactory
progress. Enter the amount and description of deductions on Form CEM-6101,
Project Record-Estimate Request, and check Override Unsatisfactory Progress, to
prevent the withhold.

Payment 3-9.25
3-906H Supplemental Progress Payments
Resident engineers are responsible for the completeness and accuracy of each progress
payment. Supplemental progress payments are used to correct omissions or make
adjustments to a previously processed progress payment estimate for work performed
within that pay estimate period. Supplemental progress payments may be run only
between the completion of the original monthly progress payment and the 15th of the
following month.
Refer to Section 5-103F, Generating Estimates, of this manual for the process of
generating a supplemental progress payment.
3-906I Negative Estimates
The resident engineer is responsible for the accuracy of all payment estimates,
including progress payment, after acceptance, semifinal, and final estimates. Negative
estimates reflect an overpayment made to the contractor. When a negative estimate is
necessary, you must prepare a brief justification and submit it with the estimate request
to the district construction office. The district construction office must obtain
concurrence from the deputy district director of construction, or delegate, and the
Division of Constructions field coordinator before running the negative estimate.
When a negative estimate is approved for processing, the Division of Accounting bills
the contractor for the amount due. If, for any reason, you believe that the contractor
should not be billed, notify the district construction office and the Division of
Construction progress pay coordinator. Once notified, the Division of Construction
progress pay coordinator, with the Division of Construction field coordinators
concurrence, will notify the Division of Accounting not to bill the contractor.
Section 3-907E, Payment Offset, of this manual describes another method available
to the resident engineer and the Division of Accounting to resolve overpayment to the
contractor.
3-907 3-907 Payment After Contract Acceptance
Payment After Caltrans makes final payment as soon as possible after the contract is accepted and the
Contract Acceptance contractor submits the required documents requested by the resident engineer. Any
estimate covering a payment after contract acceptance is identified either as after
acceptance, semifinal, or final.
Soon after the contract is accepted, meet with the contractor to discuss submitting
required information to complete the contract. If the contractor does not submit
required data within 4 weeks after acceptance, you must notify the contractor in writing
that Caltrans will issue the proposed final estimate and deduct the appropriate amount.
Section 5-405, Claims Resolution Process, of this manual lists the timeline for
completing payment steps after the acceptance process.
3-907A Payment Before Final Estimate
A payment after acceptance but before the proposed final estimate must adhere to
Section 9-1.17B [9-1.07A], Payment Before Final Estimate, of the Standard
Specifications. The purpose of this type of progress payment is to release all money
due the contractor that exceeds any amounts withheld under the contract. When
determining amounts to be paid or deducted for this type of estimate, the following
applies:

3-9.26 Payment
1. Include payment for the following:
a. Any work completed since the previous estimate
b. Any errors that may have been discovered and corrected
c. Any labor compliance deficiencies that have been cleared
2. Include payment for any overbids on maximum value items, including the
mobilization item. You do not need to take any additional action for this step.
3. When delinquent or inadequate payrolls exist, make a deduction from the
payment.
4. When the contractor has failed to correct deficiencies in its equal employment
opportunity program, make a deduction from the payment. These deficiencies
include failure to submit Form CEM-2402F, Final ReportUtilization of
Disadvantaged Business Enterprises, First-Tier Subcontractors.
The deductions will be in the same amount as for any progress estimate. Refer
to Section 8-1, Labor Compliance, Section 8-2, Equal Opportunity, and
Section 8-3, Disadvantaged Business Enterprises and Disabled Veteran
Business Enterprises, of this manual.
5. To cover any outstanding documents required under this contract, make a
deduction from the payment. These outstanding documents include the
following:
a. Reduced prints of working drawings
b. Outstanding payrolls that are not yet delinquent
c. Or any information upon which to base the proposed final estimate, such
as payment adjustments of contract unit prices
The deduction, regardless of the number of outstanding items, will be the
lesser of 10 percent of the Subtotal Amount Earned Without Mobilization,
or $10,000, and at least $1000.
In addition to the steps listed above for determining amounts to be paid or deducted for
an estimate after contract acceptance, the resident engineer must also do the following:
1. Notify the district of what deductions are applicable.
2. Compound the deductions when a combination of the following situations,
which were outlined above, occur:
a. The contractor has delinquent or inadequate payrolls.
b. The contractor failed to correct deficiencies in its equal employment
opportunity program.
c. The contractor failed to honor requirements related to disadvantaged
business enterprises.
3. Also compound permanent deductions. Permanent deductions include items
such as material royalties, railroad flagging charges, material testing, out-of-
specification material, or restaking charges. Also considered permanent are
deductions for anticipated liquidated damages. (When warranted, anticipated
liquidated damages can be made on progress estimates. However, anticipated
liquidated deductions will need to be made permanent on the after-acceptance

Payment 3-9.27
estimate. To do so, release anticipated liquidated damages; then take actual
liquidated damages under liquidated damages on the after-acceptance
estimate.)
4. When you make deductions for outstanding items, advise the contractor in
writing of the specific missing items.
5. Before processing an after-acceptance estimate, run the following two reports,
Status of CCO, and CCO master listing. These reports will show any
adjustment of compensation credit or deferred time not yet taken.
3-907B Proposed Final Estimate
The purpose of the proposed final estimate is to obtain formal agreement regarding
final payment. For this type of estimate, follow these guidelines:
Submit the proposed final estimate to the contractor within the time frame outlined
in Section 5-405, Claims Resolution Process, of this manual.
Before processing the proposed final estimate, ensure all change order bills
submitted by the contractor are processed and ready for payment. Ensure the
estimates issuance is not delayed for change order bills that remain outstanding.
If the contractor has not submitted required information in a timely manner, the
proposed final estimate must still be issued. In this situation, the following
guidelines apply:
1. Any time before a proposed final estimate is issued, the district may exercise
an option described in Section 9-1.04C [9-1.03C], Materials, of the
Standard Specifications. This section identifies the conditions under which
Caltrans may establish the cost of materials when valid copies of vendors
invoices are not forthcoming. When the district decides to establish such costs,
use the following procedure:
a. If the established cost is necessary to determine compensation, complete
the pending change order, and have it unilaterally approved. To determine
compensation, refer to Section 9-1.06 [4-1.03B], Changed Quantity
Payment Adjustments, or Section 9-1.15 [4-1.03C], Work-Character
Changes, of the Standard Specifications.
b. If the established cost is necessary to make force account payment on an
existing change order, include this established cost as a lump sum
payment on a supplemental change order. Also, unilaterally approve this
supplemental change order.
2. On the proposed final estimate, you may list (in the amount the district
determines to be payable) any force account billings that have not been paid
because of a dispute. Upon return of the proposed final estimate, the contractor
must reiterate the disputed extra work, which must be handled like any other
claim. Do not list in the proposed final estimate any force account billings the
contractor has not yet submitted. It is the contractors responsibility to either
submit these bills before the proposed final estimate or list them as exceptions
to the proposed final estimate.
3. The district will show the required deduction on the proposed final estimate in
the same manner as for any other deduction when the contractor has the
following outstanding items:

3-9.28 Payment
a. Delinquent or inadequate payrolls
b. Deficiencies in its equal employment opportunity program
c. Violations of requirements related to disadvantaged business enterprises
(These items are also described in Section 3-907A, Payment Before Final
Estimate, of this manual.) When such deductions are shown, include a
statement similar to the following on the letter that accompanies the proposed
final estimate: The amount of $_________, which has been deducted for
non-submittal of documents required by the contract, will be paid when all
such documents have been received.
Submit Form CEM-6101, Project Record-Estimate Request, to the district office
with the proposed final estimate box checked to initiate the proposed final
estimate.
The proposed final estimate is to be prepared and sent to the contractor by the
district construction office. It should include the following:
1. A letter transmitting the proposed final estimate to the contractor. This letter
should include the statements shown in Example 3-9.2, Form Letter for
Submitting Proposed Final Estimate to the Contractor.
2. A form for the contractors acceptance of the amounts listed in this estimate.
Ensure the form contains wording similar to the wording in Example 3-9.3,
Acceptance Statement Form.
3. The proposed final estimate report showing the status of item payments
generated by CAS along with the schedule of extra work and schedule of
deductions reports. Samples of these reports are shown in Examples 3-9.4
through 3-9.8.
4. If deductions for items such as staking charges, laboratory charges, railroad
flagging charges, and overruns of contract time are not finalized and shown on
the reports, a list of their estimated maximum amounts must be attached.
Use separate correspondence, not the proposed final estimate, for funds deducted
for labor violations and wage restitution (as opposed to outstanding or inadequate
payrolls).
When money is due on the proposed final estimate, ensure the semifinal estimate
processed immediately after reflects the same totals as the proposed final
estimate. If you follow this approach, the contractor will submit claims based on
our statement of total amount earned, rather than some revised number.
To establish the beginning of the 30 days during which the contractor may submit
written claims, send the proposed final estimate by certified mail, return receipt
requested, or overnight delivery.
From the issuance of the proposed final estimate to the receipt of the contractors
response, do not enter into any negotiations, written or verbal, concerning the
proposed final estimate or potential claims, except as described in the next bullet.
During this time, negotiating or communicating with the contractor (or issuing
change orders) may negate the finality of the proposed final estimate. If the finality
is negated, the contractor may have 30 days from the most recent communication
to respond.

Payment 3-9.29
If you discover an error that requires a decrease in a quantity, send a letter to the
contractor stating the discovery of an error, and specify the item and amount of the
change. Also, state that the error will be addressed after the contractor returns the
proposed final estimate. If the contractor discovers and brings to your attention any
errors or discrepancies, handle this situation through separate correspondence
covering only the affected items. For example, if the contractor disputes the
quantity of an item, send a letter to the contractor stating that the item must be
listed as an exception to the proposed final estimate. In the letter, also state that the
item will be analyzed after the return of the proposed final estimate and exceptions,
also known as the Acceptance Statement.
When the contractor returns the Acceptance Statement, proceed in accordance
with the appropriate option below:
1. If the returned Acceptance Statement has no exceptions (administrative claims
or contract claims) and all documents required under the contract have been
received, prepare the final estimate. Refer to Section 3-907D, Final Payment
and Claims, of this manual for more information.
2. If the returned Acceptance Statement has no exceptions, but some documents
are still outstanding, continue pressing the contractor, in writing, for the
missing documents. If amounts due the contractor exceed the deductions by
more than $300, prepare and process a semifinal estimate.
3. If the documents have not been received in approximately 60 days, request
advice from the Division of Construction field coordinator about further
action.
4. If the Acceptance Statement is returned with exceptions, initiate the claims
procedure as outlined in Section 5-4, Disputes, of this manual.
5. If the Acceptance Statement is returned requesting a payment adjustment in
accordance with Section 9-1.17C [9-1.07B], Proposed Final Estimate, of the
Standard Specifications, determine if the payment adjustment is warranted. If
the payment adjustment is warranted, make the payment in the same manner
as for any other adjustment and unilaterally approve in the district. The
following is an example of a calculation to determine this payment
adjustment:
Example:
Contractors original bid (including mobilization) $100,000
Ninety percent of Contractors bid $ 90,000
Final estimate of total work (including mobilization,
extra work, and less permanent deductions) $ 85,000
Difference $ 5,000
Adjustment of Overhead Costs
(10 percent of difference) $ 500
6. When the Acceptance Statement is not returned within the specified 30 days,
ensure it has not been lost in transit and then proceed in accordance with the
appropriate option below:

3-9.30 Payment
a. If all documents have been received, prepare and process the final
estimate.
b. If some documents are still outstanding, request advice from the Division
of Constructions field coordinator about further action.
c. If the contractor includes in the Acceptance Statement any claim that is
postmarked or hand-delivered more than 30 days after the date the
contractor received the proposed final estimate, the claim is considered
untimely and will not be processed. On a hand-delivered claim, record the
date the claim arrived, who delivered it, and who received it. Retain the
envelope for a claim that arrived through the mail to establish the date the
claim was sent. Inform the contractor of the late filing by using a letter
worded in a similar way to the letter below. This notification will
constitute the final administrative action on a late claim.
Notification to Inform the Contractor of a Late Filing:

Contractor ___________,
The statement of claim included in your letter dated _________, was
submitted to us more than 30 days after you received copies of the
proposed final estimate for Contract No. ____________, (County Route
and Mile-Post).
A final estimate is, therefore, being processed for issuance to you as
provided in Section 9-1.17C [9-1.07B], Proposed Final Estimate, of
Sincerely,
District Construction Office
d. If the contractor includes claims with the return of the proposed final
estimate, the district should immediately acknowledge the receipt of the
claims by sending a written statement similar to the following:
Acknowledgment of the Receipt of Claims:
Your written statement of claims has been received. The engineer will
base the determination of your claims upon the investigation of your
statement.
The investigation of your claim statement will begin immediately. If it

is determined that additional information is required, you must furnish it
within 15 days of the request in accordance with Section 9-1.17D(2)
[9-1.07B], Claim Statement, of the Standard Specifications. You may
request in writing an extension of time to a specific date. Our purpose is
to provide you with the engineers final determination on claims in the
minimum possible time, consistent with the assurance that all the facts
are available for consideration.

Payment 3-9.31
e. If the initially submitted claim statement is obviously deficient in
information, use a paragraph similar to the following example in lieu of
the second paragraph above:
Notification of Deficiency of Information:
Your initial submission appears to be deficient as to the following:

[Select appropriate item or items.]
1. Statement of contractual basis for claim

2. Information as to compliance with Section 4-1.05A [4-1.03A],
General, Section 5-1.43 [9-1.04], Potential Claims and Dispute
Resolution, of the Standard Specifications, or both
3. Breakdown of amount claimed due
4. Other, as applicable
Please submit any further information you wish to have considered by

[date, approximately 15 days after the contractor will receive the letter].
If you will require additional time to prepare your supplementary
statement, please request an extension in writing specifying the date to
which the extension is requested. The engineer intends to make the final
determination on claim matters in the minimum possible time, consistent
with the assurance that all the facts are available for consideration.
f. Examine claims expeditiously. For detailed instructions, refer to Section

5-4, Disputes, of this manual.
3-907C Semifinal Estimate
A semifinal estimate is any estimate prepared after issuing the proposed final estimate
and before preparing the final estimate. The primary purpose of a semifinal estimate is
to make timely payment for all nondisputed items that have not been paid on a
previous estimate. However, semifinal estimates can also be issued to make payment if
some, but not all claims, have been resolved.
The proposed final estimate need not show a zero balance for money owed to the
contractor. If the proposed final estimate does identify money owed to the contractor,
immediately run a semifinal estimate after the proposed final estimate. Do not wait for
any response from the contractor to the proposed final estimate. Do not issue any other
estimates until 30 days after issuing the proposed final estimate.
Normally, use the same procedures to issue a semifinal estimate as those to issue a
progress estimate.
3-907D Final Payment and Claims
Submit a final estimate only after one of the following conditions has been met:
The contractor has submitted all required documents and complete agreement on
payment has been reached.
The district directors determination of claim has been issued.

3-9.32 Payment
The contractor does not respond to the proposed final estimate in the specified time
but has submitted all required documents.
Or, the district has been advised by the Division of Construction field coordinator
to proceed.
Refer to Section 5-405, Claims Resolution Process, of this manual for more
information. As soon as the district approves the final estimate, it must use a transmittal
letter. The letter must state the following: Submitted herewith in accordance with
Section 9-1.17D(3) [9-1.07B], Final Determination of Claims, of the Standard
Specifications is a copy of the final estimate for your Contract No.
A copy of the transmittal letter is to be sent to the resident engineer to be retained in the
project files.
The district transmits only the final estimate because the disbursing office of the
Division of Accounting will mail to the contractor the corresponding copy of the
progress payment voucher.
3-907D (1) Material to Submit with the Final Estimate
Before payment of a final estimate, the Division of Construction progress pay staff
must ensure that administrative details have been completed. For this purpose, the
district must forward the following data before or with all final estimates:
Submit the proposed final estimate as originally submitted to the contractor,
including transmittal letters.
Submit the Acceptance Statement returned by the contractor. If the contractor has
refused to sign the statement, submit it with an explanation of the contractors
refusal.
Submit a transmittal letter containing, but not limited to, the following:
1. A list of the forms and attachments being transmitted or an explanation as to
why a form or attachment is missing. Include letters from the Division of
Construction authorizing the submittal of the final estimate without certain
documents and stating the action taken or to be taken as a result of the missing
documents.
2. A statement about the use of materials agreements. If there are no materials
agreements, state this.
3. A statement that reduced prints of all shop drawings for highway bridges and
railroad bridges have been received from the contractor. If such drawings are
not required, please state so.
4. Correspondence or documents explaining or authorizing the differences
between the proposed final estimate and the final estimate.
5. Form CEM-2402F, Final ReportUtilization of Disadvantaged Business
Enterprises (DBE), First-Tier Subcontractors.
3-907E Payment Offset
A payment offset is a method of obtaining monies due to Caltrans on one contract by
levying against future payments being made to a contractor on another Caltrans
contract. Offsets may be taken to obtain adequate funds for any amount due and for
determinations made by an arbitrator. The offset process should be completed within

Payment 3-9.33
90 calendar days of contract acceptance except when an offset for a determination by
an arbitrator is required.
Many stakeholders are involved in the payment offset process. The following should
be considered when choosing an active contract to apply an offset against:
1. There should be sufficient payments pending.
2. Bonded by the same bonding company if possible.
3. Administrated within the same district.
To begin the payment offset process, send a letter to the contractor, bonding company,
and offset bonding company. The contractor and the bonding companies have 20
calendar days from receipt of the letter to request a meeting to discuss the offset.
If the contract or bonding companies do not request a meeting, execute the offset. If a
meeting is requested, a meeting will be held within 10 calendar days of receipt of the
request. The meeting is conducted by the district director or as delegated to at least a
supervising transportation engineer.
The resident engineer prepares a summary of the facts, minutes of the meeting, and a
final determination report. If the offset is warranted, notify the district administering the
contract being offset, the contractor, and bonding companies of the final determination,
and the amount of the offset. If the contractor or the bonding companies do not request
a hearing, execute the offset. If the hearing officer determines that an offset is not
warranted, continue through the collections process administered by the Division of
Accounting. The Division of Accounting executes only those offsets authorized by the
Division of Construction.
3-908 3-908 Arbitration
Arbitration If the contractor has diligently pursued and exhausted the administrative procedures
specified in the contract, the contractor is entitled to file for arbitration of its claims 240
days after contract acceptance even if the district director determination of claims has
not been issued.
The Caltrans Legal Division handles all construction contract arbitrations. Refer to
Section 5-410, Arbitration, of this manual for more information.

3-9.34 Payment
Example 3-9.1. Quantity Calculations

Payment 3-9.35
Example 3-9.2. Form Letter for Submitting Proposed Final Estimate to the Contractor
Subject: Proposed Final Estimate
In accordance with the provisions of Section 9-1.17D(1) [9-1.07B], General of the Standard Specifications,
attached (in triplicate) is a proposed final estimate for
_______________ ______________________________
(Contract) (Dist. Co. Rte. M.P)
Please review the proposed final estimate and, if satisfactory, indicate your approval in the space provided on
the attached Acceptance Statement. Return three copies of the Acceptance Statement to this office. One copy
is for your files.
Please note the following portion of Section 9-1.17D(1) [9-1.07B], General of the Standard Specifications,
which states:
If you accept the proposed final estimate or do not submit a claim statement before the 31st day of receiving
the estimate, the Engineer furnishes the final estimate to you and the Department pays the amount due within
30 days. This final estimate and payment is conclusive except as specified in Sections 5-1.27 [9-1.03C],
Records; 6-3.06, Guarantee; and 9-1.21 [9-1.09], Clerical Errors. If you submit a claim statement
before the 31st day of receiving the Engineer's proposed final estimate, the Engineer furnishes a semifinal
estimate to the Contractor and the Department pays the amount due within 30 days. The semifinal estimate is
conclusive as to the amount of work completed and the amount payable except as affected by the claims or as
specified in Sections 5-1.27 [9-1.03C], Records; 6-3.06, Guarantee; and 9-1.21 [9-1.09], Clerical Errors
Your promptness in returning the signed copies, indicating your approval, will expedite payment of the final
estimate. Alternatively, a signed qualified approval by reason of a written statement of claims will expedite
payment of a semifinal estimate. A statement of claims must include a notarized certificate containing the
language required in Section 9-1.17D(2)(c) [9-1.07B], Declaration, of the Standard Specifications.
If claims are submitted in connection with this contract, you will be expected to comply fully with Section 9-
1.17D(2) [9-1.07B], Claim Statement, of the Standard Specifications. The engineer will base the
determination of claims upon the investigation of your statement, in which you are expected to present your
position fully as to the contractual basis of the claim; compliance with contract requirements such as Section
5-1.43 [4-1.03A], Potential Claims and Dispute Resolution, subsections A through D, or Section 9-1.17D
[9-1.04], Final Payment and Claims, of the Standard Specifications, if applicable; a breakdown of the total
amount claimed; and all other information you consider to be in support of your claim.
As further provided in Section 9-1.17D(1) [9-1.07B], General, of the Standard Specifications, in case
neither approval nor a statement of claims is received, postmarked or hand delivered, before the 31st day, a
final estimate in the amount of this proposed final estimate will be issued. Your date of receipt of this
proposed final estimate establishes the beginning of the specified 30 days.
Sincerely,

3-9.36 Payment
Example 3-9.3. Acceptance Statement Form
Subject: Acceptance Statement
Attachment to transmittal letter
Dated _____________ Contract Identification__________________
I have examined the quantities of bid items and amounts indicated as payment for extra work
and the deductions on the proposed final estimate dated __________. I agree to accept the total
of $______________ as indicated, as the total amount earned for all work performed on the
above contract, except as may be indicated below.
__________________
Contractor
Exceptions (check one) __________________

By
[ ] None
[ ] As indicated per
attached letter
dated ________
__________________
Title
__________________
Date

Payment 3-9.37
Example 3-9.4. Sample of the Proposed Final Estimate

3-9.38 Payment
Example 3-9.5. Sample of the Project Record Estimate, Summary of Payment

Payment 3-9.39
Example 3-9.6. Schedule B Extra Work and Adjustment of Compensation
Example 3-9.7. Schedule of Extra Work
Example 3-9.8. Schedule of Deductions

3-9.40 Payment
Chapter 4-
Construction Details
Chapter 4 Construction Details
Section 0 Introduction Section 0

Introduction
4-001 Scope 4-001
Each section in this chapter of the manual corresponds to a section in the Standard Scope
Specifications. All sections in the Standard Specifications are included here except
Division I, General Provisions; Section 10, General, of Division II, General
Construction; and Division XI, Building Construction.
Each section in this chapter contains the following four parts:
General briefly describes the work covered in the section.
Before Work Begins describes the actions the resident engineers and assistant
resident engineers must take before the contractor begins the construction work.
During the Course of Work describes the actions the resident engineers and
assistant resident engineers must take when the contractor is performing the work.
Measurement and Payment provides guidelines for measuring and paying for
the work covered in the section.
4-002 Purpose 4-002
Although each section in Chapter 4 closely follows the corresponding section in the Purpose
Standard Specifications, the intent of this chapter is not to repeat or paraphrase the
specifications, but to offer guidelines for action to ensure compliance with the
specifications and to measure work done. Therefore, for resident engineers and
assistant resident engineers, Chapter 4 provides guidelines for inspecting, measuring,
and paying for contract item work.
For structures-related work covered in Division VI, Structures, of the Standard
Specifications, the guidelines in Chapter 4 are general in nature. The guidance for
technical structures issues, including inspecting, measuring, and paying for structures
contract item work, is included in the Office of Structure Constructions construction
records and procedures manuals available at:
http://www.dot.ca.gov/hq/esc/construction/manuals/
For the most part, only the Standard Specifications are considered in the guidance
provided in Chapter 4. Special provisions may require actions different from or in
addition to those described in these guidelines.
Assistant resident engineers are usually assigned some specific portion of contract
work. The first duty in carrying out the assignment is to become thoroughly familiar
with the contract plans, standard plans, special provisions, and standard specifications
that apply to that particular work. This chapter of the manual does not substitute for and
does not diminish the need to have a good understanding of the planned work and the
specifications.

Introduction 4-0.1
Section 10 formerly Dust Control

Refer to Section 7-104, Air, Water, and Noise Pollution Control, of this manual for guidance on dust control.
Section 10 of the 2010 Standard Specifications is currently reserved.

Dust Control 4-10.1
Section 11
Section 11 Quality Control and Assurance Quality Control
and Assurance
4-1101 General 4-1101
Section 11, Quality Control and Assurance, of the Standard Specifications describes General
the requirements relating to the contractors quality control activities during
construction for specific items of work. This includes handling correspondence,
submittals, reports, quality control (QC) plans, QC records, and certificates of
compliance. It also includes sampling and testing of materials and inspection of work
in progress.
The general approach to quality control and quality assurance is that the contractor is
responsible for the quality control of materials and workmanship used in the work.
Caltrans is responsible for verifying the quality of materials and workmanship used in
constructing the project. The sum of the contractors quality control and Caltrans
quality verification is quality assurance.
4-1102 Before Work Begins 4-1102
Before work begins, check project specifications to determine if a contractor-provided
Before Work
QC manager and QC inspector are required for specific items of work. Begins
If a QC manager and QC inspector are required, ensure that the contractor provides
people who are qualified under applicable specifications and gives you their names and
contact information.
Meet with the QC manager and QC inspector to discuss their duties and responsibilities
as described in the specifications. Inform them that their quality control activities may
at times need to be coordinated with Caltrans ongoing quality verification activities, as
described throughout this manual. Discuss and answer questions that arise.
4-1103 During the Course of Work 4-1103
During the Course
During the course of work do the following:
of Work
Verify that the required QC manager and QC inspector perform duties as specified.
Ensure that correspondence, submittals, reports, QC plans, QC records, and
certificates of compliance are handled as specified. Ensure that the quality control
sampling, testing, and inspection are done to Caltrans standards and in a timely
manner.
Refer to Chapter 6, Sampling and Testing of this manual for additional guidance
in ensuring materials and workmanship used in the work comply with
specifications.
4-1104 Measurement and Payment 4-1104
For measurement and payment details, review contract specifications. Measurement and
Payment

Quality Control and Assurance 4-11.1
Section 12 Temporary Traffic Control

4-1201 General
4-1202 Before Work Begins
4-1202A Flaggers
4-1202B Barricades
4-1202C Flashing Arrow Signs
4-1202D Portable Delineators
4-1202E Portable Flashing Beacons
4-1202F Construction Area Signs
4-1202G Channelizers
4-1202H Type K Temporary Railing
4-1202I Traffic Cones
4-1202J Traffic Plastic Drums
4-1202K Portable Changeable Message Signs
4-1202L Impact Attenuator Vehicle
4-1202M Temporary Traffic Screen
4-1202N Temporary Crash Cushion Module
4-1202O Temporary Signal System
4-1202P Maintaining Traffic
4-1203 During the Course of Work
4-1203A Flagging
4-1203B Barricades
4-1203P (1) Field Adjustments
4-1203P (2) Placement Sequence and the Start of Work

Temporary Traffic Control 4-12.i
4-1203P (3) Drive-Through Inspection
4-1203P (4) Maintenance
4-1203P (5) Reverse Operations Inside Closures
4-1204 Measurement and Payment
4-1204A Flagging
4-1204B Barricades
4-1204J Portable Changeable Message Signs
4-1204K Temporary Crash Cushion Module
4-1204L Temporary Traffic Screen
4-1204M Temporary Signal System
4-1204N Traffic Plastic Drums
4-1204O Traffic Control System

4-12.ii Temporary Traffic Control
Section 12
Section 12 Temporary Traffic Control Temporary
Traffic Control
4-1201 General 4-1201
This section provides guidelines for inspecting temporary traffic-handling equipment General
and devices in construction areas. Section 2-2, Traffic, of this manual provides
guidelines and a general overview of providing a safe and convenient passage of public
traffic through the construction area and is complementary to this section. Engineers
who administer the provisions in Section 12, Temporary Traffic Control, of the
Standard Specifications must be familiar with both Section 2-2 and this section of the
manual.
Engineers administering traffic control must also be familiar with the current
California Manual on Uniform Traffic Control Devices (California MUTCD). If a
discrepancy occurs between the contract plans and specifications and the California
MUTCD, the plans and specifications govern.
Temporary traffic control devices are divided into categories:
Category 1 devices include traffic cones, plastic traffic drums, portable delineators,
and channelizers.
Category 2 devices include barricades and portable sign supports.
Category 3 devices include crash cushions, impact attenuator vehicles, temporary
railing, temporary barrier, and end treatments for temporary railings and barriers.
Take the following general steps before work begins: Before Work
Begins
To obtain a thorough understanding of the projects traffic control needs and
requirements, review the plans; special provisions; Standard Specifications;
Standard Plans; and Part 6, Temporary Traffic Control, of the California
MUTCD.
Determine what signs must be placed before work begins for the entire project and
before work begins for each stage of the project.
Determine the methods and equipment the contractor will use for closing lanes,
ramps, and roadways, and for flagging and controlling one-way traffic.
Note the various traffic control devices specified to be used. Some of these devices
will require certificates of compliance. Signage and delineation materials listed in
the special provisions must be listed on the Caltrans authorized materials list for
signing and delineation materials and must be covered by certificates of
compliance. The resident engineer may accept another product as long as the
district traffic engineer has approved it through written confirmation.
Obtain self-certification for crashworthiness of Category 1 temporary traffic
control devices.

Temporary Traffic Control 4-12.1
Request a list of Category 2 temporary traffic control devices to be used on the
project.
Visually inspect all traffic control devices to ensure conformity with the
specifications. If you approve the devices for use, record the approval in the daily
reports.
4-1202A Flaggers
Discuss any flagging operation with the contractor before the operation begins. Ensure
flaggers will wear the appropriate flagging apparel and are trained in accordance with
the California MUTCD and the Construction Safety Orders. Review with the
contractor how flaggers will communicate with each other, with pilot cars, and with
workers inside the controlled area. The contractor should develop a plan for handling
emergencies and emergency vehicles in the control zone.
4-1202B Barricades
Verify barricade construction complies with Section 12-3.02, Barricades, of the
Standard Specifications and with Sheet A-73C of the Standard Plans. Reflective
sheeting requires a certificate of compliance and must be listed on the Caltrans
authorized materials list for signing and delineation materials. The resident engineer
may accept another product as long as the district traffic engineer has approved it
through written confirmation.
Request proof that any Type III barricade used as sign support has been crash tested to
NCHRP Report 350 criteria as a single unit with a sign panel of the size and type used
on the project.
Verify Type I and Type II flashing arrow signs comply with Section 12-3.03, Flashing
Arrow Signs, of the Standard Specifications.
Before initial placement, verify that the type the contractor proposes conforms to
requirements in Section 12-3.04, Portable Delineators, of the Standard
Specifications. Obtain a sample of the type of delineator to be used on the project.
Verify the base is shaped to prevent rolling after impact. Portable delineators require a
certificate of compliance and must be listed on the Caltrans authorized materials list for
signing and delineation materials. The resident engineer may accept another product as
long as the district traffic engineer has approved it through written confirmation.
Verify portable flashing beacons conform to requirements in the special provisions.
At the preconstruction conference, remind the contractor of the following:
The contractor must maintain an inventory of commonly required items at the job
site and arrange for sign panels, posts, and mounting hardware or portable sign
mounts to be furnished on short notice.
The special provisions list requirements for signage materials. Substrate and
reflective sheeting for construction area signs require a certificate of compliance
and must be listed on the Caltrans authorized materials list for signing and

4-12.2 Temporary Traffic Control
delineation materials. The engineer may accept another product as long as the
Before digging to install signposts, regional notification centers must be notified.
Hand digging is required unless the location is free of underground utilities.
For requirements for channelizers, review the plans, special provisions, and Section 12-
3.07, Channelizers, of the Standard Specifications. Channelizers require a certificate
of compliance and must be listed on the Caltrans authorized materials list for signing
and delineation materials. The engineer may accept another product as long as the
Determine if Type K temporary railing is to be cast on the project. For Type K
temporary railing cast off the project, a certificate of compliance is required.
Determine if Type K temporary railing is to be placed within 10 feet of a traffic lane.
The contractor must provide reflectors and adhesive, as noted in Section 12-3.08,
Type K Temporary Railing, of the Standard Specifications.
Review Standard Plan T3B for new staking requirements.
Freshly painted Type K temporary railing is required only before its first use on the
project unless the special provisions require otherwise.
Reflectors for Type K temporary railing require a certificate of compliance and must be
listed on the Caltrans authorized materials list for signing and delineation materials.
The resident engineer may accept another product as long as the district traffic engineer
has approved it through written confirmation.
Verify traffic cones comply with Section 12-3.10, Traffic Cones, of the Standard
Specifications. If the contractor plans to use cones for night work, determine the type of
cone proposed. Removable reflective sleeves must be removed during daylight. Allow
use of only one type of retroreflective cone. All cones must use the same type and
brand of retroreflective sheeting. Reflective sleeves require a certificate of compliance
and must be listed on the Caltrans authorized materials list for signing and delineation
materials. The resident engineer may accept another product as long as the district
traffic engineer has approved it through written confirmation.
Before initial placement, verify the type that the contractor proposes complies with
Section 12-3.11, Plastic Traffic Drums, of the Standard Specifications. Allow use of
only one type of drum. All drums must use the same type and brand of retroreflective
sheeting. Reflective sheeting used on traffic plastic drums requires a certificate of
compliance and must be listed on the Caltrans authorized materials list for signing and
delineation materials. The resident engineer may accept another product as long as the
Before the first deployment of portable changeable message signs (PCMS), arrange
with the contractor to have them inspected. Perform field tests to verify compliance

with Section 12-3.12, Portable Changeable Message Signs, of the Standard
Specifications. Conduct these inspections and tests in conditions similar to those in
which they will be used on the project, specifically during the night or during the day.
Verify that the sign is visible and legible according to the requirements.
Verify that the trailer can be leveled and that the sign operates within the required
minimum and maximum heights.
Review the special provisions for the impact attenuator vehicle (IAV) requirements.
Verify that the weight of the attenuator and the weight of the support truck are within
the specified limits. Refer to the Caltrans authorized material list for highway safety
features.
For requirements for temporary traffic screen, review the special provisions and Sheet
T4 of the Standard Plans.
Review the project plans and Standard Plans sheets T1A, T1B, and T2. Frequently the
plans for stage construction, detour, or traffic handling will require arrays of temporary
crash cushion modules. Changes to any of these plans may alter the need for temporary
crash cushion modules.
If installing Type K temporary railing creates a blunt-end exposure within 15 feet of
the edge of the traveled way, temporary crash cushions are required at that location. If
the blunt end is within 8 feet, appropriate approved crash cushion protection, other than
sand filled modules, must be provided.
The Standard Plans show temporary crash cushions installed on wooden pallets, but
the use of pallets is optional. The maximum acceptable pallet height is 4-1/2 inches.
Pallets that exceed this height raise the sand in the crash cushions above an acceptable
level. Do not use typical commercial pallets that exceed the allowed height.
Visually inspect crash cushion modules to ensure they conform to the requirements in
Section 12-3.15, Temporary Crash Cushion Module, of the Standard Specifications.
As early as possible, verify that all Department-furnished equipment is available at the
location specified in the special provisions. If the equipment is not available, make
other arrangements as soon as possible.
Verify that the actual visibility in the field meets the expected visibility. If sight
distance is not adequate, contact the district traffic engineer for suggestions or
recommendations.
Remote area signal installations are often located in forests or grasslands. Ensure all
fire safety requirements are in place and operative before using the system. Checking
fire safety requirements will often involve working with personnel from the local U.S.
Forest Service, Bureau of Land Management, or California Department of Forestry.

Before work begins, carefully review the plans, specifications, closure charts, and
sheets T10 through T17 of the Standard Plans. It is important to know in advance
what personnel, signage, and equipment will be required to implement the traffic
control system. Ensure that the contractor has all components on hand and that all
components meet specifications requirements before they set up any traffic control
system.
Ensure the contractor notifies and cooperates with local authorities wherever the
local authorities regulate traffic.
Frequently a project is one of many in the same vicinity or in the same
transportation corridor. In such instances, require that the various contractors
coordinate their efforts by submitting their schedules for lane closures in advance
and resolving schedule conflicts before any closures are implemented. Review
these requirements with the contractors before work starts. Remove or cover any
construction area signs that duplicate or contradict the signs for a project within
250 feet of another project. Refer to Section 5-1.20 Coordination with Other
Entities, of the Standard Specifications, if applicable, and the special provisions.
In the contractors or subcontractors yard, if possible before the first use, inspect
the signs and equipment the contractor proposes to use. Verify that all the
necessary signs, cones, drums, and other equipment are on hand before setting up
the system for the first time. If the proposed materials have already been used,
check them for acceptability. Replace any unacceptable equipment. It is much
easier to correct deficiencies before the system is installed.
If the contractor is to place the traffic control system repeatedly in the same place,
mark on the shoulder or pavement the locations of advance signs, cones, and
drums. This will speed the placing of lane closures and ensure better taper
alignment.
Inspect Category 2 temporary traffic control devices to ensure they are labeled with the During the
FHWA acceptance letter number and the name of the manufacturer. Course of
Work
Ensure Category 3 temporary traffic control devices are the type shown on the
authorized material list for highway safety features.
Verify that traffic handling devices meet the visibility and legibility requirements.
Contractors should maintain all traffic control devices in good working order
throughout the projects life. During operations requiring traffic control systems,
engineers should ensure that all traffic control devices are correctly located and
functioning properly.
The condition of temporary traffic control devices must conform to the current
American Traffic Safety Services Association (ATSSA) publication, Quality
Guidelines for Temporary Traffic Control Devices and Features, which is available at:
http://www.atssa.com/OnlineStore.aspx,
Click on the search for products button and type quality guidelines in the product
name input box.

Do not allow the contractor to intermix different types of temporary traffic control
devices on the same alignment. Types include plastic drums, portable delineators,
channelizers, tubular markers, traffic cones, and Type I and Type II barricades.
Ensure the contractor removes traffic-handling equipment and devices from the job site
when they are no longer needed for controlling traffic.
4-1203A Flagging
Observe the flagging operation to ensure that the flaggers are using correct procedures
for directing motorists. Also, ensure that flagging stations are laid out correctly, are
visible to approaching traffic, are illuminated during night time, and have correct
advance warning signs. The contractors flaggers must be properly trained and
equipped and must perform their duties in accordance with Title 8, California Code of
Regulations, Section 1599, and the California MUTCD. When pilot vehicles are used,
radios are required.
4-1203B Barricades
Ensure the contractor maintains barricades in a good state of repair and keeps the
reflective surfaces clean. If weighting is necessary, allow the contractor to use only
bags of dry sand. Weights must be placed on the feet or lower parts of the frame or
stays. Do not allow the contractor to place objects any higher, or use hard objects such
as concrete or rocks for weights; this may lead to injury or property damage should a
vehicle hit the barricades.
Ensure the contractor places barricades so that the stripes slope downward in the
direction road users are to pass.
See that the proper types of flashing arrow signs are used as shown in the plans or as
described in the special provisions.
Observe the equipment in operation and do the following:
Verify the flashing arrow sign trailer can be leveled and plumbed.
Ensure the lights are dimmed at night and set on bright during daylight hours.
Verify the lights are not glaring into approaching traffic, especially truck traffic.
Ensure compliance with the minimum legibility distances.
Ensure the signs are properly aimed at approaching traffic. Pay special attention to
the aiming of the sign whenever solar-powered signs are used. The special bulbs
used with solar signs have much narrower beams than conventional bulbs and,
therefore, require greater care while being aimed.
Require the contractor to immediately replace or restore portable delineators to their
original location in an upright position when displaced or knocked down. Ensure the
use of only one type of portable delineator on the project.
Verify the proper operation and location of these beacons.

Ensure that the contractor promptly installs, relocates, covers, and removes signs as the
contract requires. Construction signs should be covered or removed whenever they no
longer serve a purpose. Verify that covers placed on sign panels completely block out
any messages so that the messages cannot be seen day or night. The covers should also
present a workmanlike appearance.
Allow only the use of sandbags when it is necessary to weight sign standards to prevent
the wind from overturning them. Do not permit rocks, broken concrete, or other hard
objects to be used for this purpose.
Review construction area signs often during the course of the work. Require that signs
be maintained as provided for in the contract. Signs should be clean, clearly visible,
and repaired immediately if damaged.
Ensure construction area signs do not block bicycle and pedestrian pathways.
Do not allow the use of nonretroreflective portable signs during hours of darkness.
Check sign posts to ensure compliance with breakaway features.
Check the contractors layout work. Determine that the pavement is clean and dry and
that the contractor places the channelizers in conditions that meet the required
temperatures. If channelizers are displaced or fail to remain in an upright position, they
are to be replaced at the contractors expense.
Do not allow the contractor to use the double-stick butyl pads provided by the
channelizer manufacturer; these pads do not meet Caltrans requirements.
Verify all new and used rail elements comply with requirements for end connection
and surface finish. Order repainting when needed. Refer to ATSSA publication,
Quality Guidelines for Temporary Traffic Control Devices and Features.
Ensure railing is placed on a firm, stable foundation uniformly graded throughout the
entire length of the railing.
Check railing alignment for any substantial offset to each other.
Verify staking of railing according to the Standard Plans.
Ensure the contractor offsets the approach end of Type K temporary railing a minimum
of 15 feet from the edge of an open traffic lane, according to Section 7-1.04 Public
Safety, of the Standard Specifications.
Verify installation and maintenance of Type P marker panel at each end of railing,
according to the Standard Specification requirements.
Ensure the contractor installs a reflector on each rail unit placed within 10 feet of a
traffic lane.
Prohibit the use of traffic cones that have been damaged or coated with asphalt or other
substances to the extent the cones have lost their ability to function as intended. Refer
to ATSSA publication, Quality Guidelines for Temporary Traffic Control Devices and
Features.

Check the contractors layout work. Require the proper maintenance of traffic plastic
drums. Require that water or sand ballast for the drums is placed in the base only.
Sandbags are not allowed for ballast.
Make a drive-through inspection while the signs are in operation. A portable
changeable message sign needs to be located where it provides the approaching
motorist with at least the minimum visibility and legibility distances required by
specification. Pay special attention to locations where vertical or horizontal curvature
restricts the sight distance. Drivers must be able to read the entire message at least two
times before passing the sign.
PCMSs are to display only pre-approved messages. The resident engineer must ensure
that the messages conform to the changeable message sign guidelines, and district and
Caltrans policy. Prohibit messages that do not convey real-time information to the
motorist. Examples of unacceptable messages include Drive carefully, Have a Nice
Day, and Thank you.
PCMSs, like any other pieces of equipment, are subject to the Public Safety clauses
of the contract. When they actively display a message, PCMSs are working equipment.
At all other times, they are parked or nonworking. Ensure the contractor delineates
PCMSs with a taper consisting of nine traffic cones. Protect or remove non-operating
signs within 15 feet of traffic to comply with the requirements of Section 7-1.04
Public Safety of the Standard Specifications. In many cases, placing a PCMS behind
existing guard railing will protect it. In cases when it is not practicable to remove non-
operating PCMSs, consult the district traffic engineer. The district traffic engineer may
permit the PCMSs to be protected with an array of crash cushions in lieu of the Type K
temporary railing required by the Public Safety specification.
Unless the contract states otherwise, contractors are not required to have PCMSs
available at all times for the discretionary use of the resident engineer.
The contractor is also not obliged to have a PCMS available during periods when the
traffic control system is nonoperational.
A PCMS for information and guidance to motorists is required only during times,
places, or activities stated in the plans and specifications.
Verify there is enough shoulder width before allowing the use of an IAV for placement
and removal of components on two-lane, two-way highways.
Ensure the contractor uses an IAV as a shadow vehicle in moving closures and during
placement and removal of components in stationary closures. After placing
components of stationary closures, the contractor may place the IAV in advance of the
work area to protect workers and traffic.
Do not allow the use of a damaged IAV.
Immediately after installation, review the screen placement, especially near entrance
and exit ramps. If the screen blocks motorist visibility, order its removal and consult
with the district traffic engineer concerning possible alternatives.

Ensure supporting steel pipes are placed on the traffic side of the screen. Then, if a
panel becomes dislodged, the plywood will fall away from traffic.
Check that crash cushion module arrays are installed according to the manufacturers
instructions. Verify that all crash cushion modules are filled with the proper weight of
sand. Check pallet heights when used. Also, ensure that when arrays are placed, a
minimum clearance of 8 feet exists between the array and the nearest traffic lane.
Contact the district traffic engineer for recommendations if you cannot obtain proper
clearance to the traffic lane.
Be sure that the contractor installs P or R markers when required.
Periodically review the temporary signal system to document its maintenance. Record
inspection dates and conditions observed in the project records.
If a system shutdown occurs, planned or unplanned, the contractor must immediately
provide flaggers to control traffic until the traffic signals are functioning correctly.
Ensure the contractor submits a schedule of planned closures in advance as required by
Section 12-4.03, Closure Schedule and Conditions, of the Standard Specifications.
Closures that will reduce horizontal or vertical clearances require even more advanced
notification. Inform the transportation permits unit 15 days in advance of the closure.
This advance notification affords Caltrans the opportunity to coordinate work within
the highway corridor. Review the contractors requests both to avoid oversights and
also to identify and reduce the number of unnecessary requests (overbooking).
Review the closure requests to ensure the contractor complies with the closure charts
requirements.
The contractor should not close two adjacent ramps in the same direction of travel
unless you give the approval. Ensure the contractor sets up an off-the-highway detour
before closing all ramps in both directions of travel at the same interchange.
Ensure the contractor cancels scheduled closures not needed at least 2 days in advance.
Verify the contractor follows the advance notification and signing requirements before
setting up any closures.
Inform the contractor of ADA requirements if the closure will affect pedestrian traffic
and a temporary pedestrian facility is needed.
On the day of the closure, notify the district traffic management center (TMC) of any
cancellations (10-22).
Before the contractor places the first cone, notify the district TMC of the closure setup
(10-97).
After the contractor removes the last cone, notify the district TMC of the closure
pickup (10-98).
If the contractor fails to comply with Section 12-4.03 Closure Schedule and
Conditions, of the Standard Specifications by not opening the highway according to
the closure charts, the contractor must submit a written detailed construction
contingency plan demonstrating that the highway will be opened in a timely manner in

the future (refer to Section 2-2 of this manual). The contractors contingency plan must
include two elements:
1. A critical path analysis of the operation. This analysis must include a detailed
review of each segment of the operation, including placing and removing traffic
control.
2. Actions to be taken if the operation is not proceeding as planned and needs to be
terminated early. Early termination can consist of either stopping the contractors
operation so that lanes can be reopened within the specified time limits or stopping
the contractors operation to reopen the lanes before the time specified for
reopening.
When an operation is terminated before the time the specifications allow because of
circumstances beyond the contractors control, consider granting time, compensation,
or both, within the terms of the contract. If the operation is terminated before
completion of the planned work because of circumstances within the contractors
control or because of equipment breakdown, do not allow compensation and charge a
working day as appropriate.
Do not permit any lane closures until the contractor submits this plan and it is approved
in accordance with the specifications.
4-1203P (1) Field Adjustments
Field adjustments to the traffic handling plans are frequent occurrences. Adjustments
must be made to ensure adequate sight distance, to avoid locations with multiple
decisions, to accommodate expected queues, and to coordinate activities at multiple
locations. The following are typical situations where field adjustments are necessary:
Vertical and horizontal curvesEnsure tapers are visible for their entire length to
approaching traffic. Do not hide the taper of a traffic control system behind a
vertical or horizontal curve. Extend the tangent portion of the closure to better
position the taper. (Under ideal conditions, all advance warning signs and the taper
would be located in a tangent with the taper placed on a slight upgrade for
improved visibility.)
Ramps and connectorsManaging ramps and connectors within a lane closure
presents several problems. Extend exit ramp tapers back through the lane closure
as an extension of the ramps shoulder line. Avoid sharply angled tapers. Extend
entrance ramps through the closed lane by projecting the left shoulder line.
Traffic queuesContain traffic queues completely within the advanced warning
signs of any closure. Containment may require modestly increasing the spacing
between signs or require the placing of additional signs. Some districts have
adopted a practice of providing motorists additional advanced warning by
displaying information a mile or more in advance of the closure using portable or
fixed changeable message signs. In metropolitan areas, this type of advance
warning may be feasible through the cooperation of the TMC.
Multiple closures and inter-project coordinationAvoid multiple closures with
overlapping sign patterns. Connect closures by extending the tangents.
Length of closureAvoid long closures with no evidence of activity. Consider
placing supplemental tapers within an existing closure. When the work has safely

progressed beyond the supplemental taper, remove the upstream taper and tangent.
Ensure advanced warning signs for the new taper are located correctly.
If long closures are unavoidable, protect the active work area by placing barricades or
drums across the closed lanes, upstream of the work area. Also, when possible, use
barrier vehicles or an IAV between the approaching motorist and workers on foot.
4-1203P (2) Placement Sequence and the Start of Work
Ensure the contractor completely installs the traffic control system before commencing
work. The following are some installation instructions for the contractor depending on
the situation in which the system will be used:
Systems affecting traffic only in one directionStart with the first device that the
drivers will see as they enter the work zone (usually a C23 Road Work Ahead
sign). Additional devices are placed in sequence, moving in the direction of the
traffic flow. Move the workers and equipment onto the closed lanes only after all
system components are in place.
Systems affecting traffic in both directionsInstall the first sign drivers will see
traveling in the opposing direction. Then install in sequence all remaining signs
and devices in the opposing direction of travel. Next install the first sign drivers
will see in approaching the work area from the affected direction. Place all
remaining signs and devices in sequence through the work area. If flaggers are to
be used, have flaggers take their stations; then move workers and equipment onto
the road.
Removal of the traffic control systemRemove all workers and equipment from
the roadway. Then remove the devices and signs in the reverse order of placement.
Restore all signs and signals to normal operation.
4-1203P (3) Drive-Through Inspection
Immediately after installation, make a drive-through inspection of the system. During
the inspection, drive the system as though you had no knowledge of the work zone.
Ensure the intended vehicle path is clearly visible. Remember that the motorist has no
knowledge of the traffic control plan and is entirely dependent on the system for
warning and guidance. Document this inspection in the daily report; indicate weather
and traffic conditions and time of inspection.
4-1203P (4) Maintenance
Ensure a contractors employee is assigned to maintain all night closures and any
daytime closures over 1 mile in length. Maintaining such closures is a full-time
assignment, and the assigned worker should have no other duty. Ideally, the assistant
resident engineer should be able to communicate directly with the contractors
maintenance person by radio or cellular phone. The maintenance person should have
spare cones, signs, and barricades available to replace or restore, system elements
displaced or destroyed by traffic.
4-1203P (5) Reverse Operations Inside Closures
Workers may operate vehicles opposite the flow of traffic inside a closed lane.
However, the workers should do so in a way that does not confuse approaching drivers
or upset approaching traffic. The following practices are recommended if opposing
operations are undertaken:

During daylight operations, the vehicles facing oncoming traffic should have their
headlights and their flashing amber lights turned on at all times.
During night operations, the vehicles should have their headlights turned off and
their hazard lights and flashing amber lights turned on.
At no time should a U-turn be permitted in traffic, and no vehicle should face
towards traffic except when completely within a closed lane.
4-1204 4-1204 Measurement and Payment
Measurement and The following are directions for measuring and paying for various traffic control
Payment devices for construction areas:
4-1204A Flagging
Section 12-1.03 [12-2.02], Flagging Costs, of the Standard Specifications requires
that the cost of providing flaggers be divided equally between Caltrans and the
contractor. Determine the total cost using the force account method. The contractor is
to be paid one-half of the computed total amount.
The division of costs applies to all flagging required to perform the planned work
except in special situations cited in the special provisions. Caltrans share of flagging
costs is to be paid only when public traffic is involved.
The cost of providing flaggers includes the cost of transporting personnel between a
central point and the location of the work, or from one location to another as necessary.
The cost for flaggers also includes the costs of any stands or towers required for the
flaggers to do their jobs properly. The cost does not include the costs of placing,
maintaining, and removing construction area signs during flagging operations.
The flagging costs incurred in connection with increased or decreased work paid for at
contract prices will be subject to the 50-50 split. It is assumed that the contractors
share of such costs is included in the contract item price.
When work is added and paid for as extra work, the contractor should be compensated
100 percent for flagging costs associated with the extra work.
If changes are made at the request of, and for the benefit of the contractor, the
contractor must pay for the additional flagging costs unless there are also particular
benefits to the state that would warrant a sharing of the costs.
Include 50 percent of flagging costs in costs calculated according to Section 4-1.05
[4-1.03C] Changes and Extra Work, of the Standard Specifications. Also, include the
contractors 50 percent share of flagging costs in cost calculations for computing
adjustments for increased or decreased item quantities.
4-1204B Barricades
Initial placement of each barricade (as shown on the plans or as directed by the resident
engineer) is paid for as a contract item at the time of placement. Subsequent relocations
of each barricade are paid for as extra work using the force account method. Damaged
barricades must be repaired at the contractors expense, regardless of the cause,
including damage by public traffic.
Flashing arrow signs are paid for as part of the contract item for the traffic control
system.

Portable delineators are paid for as part of the contract item for the traffic control
system.
Portable flashing beacons are measured and paid for at contract item price by the unit
except when they are part of a traffic control system. In that case, portable flashing
beacons are paid for as part of the contract item for the traffic control system.
Construction area signs, except those used in traffic control systems for lane closures,
are paid for as a lump sum item. The cost of the contractors inventory of replacement
sign materials is included in the contract price for construction area signs. Additional
signs ordered by the resident engineer are paid for as extra work.
The cost of covering, uncovering, and removing signs (when they are no longer
needed) is included in the contract price for construction area signs.
When determining how much to include on a progress pay estimate, withhold some
payment sufficient to cover the cost of maintaining and removing the signs.
Channelizers are paid for by the unit. The contract item price includes the costs of
maintaining, replacing, and repairing channelizers. The contract item price also
includes the costs of work necessary to restore channelizers damaged by public traffic.
Review the Public Safety section in the contract. Do not use the contract item for
Type K temporary railing to pay for temporary railing that is placed to fulfill the
requirements of the Public Safety section.
Withhold some payment from progress pay estimates to cover the cost of removing
Type K temporary railing
Traffic cones are paid for as part of the contract item for the traffic control system.
4-1204J Portable Changeable Message Signs
A PCMS, commonly bid as Furnish-Each or Furnish-Lump Sum, requires the
contractor to place, operate, maintain, and remove the sign as directed by the resident
engineer.
The resident engineer, with a minimum notice of 1 full working day, may direct the
contractor to provide PCMSs for use not otherwise provided for in the contract.
Payment due the contractor is to be computed as extra work.
4-1204K Temporary Crash Cushion Modules
Review the Public Safety section in the contract. Do not use the contract item for
temporary crash cushion modules to pay for temporary crash cushion modules that are
placed to fulfill the requirements of the Public Safety section.
Withhold some payment from progress pay estimates to cover the cost of removing
temporary crash cushion modules.

4-1204L Temporary Traffic Screen
Temporary traffic screen is measured and paid for according to the special provisions.
4-1204M Temporary Signal System
The lump sum payment for this item includes all the costs of hauling Department-
furnished materials between the designated pickup locations, the project, and the
designated salvage location. If the pickup or salvage location is changed, then any
additional costs or savings to Caltrans should be recognized.
Flaggers are not a shared cost if the contractor provides them as a result of a shutdown
of the signals for any reason. This provision is an exception to the general practice of
sharing the cost of flaggers.
4-1204N Traffic Plastic Drums
Count the traffic plastic drums for payment as they are placed in the locations shown
on the plans. Drums used instead of cones, barricades, or delineators as part of a traffic
control system or used as specified under Public Safety section in the contract are not
to be paid for at contract item price.
4-1204O Traffic Control System
For all project work, the lump sum payment for the traffic control system includes
payment for all labor, equipment, and materials to install, maintain, and remove the
traffic control system as shown on the plans or Standard Plans. The contract item for
the traffic control system includes payment for portable signs, cones, delineators, and
flashing arrow signs as shown on the plans for the traffic control system.
Include compensation or credit in the change order when an ordered change in the
work affects the contract item for the traffic control system.
Traffic control costs in support of extra work are to be paid as part of the extra work.
Compute the payment as a force account or as an adjustment of compensation based on
a force account analysis. The change order that authorizes the extra work must reflect
these costs.
In addition to adjustments for ordered changes, the resident engineer may consider
adjustments to the contract item for the traffic control system when the following
circumstances exist and result in additional lane closures:
A material change exists over or under the engineers estimated quantity that is not
caused by an ordered change for a contract item or items.
Insufficient information exists in the contract for the contractor to verify the
engineers estimated quantity for the contract item or items. The contractor relied
on the engineers estimated quantity or quantities to determine the number of lane
closures required.
The additional lane closures are solely for work on the contract item or items
meeting the criteria for the above.
Calculate adjustments for the circumstances listed above on a force account basis.

Section 15 Existing Facilities

4-1501 General
4-1503A Obliterating Roads and Detours
4-1503B Removing Traffic Stripes, Pavement Markings, and Pavement Markers
4-1503C Removing Latent Traffic Stripes and Pavement Markings
4-1503D Salvaging Materials
4-1503E Removing Concrete
4-1503F Removing Bridges
4-1503G Handling Mailboxes

Existing Facilities 4-15.i
Section 15
Section 15 Existing Facilities Existing
Facilities
4-1501 General 4-1501
The information in this section corresponds to Section 15, Existing Facilities of the General
Standard Specifications. The following sections of the Standard Specifications have
related information:
Section 5-1.36 [7-1.11], Property and Facility Preservation
Section 7-1.05 [7-1.12], Indemnification
Section 7-1.06 [7-1.12], Insurance
Section 5-1.36D [8-1.10], Nonhighway Facilities
The work described in this section includes removing, salvaging, reconstructing,
abandoning, destroying, modifying, resetting, relocating, and relaying existing
facilities. The work may overlap with the area that must be cleared and grubbed, as
specified in Section 16, Clearing and Grubbing, of the Standard Specifications.
The contractor is required to protect all existing facilities, whether described in the
contract or not, that are to remain in place, either temporarily or permanently. When
existing facilities are damaged as a result of the contractors operations, the contractor
is responsible for repair or replacement. Caltrans is responsible for repair or
replacement of existing facilities that are damaged by public traffic.
Check for cooperative agreements where existing facilities transition onto local agency
right-of-way. A local agency may maintain the existing facilities.
Before work begins, do the following: Before Work
Begins
Inspect existing facilities that are to be relaid, reset, relocated, or reconstructed. If
their condition has deteriorated sufficiently to prevent the planned use, write a
change order to provide for new materials.
When facilities to be removed belong to a city, county, or other agency, check with
the applicable agency before disturbing the facility.
The district maintenance unit maintains existing signals and lights. Keep the
maintenance region manager informed of specific needs or changes.
Document existing conditions with photographs or video.
During the work, take the steps below for obliterating roads and detours; removing During the Course
traffic stripes, pavement markings, and pavement markers; salvaging materials; of Work
removing concrete and bridges; and handling mailboxes.

Existing Facilities 4-15.1
4-1503A Obliterating Roads and Detours
The objective of the Standard Specifications requirements for obliterating roads and
detours is to ensure a well-drained, presentable area. You may allow the contractor the
option of removing oversize material in lieu of breaking it into the required size,
provided the objective is met and no other complications are involved. Update the
water pollution control plan to reflect the new conditions.
4-1503B Removing Traffic Stripes, Pavement Markings, and Pavement Markers
Do the following for removal of traffic stripes and pavement markings:
Yellow striping generally contains lead, so ensure special handling for removal
and disposal. Usually, if this striping was identified in the contract, the special
provisions will cover removal and disposal. However, if yellow striping needs to
be removed and the special provisions do not identify special handling, contact the
district hazardous waste coordinator to determine if the striping needs to be tested.
Observe areas where traffic stripes or pavement markings have been removed. If
conditions are such that, after contractual requirements for removal have been met,
the resulting areas present a traffic hazard, order additional work to eliminate the
hazard. Make your observations in the same conditions that public traffic will
experience, such as driving during the night, on wet pavement, or in low sun
angles.
Do the following for removal of pavement markers:
Observe the removal procedure for pavement markers. As early as possible, advise
the contractor of the required type of repair to damaged pavement or surfacing.
Note the provisions for protecting public traffic from fragments. Require the
contractor to remove all removed markers and fragments from the right-of-way as
specified in Section 15-2.02D [15-2.03], Remove Pavement Markers, of the
4-1503C Removing Latent Traffic Stripes and Pavement Markings
Section 15-2.02C [15-202B], Remove Traffic Stripes and Pavement Markings, of the
Standard Specifications requires that the contractor removes observable existing traffic
stripes and pavement markings by any method that does not materially damage the
existing pavement. The contractor must repair, at no cost, any damage to the pavement
and surfacing that results from removing traffic stripes and pavement markings
according to Section 5-1.36, Property and Facility Preservation, of the Standard
Specifications.
In the past, removal of existing traffic stripes and pavement markings was not always
required on projects before placement of new pavement surfacing. Thus, on some
stretches of highway, old traffic stripes and pavement markings exist under the top
layers of pavement. On pavement rehabilitation projects, situations arise where
underlying latent stripes and markings become exposed as the contractor removes
layers of pavement by grinding or during cold planing of the existing surface.
If pavement grinding exposes latent traffic stripes or pavement markings beneath the
removed existing surfacing, consider those latent traffic stripes or pavement markings
a differing site condition. Provisions of Section 4-1.06 [5-1.116], Differing Site
Conditions (23 CFR 635.109), of the Standard Specifications apply when latent traffic
stripe and pavement markings are encountered at the project site.

4-15.2 Existing Facilities
When the contractor encounters the latent traffic stripes or pavement markings,
Caltrans will pay for all workincluding the removal of the latent stripes and
markings, and repair of the pavement damaged by their removalas extra work, in
accordance with Section 4-1.05 [4-103D], Changes and Extra Work, of the Standard
Specifications.
If the removal of latent traffic stripes and pavement markings causes depressions in the
existing pavement and the pavement will not receive an overlay as part of the project,
repair the depressions and compensate the contractor in accordance with Section 4-1.05
[4-103D], Changes and Extra Work, of the Standard Specifications.
If the removal of latent traffic stripes and pavement markings causes depressions in the
existing pavement and the pavement will be receiving an overlay, the damage from the
removal may be repaired by placing the overlay. When the depressions are greater than
0.05 foot, fill them before the overlay, and compensate the contractor in accordance
with Section 4-1.05 [4-103D], Changes and Extra Work, of the Standard
Specifications. When the depressions are filled with overlay material during its
placement, pay the additional material used at contract unit price for the overlay
material.
Resident engineers must write a change order when the contractor encounters latent
traffic stripes or pavement markings in the field. The change order should refer to
Section 4-1.06 [5-1.116], Differing Site Conditions (23 CFR 635.109), of the
Standard Specifications and detail the contractors compensation both for removing the
latent traffic stripes and pavement markings and for repairing damage to the existing
pavement.
4-1503D Salvaging Materials
During salvage operations, the contractor is responsible for any loss or damage. Keep
accurate records of inventory to ensure that all materials to be salvaged are delivered in
suitable condition to the specified location. For additional guidelines for handling
materials to be salvaged, refer to Section 3-4, Scope of Work, of this manual.
4-1503E Removing Concrete
Observe concrete removal to ensure the work complies with contract requirements. Pay
particular attention to items that can be observed only during the work. These items
Removal to the specified minimum depth below finished grade. Record your
observations in the daily report and note that the minimum depth requirements
have been met.
Disposal into adjacent embankments. Refer to Section 19-6, Embankment
Construction, of the Standard Specifications. Note that both lateral and vertical
limitations are met. Include disposal locations on the as-built plans.
Breakage of floors of concrete basements, pits, and structures to prevent
entrapment of water. Note the inspections in the daily report.
4-1503F Removing Bridges
Do the following for removing bridges:
The contractor must submit bridge removal work plans. The Office of Structure
Constructions (OSCs) representative on the project has complete responsibility

and authority for reviewing and authorizing bridge removal work plans and
administering bridge removal specifications. On projects that do not have a
representative from the OSC, consult with the structure representative assigned to
the area. Further information on bridge removal oversight is contained in the
OSCs Bridge Construction Records and Procedures manual.
When bridge removal occurs over or adjacent to public traffic or railroad property,
carefully review the contractors submittal of removal details and refer to the
requirements of Section 15-4, Bridge Removal, of the Standard Specifications.
Also refer to the contract special provisions. Details about handling traffic around
or through the area should be included.
Ensure the contractor will have sufficient resources on hand and has planned in
sufficient detail to ensure the work will be completed within specified time limits.
Review shielding plans to ensure the contractor meets specified requirements and
that shielding serves its intended purpose.
Ensure the contractor conducts all bridge removal in a manner that protects
pavement and other facilities from damage. Make sure the contractor has
addressed this requirement in planning the operation.
4-1503G Handling Mailboxes
Before starting construction activities, document the existing conditions of mailboxes.
Wherever possible, mailboxes should be set in their final location. However, it is often
necessary to move mailboxes a number of times during construction. Any movement
of mailboxes purely for the convenience of the contractor is the contractors
responsibility. Ensure the contractor maintains proper position and access to mailboxes.
Following are the procedures for mailboxes encountered on construction projects:
If the mailbox is outside of the limits of the new work, it may be allowed to
remain.
If it is within the limits of the new work and does not have to be moved either
laterally or vertically to conform to the ultimate section, it may be allowed to
remain.
If under either of the above conditions the contractor desires to remove the
mailbox to facilitate equipment operation, the contractor must replace the mailbox
at the contractors expense. The contractor must also arrange for the receipt of mail
in the interim.
If a change in grade or relocation of a roadway edge results in the need to raise,
lower, or laterally move the mailbox, the work done to the mailbox will be made at
Caltrans expense.
If the mailbox must be removed entirely, it must be turned over to the property
owner.
Where five or more mailboxes are concentrated at a single point, a stand on which
the property owners may place their mailboxes may be built at Caltrans expense.
This stand will prevent the unsightly appearance resulting from a group of posts of
various sizes, heights, and characters. The approach to the stand should be surfaced
sufficiently to make the stand accessible under all weather conditions.

4-15.4 Existing Facilities
The resident engineer must be familiar with the measurement and payment clauses for Measurement and
existing facilities that are to be removed. Determine whether the necessary Payment
measurements must be taken before or during removal.


Section 16
Section 16 Clearing and Grubbing Clearing and
Grubbing
4-1601 General 4-1601
This section covers clearing and grubbing. Clearing and grubbing is usually one of the General
first work items and is generally paid as a lump sum item or by the acre. During
clearing and grubbing, pay special attention to the preservation of property and
environmentally sensitive areas.
During this preliminary inspection, take the following steps: Before Work
Review the plans, special provisions, and right-of-way agreements for details that Begins
may require special staking or issuing change orders.
Ensure the approval of the water pollution control plan. Review the plan to ensure
clearing and grubbing conforms to the plan.
Ensure the clear marking of features and facilities that are to be preserved. Review
and verify the contractors submitted list of existing irrigation system deficiencies.
Discuss with the contractor such items as the marking of any special locations,
including environmentally sensitive areas and any additional areas to be cleared.
Call the contractors attention to any environmental commitments Caltrans made
or any regulations or permits other agencies require, or both.
Before disposing of material outside of the highway right-of-way, review any
planned disposal sites. Refer to Section 5-1.20B(4) [7-1.13], Contractor-Property
Owner Agreement, of the Standard Specifications to determine the contractors
necessary actions.
If a planned disposal site is not available for state use, discuss the Caltrans policy
in Section 7-103L, Disposal, Staging, and Borrow Sites, of this manual with the
contractor. To ensure mutual understanding and agreement, hold a joint meeting
including the contractor, environmental-construction liaison, and appropriate
regulatory agencies. The contractor must obtain and submit permits, environmental
studies, and documentation, among other items required by agencies having
jurisdiction over the site. If the contractor satisfies all submittal requirements for
the disposal site, provide written authorization for disposal outside the highway
right-of-way.
Before permitting the contractor to chip plant materials for disposal on the job site,
investigate to determine if plant disease or insect pests will be spread to disease-
free or insect-free areas. You can obtain technical advice on diseases and insects in
cultivated trees from the county agricultural extension offices. For advice about
natural forest trees, contact the California Department of Forestry or the U.S.
Forest Service. If the decontamination of chips is advisable and the contract does
not provide for pest control, ensure this work is done as an ordered change.

Clearing and Grubbing 4-16.1
4-1603 4-1603 During the Course of Work
During the During the work, take the following steps:
Course of Work
Ensure the contractors equipment has the required safety devices to protect
personnel. In forest areas, ensure the use of the required spark arresters on
equipment.
Ensure the contractors operation does not create a public hazard. If necessary,
require traffic control during timber falling.
Periodically observe the operation to ensure the prevention of damage to adjacent
property and environmentally sensitive areas and to ensure the preservation of
trees and facilities that are to remain. As set forth in permits and agreements, verify
the contractors adherence to environmental commitments and permits. For any
deviations and violations, document and require corrective action by the
contractor, and consult with the district environmental-construction liaison for
review and comment.
Determine the limits of clearing areas that do not require stump removal and check
the height of stumps above natural ground.
Determine if dead, dying, or otherwise unstable trees located in the right-of-way
(but outside the clearing limits) constitute a hazard. Any such trees should be
removed.
The contract may state that merchantable timber is the property of other agencies.
Check that any timber handling adheres to the agreement with these agencies.
When burial of debris within the right-of-way is permitted, ensure the debris will
not act as a permeable layer, does not block drainage, and will not interfere with
maintenance. Also, ensure no material is buried within the roadway prism unless
otherwise allowed in the special provisions.
Ensure that the burial of debris, both on and off the right-of-way, is not
aesthetically detrimental and does not create contamination problems. Keep
accurate records whenever any solid waste that might interfere with future work is
disposed of by burying it adjacent to the roadway. Show this information on the
as-built plans.
When burning is permitted, ensure the contractor has obtained a permit from the
air pollution control officer of the local or regional authority. Prohibit burning at
locations where the smoke will impede visibility for public traffic. Ensure the
contractor takes adequate precautions, such as constructing fire trails and posting
guards, to prevent the uncontrolled spreading of fires. When poison ivy, oak, or
sumac is present in areas where burning is otherwise permitted, ensure the burning
of such material complies with any local ordinances or safety regulations.
Ensure that tree branches extending over the roadway are cut off as required by
Section 16-1.03B, Clearing, of the Standard Specifications. During the removal
of additional branches, direct the contractor to give the trees a balanced
appearance.
A checklist showing locations where clearing is incomplete may be necessary in
the final stages of the operation. Complete payment should not be made until all
areas have a neat and finished appearance.

4-16.2 Clearing and Grubbing
If the work is not to be completed within one pay period, determine a pay system that Measurement and
provides for periodic payments that represent the true percentage of the work Payment
completed.

Clearing and Grubbing 4-16.3
Section 17 Watering Section 17

Watering
4-1701 General 4-1701
The contractor is responsible for developing a water supply, including any permits, and General
applying water.
Take these steps during preliminary inspection: Before Work
Begins
Determine the quality of the water to be used in products with specific water
quality requirements.
Determine if the contractor intends to use chemical additives in water, and ensure
that the additives are appropriate for their use.
If the contract requires a mobile watering unit, ensure that one is available on the
project at all times.
Ensure that all necessary watering equipment is the type specified.
Ensure that the contractor has acquired all applicable permits.
Take these steps during the course of work: During the Course
of Work
Determine whether the developed water supply is enough for the project not to
have extensive work delays and is adequate for dust control.
If the contractor uses a fire hydrant, ensure that arrangements have been made with
the local water utility company.
Once the water supply is developed and the entire projects needs are met, authorize Measurement and
progress payment for 100 percent of the item, subject to limiting pay clauses. When Payment
determining percentages for partial payments, consider work possibly required in
future stages. Payment for applying water is included in other items.

Watering 4-17.1
Section 18 Dust Palliative Section 18

Dust Palliative
4-1801 General 4-1801
The contractor is required to apply dust palliative under the direction of the resident General
engineer as provided in Section 18 of the Standard Specifications.
Determine whether a dust palliative should be applied in lieu of other methods of dust Before Work Begins
control. When making this decision, consider the effects on the environment, safety,
and convenience, as well as the obvious economic factors. Place an appropriate value
on these factors. For assistance, call the district construction stormwater coordinator or
the district environmental unit. The district lab can help with recommendations for an
acceptable type of control.
Advise the contractor of the rate of dilution for binders that are miscible in water. Make During the Course
sufficient observations or checks to verify that the contractor obtained the required of Work
binder and that it was diluted properly.
Advise the contractor of the desired rate, number, and limits of the application.
The proper rate and proportion must be found by experimenting with the soil involved.
Large-particled, clean materials require thicker films of binder to make them stick
together than do fine-grained particles. Dust palliative will not penetrate as effectively
when there is a large percentage of binder because binders are heavy, viscous liquids.
For example, when a well-compacted clay is being treated, it should be treated lightly
and more frequently with a small percentage of binder so that better penetration will
occur. When loose, uncompacted sand is being treated, it may be desirable to spray in
heavier amounts with a larger proportion of binder.
In general, the above instructions apply only when separate payment is to be made for Measurement and
dust palliative, either under a contract item or by change order. Only allow payment for Payment
dust palliative when public traffic causes dust.
The resident engineer must keep records in sufficient detail to support payment for dust
control while also excluding portions for which separate payment is not to be made.
Record any verbal agreements about payment in the daily report.

Dust Palliative 4-18.1
Section 19 Earthwork
4-1901 General
4-1902A Roadway Excavation
4-1902B Blasting
4-1902B (1) Safety Considerations
4-1902B (2) Routine Duties
4-1902C Structure Excavation and Backfill
4-1902D Ditch Excavation
4-1902E Embankment Construction
4-1902F Borrow Excavation
4-1902G Subgrade Enhancement Geosynthetic
4-1902H Shoulder Backing
4-1903A (1) Hauling Material
4-1903A (2) Unsuitable Material
4-1903A (3) Slides and Slipouts
4-1903A (4) Slopes
4-1903A (5) Surplus Material
4-1903A (6) Deficiency of Material
4-1903A (7) Selected Material
4-1903A (8) Excessive Groundwater
4-1903B Structure Excavation and Backfill
4-1903B (1) Structure Excavation
4-1903B (2) Structure Backfill
4-1903C Ditch Excavation
4-1903D Embankment Construction
4-1903E Compaction
4-1904D Borrow Excavation
4-1904E Subgrade Enhancement Geosynthetic
4-1904F Shoulder Backing

Earthwork 4-19.i
Section 19 Earthwork Section 19

Earthwork
4-1901 General 4-1901
Earthwork includes operations connected with roadway excavation, repair of slope General
failures, blasting, structure excavation, backfill, ditch excavation, compaction,
embankment construction, grading, borrow excavation, placement of subgrade
enhancement geosynthetic (SEG), and placement of shoulder backing. For earthwork
requirements, refer to Section 19, Earthwork, of the Standard Specifications. The
special provisions usually include additional earthwork requirements. Also refer to
Section 14-11.02C [Section 10], Dust Control, and Section 16, Clearing and
Grubbing, of the Standard Specifications.
Many potential problems are discovered during all phases of construction staking, so it
is essential that the resident engineer and assistant resident engineers maintain good
lines of communication with the survey party chief. For the same reason, assistant
resident engineers should also maintain good communication with the contractors
grade checkers and supervisory personnel.
Resident engineers and assistant resident engineers must do the following to prepare Before Work
for earthwork operations: Begins
Review the project plans, special provisions, right-of-way agreements,
environmental reports, and other data about earthwork. Advise the contractor of
any features that may require special handling. Take steps to ensure that
environmentally sensitive areas are protected.
Before any excavation, under California government code 4216, the contractor
must notify the regional Underground Service Alert (USA) notification center by
calling 811 or submitting an electronic ticket request at least 2 days before
excavating. To ensure that the contractor has notified the regional USA notification
center, request the contractor provide the ticket number issued by the USA center.
Caltrans is not affiliated with USA so Caltrans is not notified to mark out Caltrans
underground facilities. To ensure that existing Caltrans underground facilities are
identified before allowing the contractor to excavate, contact the local electrical
maintenance regional manager for help in locating Caltrans facilities. To help
identify any Caltrans facilities within the right-of-way, such as irrigation systems,
signal and lighting systems, ramp metering systems, traffic monitoring stations and
communication conduits, obtain the latest utility as-built from the electrical
maintenance unit.
Review materials information.

Earthwork 4-19.1
Make a preliminary check of earthwork quantities. Decide how quantities will be
measured for partial payments. See Measurement and Payment in this section.
Review the status of utility relocation work. Advise the contractor of any changes
that may affect the work. Refer to Section 3-518C, Non-Highway Facilities, of
this manual for more details on utilities.
Ensure the clear marking of features and facilities that are to be preserved. Review
and verify the contractors submitted list of existing irrigation system deficiencies.
When the contract requires trench excavation, obtain from the contractor a detailed
plan showing the design of shoring, bracing, sloping, or other provisions for
worker safety. Ensure either that a registered civil or structural engineer signs the
plan or that it conforms to the shoring system standards established by the
Construction Safety Orders (CSOs) of the Division of Occupational Safety and
Health (Cal/OSHA).
Plans submitted by the contractor of the shoring details for excavations on or
affecting railroad property must be satisfactory to the railroad company involved.
To meet this requirement, an engineer who is registered as a civil or structural
engineer in the State of California must sign the plans (whether or not such plans
deviate from Cal/OSHA standards). Submit the plans to the Office of Structure
Construction in the same manner as for falsework drawings. The Office of
Structure Construction will obtain the railroad companys approval and notify the
resident engineer. For additional details see the Office of Structure Constructions
Bridge Construction Records and Procedures manual, Volume II, and the
California Trenching and Shoring Manual. After review by the Office of Structure
Construction and approval by the railroad company, return one set of the plans to
the contractor with a written statement that, The plans are approved under Section
5-1.23B(2) [5-1.02], Shop Drawings, of the Standard Specifications.
Discuss with the contractor the schedule of earthwork operations, sources of
materials, equipment capacities, and any potential hauling problems involving
public traffic. Ensure that the contractors plan of operation complies with any
specified order of work, environmental agreements, and pollution control
requirements.
Ensure the contractors plan to control water pollution has been approved and
implemented before beginning work. Refer to Section 13, Water Pollution
Control, of the Standard Specifications.
4-1902B Blasting
4-1902B (1) Safety Considerations
All blasting work must be conducted in strict accordance with the CSOs or a properly
approved alternate safety plan. An alternate safety plan is required when a 45-foot clear
zone cannot be maintained around the loading area, such as a blasting area adjacent to
traffic. The CSOs contain the required elements of an alternate safety plan. These
elements include low-sensitivity explosive materials, initiation systems that cannot be
affected by stray current or radio frequency energy, a system to detect lightning and
electric storms, and barriers to prevent entry by vehicular traffic.
In addition to reviewing any blasting plan the contract requires, discuss the planned
blasting operation with the contractor. Address the following areas of concern before
blasting begins:

4-19.2 Earthwork
Blast area securityReview the procedures the contractor proposes to ensure they
are adequate to protect the public from unauthorized entry into the blast area
during the loading, arming, and detonating of the explosives. Often this review will
require the contractor to consider more than automobile traffic. Consideration
should include recreational activities such as boating, hiking, and biking or
production activities such as farming and ranching. These types of activities may
utilize unusual entry routes.
Electrical stormsNo explosive can be considered safe should lightening strike
directly or nearby. Always consider lightning when planning to use explosives.
During a review of the electrical storm section of the contractors safety plan,
include an evaluation of the plans objective and the procedures and equipment to
be used.
Radio transmissionsReview the contractors proposal for controlling or
eliminating the possibility of a premature detonation due to radio transmissions
(including transmissions from cellular telephones).
Warnings and signalsReview the warnings and signals to be used and, if an
unsafe condition should be observed, the method by which the blast can be
stopped.
1. The audible signals (as shown in the CSOs) are a widely used standard and
intended to inform workers in the area that blasting is in progress. These
signals are not intended to be meaningful to the public. The use of these
signals is the preferred method of communication within the work area.
2. Signs, guards, and flaggers should be used for public communications. In
many situations, the contractor may need a separate means of communication
and control for public traffic. If radio communications will be used for site
monitoring or traffic control, ensure the contractor adheres to the safe distance
tables in the CSOs. Adhering to safe distances becomes critical when rolling
roadblocks or traffic breaks are to be used.
Onsite authorityCal/OSHA regulations require that all blasting operations be
under the direct control of a licensed blaster. The contractor should identify this
person as the person who has final authority over the blasting and who will be
responsible for giving the all clear following a post-detonation inspection of the
blast area.
The relationship between the resident engineer and the licensed blaster is different
from the relationships normally encountered on most contracts. By law and
regulation, the licensed blaster is responsible for and is the final authority on the
conduct of blasting operations. The resident engineer may only intervene in the
case of a violation of the CSOs or public safety. When intervening, the resident
engineer may only suspend the operation until the hazards are abated or the
contractor (blaster) conforms to the safety orders.
MisfiresMisfires are very unusual occurrences, but when they occur, they pose
serious safety problems. These problems have the potential to escalate rapidly
when public traffic is involved. Ensure the adequacy of the contractors
contingency plan for misfires.

Earthwork 4-19.3
4-1902B (2) Routine Duties
Review the special provisions for additional requirements or restrictions related to
blasting. Sometimes presplitting of rock excavation is required, and considerable detail
covering this work is included in the contract. The special provisions may also include
other requirements such as ground motion limits and preblast surveys of nearby
buildings.
The resident engineer should also perform the following routine duties, among others:
Ensure the blaster understands the survey stakes sufficiently to avoid placing
explosives beyond slope tolerances.
Order the discontinuance of any method of blasting that leads to overshooting or
destruction of property or natural features.
Ensure that all legally required warning signs are in place.
4-1902C Structure Excavation and Backfill
To ensure the integrity of a structure, resident engineers and assistant resident engineers
must pay considerable attention to structure excavation and backfill. Various categories
of structure excavation and backfill and various methods of measurement and payment
exist. Often, the payment limits will not match the physical limits used in the
construction of a facility. Before beginning work, it is essential to study the contract
plans, Standard Plans, Standard Specifications, special provisions, and the work site.
Also, take the following steps:
Before excavation, review the plans and stakes to determine the following:
1. Whether the structure will clear other facilities.
2. Whether the structure will function as planned in this location or should be
adjusted.
3. Whether sufficient data is available for quantity calculations.
To install culverts in an embankment, ensure the embankment is at the elevation
specified.
Decide whether a camber is required in a culvert or other drainage structure. If so,
give the survey crew or the contractor, or both, the necessary data.
Before backfilling, inspect structures and ensure that any required strutting or
bracing, as shown on the plans, is in place.
Test backfill material for compliance with specifications and test compaction.
4-1902D Ditch Excavation
Before ditch excavation, review the plans and the site to determine if original ground
needs to be cross-sectioned. Most ditches will require slope stakes and, in even ground,
you can use slope stake information alone to calculate quantities. If cross sections are
necessary, the survey party can accomplish that work at the same time as slope staking.
4-1902E Embankment Construction
Carefully examine areas upon which embankments are to be constructed. Include a
review of the materials information and an onsite observation during clearing.

4-19.4 Earthwork
Review permits, environmental studies, and requirements to ensure that the contractor
meets all commitments, including any measures pertaining to providing necessary
access roads. Where work will affect areas beyond those approved for construction
purposes or involves an environmentally sensitive area, consult with the district or
regional environmental office.
Look for the following:
Lush vegetative growth in local areas, seepage, and springs indicating
groundwater.
Trees, brush, or fences leaning downhill, indicating slippage of the surface
material.
Rolling, hummocky terrain, twisted trees, or lack of vegetation in otherwise
timbered areas, indicating a large slide.
When foundation problems are known during the projects design, normally the
contract will cover treatment of such areas. However, when serious problems exist that
the contract does not cover, consult with the district materials engineer or the
geotechnical engineer, or both.
The following are some of the most common major foundation problems and the types
of solutions frequently recommended:
The weight of the embankment displaces or consolidates material in the foundation
causing settlement. This condition is corrected by the following:
1. If it is economically feasible, remove the plastic material.
2. Placing strut fills or buttress fills on either or both sides of the embankment to
act as a counterweight. The fills resist any upward movement of the
foundation material adjacent to the embankment.
3. Constructing the embankment at a controlled rate so that any anticipated
settlement will take place over time and allow hydrostatic pressures to
dissipate.
4. Constructing surcharges on the completed embankment to accelerate
settlement. Settlement platforms or piezometers, or both, monitor rates of
settlement. They may be installed and used under the direction of the district
materials unit.
Loss of stability may occur when the embankment forms a dam and impounds
water, causing saturation. This may result in sloughing of part or all of the fill. This
condition is corrected by the following:
1. To provide drainage, placing a filter material blanket over the area that is to
receive embankment. Stripping foundation material may be necessary.
2. Constructing ditches or underdrains at the upper side of the fill to intercept
water. This method is effective only if the underdrain or ditch intercepts and
removes all the seepage water.
The weight of a sidehill embankment causes movement on a slippage plane in the
underlying foundation. This type of embankment failure is characterized by the
mass movement of a large portion of the fill. This condition is corrected by the
following:

Earthwork 4-19.5
1. Constructing a stabilization trench through the slippage plane. Stabilization
trenches, located beneath the embankment, are constructed in wet areas to
intercept and remove water from deep, unstable embankment areas. These
trenches may be major installations involving large quantities of excavation,
filter material, and drainage pipe.
2. Installing horizontal drains to drain water from the slippage plane.
3. Changing a line or grade so that the roadway is in cut or on a smaller
embankment, thus reducing the load on the slippage plane.
The contractor may often need to use combinations of the above methods for the most
troublesome foundation problems.
Before the construction of embankments, also do the following:
When consolidation of the embankments foundation can be estimated and will be
appreciable, adjust the width to be staked. When applicable, remember to include
any such change in quantity calculations.
If the foundation material will be displaced and consolidated, undertake additional
measures. Place a line of telltale or heave stakes 9 to 24 feet outside of and
generally parallel to the toe of the fill slope. Set these stakes to line and elevation
by normal survey methods so that they will indicate both vertical and horizontal
movement of the ground. In addition, inclinometers or slope indicators and
settlement platforms may be used. For installing these devices, contact the district
materials unit. Ensure that adequate cover is placed to protect settlement platforms
from damage by the grading equipment. Schedule regular monitoring and
recording.
Review the contract for specific types of borrow the contractor will use. Also, in the
resident engineers pending file, review environmental and other requirements and
commitments. This includes compliance with the Surface Mining and Reclamation
Act, permits and right-of-way agreements, and other items that may affect borrow
excavation.
Review the contract for the specific type of SEG. The layout plans should show the
limits of SEG (width and length). The typical cross sections should clearly show the
location of SEG within the pavement or embankment section. If separation geotextile
is used with an SEG, the pavement cross section should show the location of separation
geotextile which is typically placed at the subgrade interface (below the SEG). To
determine SEG material compliance, refer to Section 88-1.02D, Material, of the
Standard Specifications. For further information on SEG, refer to Subgrade
Enhancement Geosynthetic Design and Construction Guide at:
http://www.dot.ca.gov/hq/maint/Pavement/Offices/Pavement_Engineering/Pavem
ent_Foundations.html
Review the limits, slopes, and other design details as shown on the contract plans.
Shoulder backing should not be used as embankment material to repair erosion or
subsidence in existing slopes, for side slope reconstruction, for backfill behind dikes, or

4-19.6 Earthwork
to construct the required minimum horizontal distance from edge of shoulder to hinge
point (hinge width) for guardrails, dikes, and barriers
Shoulder backing should not be used in for overlays greater than 0.50 ft. in thickness,
and in roadside ditches or gutters. Admixtures must not be used unless recommended
by the District Materials Engineer and if their use is permitted in the environmental
document and regulatory permits.
For further information on shoulder backing refer to Pavement Tech Notes: Shoulder
Backing at:
http://www.dot.ca.gov/hq/maint/Pavement/Standards_and_Guidance/PDF/Should
erBackingGuideline.pdf
Inspect the earthwork operations identified below during the work. During the Course
of Work
Consider the following areas when inspecting roadway excavation:
4-1903A (1) Hauling Material
For the requirements for hauling material, refer to various sections of the contract and
to Section 3-519B, Load Limits, of this manual. Section 7-1.04 [19-1.02], Public
Safety, of the Standard Specifications further covers the hauling of earth, specifically
with respect to spillage of material.
4-1903A (2) Unsuitable Material
Section 19-1.01B [19-2.02], Definitions, of the Standard Specifications defines
unsuitable material as . . . material encountered below the natural ground surface in
embankment areas or below the grading plane in excavation areas. . . For unsuitable
material, the resident engineers duties include the following:
Examine all basement material and all natural ground upon which embankments
are to be constructed. Advise the contractor of the areas and depths of material to
be removed.
Before removing unsuitable material that is not shown on the plans or
specifications, determine the method of payment for excavation and disposal:
1. If payment will be at contract prices, record adequate measurements for
calculating quantities.
2. If the contractor requests payment to be made as extra work, obtain the request
in writing. Prepare and process a change order, and keep the necessary records
relating to extra work.
Normally, unsuitable material may be placed in embankment or contour areas.
Examine areas where the contractor has removed unsuitable material, and before
backfilling, decide on any necessary drainage or other corrective action.
Advise the contractor of the type of material that will be suitable backfill. Observe
the operation to ensure it complies with specifications.
In addition to routine data, record in the daily report all pertinent discussion with
and orders to the contractor regarding unsuitable material.

Earthwork 4-19.7
4-1903A (3) Slides and Slipouts
Perform the following steps when handling slides and slipouts:
Examine slopes for areas of potential slides. Decide on any corrective action
necessary. Corrective action may include any of the measures suggested in the
paragraph below. For detailed analysis and recommendations for major problems,
consult with the district materials unit and geotechnical engineers.
Examine slides and slipouts to determine their probable cause. Decide on any
corrective work necessary. Corrective action for a slide may require totally or
partially removing the slide and flattening slopes or installing horizontal drains or
underdrains, or both. For small areas, consider constructing bulkheads or retaining
walls. For large areas, consider constructing benches to reduce traffic hazards from
falling material. When benches are constructed, provide access roads for future
maintenance.
Corrective action for a slipout may require totally or partially removing and
reconstructing the embankment with more suitable material. Also, consider
constructing fill struts, stabilizing trenches, and installing subsurface drainage
facilities.
When correcting slides and slipouts requires work in areas not already available for
state use on the project, any or all of the following actions may be necessary before
the work may proceed: 1) obtain new or revised permits; 2) conduct new
environmental studies; and 3) meet new environmental compliance requirements.
Review all previously identified haul roads and flattened slopes to determine if
they involve impacts not disclosed by existing environmental documentation. If
the needed area extends beyond that approved for construction or may affect an
environmentally sensitive area, consult with the district or regional environmental
office.
Before removal or corrective operations, determine the method of payment:
1. If the contractor requests the removal of slides and slipouts to be paid for as
extra work, obtain this request in writing. When the resident engineer decides
this removal should be paid as extra work, state this decision in the change
order memorandum. Then prepare and process a change order when an
ordered change or extra work is involved.
2. When payment is by item price for roadway excavation, measure the
additional quantities and enter them on appropriate source documents that
clearly identify the limits of the slides or slipouts.
Any applicable method or combination of methods of compensation may be used
to pay for removing slides or slipouts. See Section 5-306C, Methods of
Payment, of this manual for compensation methods.
Decide where the contractor should deposit the material resulting from slides and
slipouts. When practicable, use all the material for embankments or for flattening
slopes or contour grading.
Take before-and-after photographs of the slide area.
4-1903A (4) Slopes
The engineer responsible for earthwork must review the slope stakes and ensure
missing stakes are replaced in accordance with Section 5-1.26 [5-1.07], Construction

4-19.8 Earthwork
Surveys, of the Standard Specifications. Also, see Section 3-5, Control of Work, of
this manual and Chapter 12, Construction Surveys, in the Surveys Manual for more
information on staking. In addition, the resident engineer must perform the following
steps:
Make sufficient measurements to verify the proper start of slopes.
Make sufficient spot-checks to verify the correct slope tolerances.
Check the slope rounding for compliance with the contract. While the top of the
slope is still reachable with equipment, decide whether the contractor should do
additional slope rounding or contour grading.
Ensure that the construction of any special items for erosion control complies with
the contract. This review must include items on the contractors approved plan for
controlling water pollution.
Ensure all top-of-slope or toe-of-slope ditches will drain.
Ensure that embankment widening complies with the contract plans for installing
guard railing.
Examine slopes for material that blasting has shattered or loosened. Order the
removal of this material.
4-1903A (5) Surplus Material
The resident engineers responsibility for surplus material and related actions will vary
considerably depending on the terms of a particular contract. Generally, for those
contracts that include payment for embankment construction within the payment for
roadway excavation, determine as early as possible whether there will be a surplus (or
deficiency) of material. For contracts that provide separate payment for embankment,
ensure only that the contractor satisfies the conditions in Section 5-1.20B(4) [7-1.13],
ContractorProperty Owner Agreement, of the Standard Specifications.
The following are some of the factors to analyze when determining whether there will
be an unplanned surplus (or deficiency) of roadway excavation:
Determine as adequate or not the amount of embankment estimated for subsidence
of original ground, considering possibly different field conditions than those the
design engineer anticipated.
Variations of slopes, even within specified tolerances, can significantly affect
quantities.
Be alert to differences between pay quantities and the actual amount of roadway
excavation as a result of curve correction. On some projects, this difference can
significantly affect a surplus (or deficiency) of material.
Decide whether the planned grading factors (shrinkage or swell) need to be
adjusted based on actual conditions. The factors may be adjusted in any way the
resident engineer judges to be appropriate. Appropriate judgments are based on the
following:
1. Previous experience.
2. Measurement of definable portions of excavation and resulting embankment.
3. In-place densities in excavation compared to in-place densities in
embankment.

Earthwork 4-19.9
In estimating the actual grading factor, also consider consulting with geotechnical
engineers in the district materials unit who have local experience.
When the amount of any unplanned surplus is known, make plans for its ultimate
disposal. Normally, do not order or permit any disposal before embankments are
complete, and do not relieve the contractor of the obligation to complete all
embankments before disposal.
The actions necessary for unplanned surplus will vary, depending on whether the
project already has a planned surplus with available disposal areas, or whether the
project was planned as a balanced project with no readily available or economically
feasible disposal sites. Consider factors such as the location of the surplus within the
project and whether the surplus can be disposed of within the right-of-way.
The contractor may place surplus material within or alongside an embankment,
between an embankment and a right-of-way line, or in the loops and gores of
interchange areas. Remember that such placement is subject to the requirements for
constructing embankments. Also, ensure material is not disposed of above the grade of
the adjacent roadbed unless the resident engineer specifically issues a written
authorization. Select disposal sites that will not interfere with drainage, will benefit
future development, and will improve appearance or stability.
When unplanned surplus material can be disposed of within the project, decide whether
it will be economically more feasible either to order changes in earthwork immediately
or to perform the disposal after all embankments have been completed.
When unplanned material will be removed from the project, immediately begin
arrangements for disposal unless planned disposal sites will accommodate the excess.
Such arrangements must include a review of environmental agreements to ensure
compliance.
Before submitting ordered changes to the contractor, consult with the construction
engineer on the proposed disposal of unplanned surplus. Consider disposing the surplus
on excess parcels if such disposal will improve the parcels value.
When appropriate, enter the cost or anticipated cost of disposal in the contract records
to produce an accurate contingency balance.
4-1903A (6) Deficiency of Material
When the engineers analysis of quantities indicates an unplanned deficiency of
embankment material, determine whether to make up the shortage by obtaining local
borrow, increasing excavation, or by obtaining imported borrow. Make this
determination whether or not the contract includes an item of imported borrow. Also,
consider factors such as economic feasibility, safety, environmental requirements, and
material quality.
Obtaining material from outside the projects limits may require the processing of a
public interest determination. Refer to Section 3-6, Control of Materials, of this
manual for more information about this requirement.
Notify the project manager of any major deficiencies (or surpluses) so that adjustments
can be made for future projects.
Keep adequate measurements and records to support payment.

4-19.10 Earthwork
4-1903A (7) Selected Material
The contractor cannot use selected material for any purpose other than that designated
unless the resident engineer first determines ample material remains for the planned
work.
If it is feasible and economically advantageous to the state, initiate a change order to
substitute the selected material for planned aggregate subbase.
Do not order the contractor to stockpile the selected material unless stockpiling is
planned, economical, or necessary for the movement of traffic.
4-1903A (8) Excessive Groundwater
When excessive ground water is encountered at subgrade, the resident engineers
duties include the following:
Contact the district hydraulics engineer, geotechnical engineer, or both, to discuss
the materials information and the areas known groundwater depths. Also, discuss
with these experts any viable alternatives for stabilizing the area.
Advise the contractor of the situation, and work with the contractor to determine
the payment method for implementing the desired alternative.
Prepare and issue a change order, if necessary.
Consider the following when inspecting for both structure excavation and backfill:
4-1903B (1) Structure Excavation
The resident engineers duties include the following during structure excavation:
Observe the excavation to ensure that sloping or shoring conforms to the
contractors approved detailed plan or to the sloping or shoring requirements in the
CSOs.
To anticipate changes resulting from the foundations condition, periodically
inspect the excavation. When the foundations condition is not stable and requires
further investigation, contact the district geotechnical engineer to discuss the
materials information and a viable foundation investigation. In consultation with
the geotechnical engineer, direct the contractor to conduct a foundation
investigation, including digging test pits, making test borings, and conducting
foundation bearing tests. This additional work will be paid as extra work.
Before fine grading begins, order any necessary additional excavation.
Enter in the daily report any orders to increase excavation, and enter sufficient data
in the appropriate records to support additional payment.
Pay for additional quantity by measuring such quantity and including it in the
appropriate contract records when no extra work is involved.
Observe fine grading to ensure compliance with requirements for grade and culvert
beddings.

Earthwork 4-19.11
4-1903B (2) Structure Backfill
The resident engineers duties include the following during structure backfill:
Inspect the backfill to ensure it is brought up uniformly and in the specified layer
thickness.
When slurry cement backfill is used, ensure that it is adequately fluid and is placed
so that it completely fills the area around the culvert. One of the advantages of
slurry cement backfill is that it provides adequate support on the underside of pipes
where compaction of ordinary backfill material is difficult. The contractor must
avoid floating the culvert.
If backfilling steel culverts, reinforced concrete, or other metal products, ensure the
contractor adds only nonchloride admixtures to slurry cement backfill to accelerate
the setting time. Chloride-containing admixtures, used to hasten curing, increase
the corrosion potential of the steel or reinforced concrete structure. In addition,
slurry cement backfill or controlled low-strength material cannot be used as
structure backfill for aluminum or aluminized steel pipe culverts.
Ensure that all conditions described in the specifications are met before permitting
ponding and jetting. Ponding means flooding the backfill material for a
period of time (by erecting dams or dikes) so that water will pond on the material.
Jetting means forcing water into the layer of backfill material through a small
diameter pipe. Ponding alone is not permissible because it does not give uniform
or adequate consolidation. Pressure jets must be inserted at the bottom of the
backfill material at close, uniform intervals.
Prohibit the use of any compacting equipment or methods that may displace or
damage structures or otherwise adversely affect foundations or adjacent
embankments.
Order compaction tests (except for slurry cement backfill) to ensure compliance
with the contract. Also, determine the frequency of such testing, ensuring sufficient
frequency to determine compliance with requirements. Determine frequency based
on variables such as the nature of the material and the efficiency of the contractors
methods. At the beginning of backfilling, take sufficient tests to establish the
amount of effort required to attain the required compaction.
Ensure the contractor places compacted impervious material where erosion of
backfill material or seepage through backfill material may occur. This approach is
particularly important at culvert inlets.
Ensure the contractor places pervious backfill material as specified.
When imported material is used as structure backfill for metal products such as
steel pipe, culverts, or reinforced concrete, the imported backfill must be at least as
noncorrosive as the native soil material. Consequently, the special provisions
should specify corrosive parameters for the imported fill that are less corrosive
than that of the native soil. This requirement applies to imported soil, lightweight
aggregate fill, and controlled low-strength material. Contact the Office of Materials
Engineering and Testing Services for assistance with corrosion recommendations.
Ensure ditches are excavated to the required lines and grades. Require any areas
excavated below grade to be backfilled according to the specifications. When ditches

4-19.12 Earthwork
are to be lined with concrete or shotcrete, require the contractor to prepare the
foundation in accordance with Section 53, Shotcrete, or Section 72, Slope
Protection, of the Standard Specifications.
4-1903D Embankment Construction
The resident engineers duties include the following during embankment construction:
As material is placed, ensure the thicknesses of the layers meet specifications.
Also, ensure the contractor fills voids between rocks in each layer with earth or
other fine material. Record such observations in the daily report.
Ensure the contractor does not place rocks, broken concrete, or other solid
materials larger than 4 inches in areas where piles are to be placed or driven.
During hillside construction or where the section changes from embankment to
excavation, ensure that benching into existing material is adequate for proper
keying of embankment material to original ground. Decide whether benching
should exceed 6 feet. If widening eliminates the need for end dumping from above,
increase the benching width to provide room for compacting equipment. Advise
the contractor accordingly, and measure the additional excavation for payment.
Observe end dumping, and prohibit its continued use as soon as normal
embankment methods can be used.
Ensure the contractor removes from embankment areas all debris from clearing,
unless the special provisions allow otherwise. In heavy grading operations, small
gullies and canyons may be filled with loose material during pioneering and haul
road construction. During this phase, close observation is necessary so that such
areas can be recorded for future correction.
During embankment construction, measure the cross-fall to ensure it does not
exceed specifications.
Ensure embankment slopes comply with specified tolerances.
Ensure surcharges and settlement periods comply with contract requirements.
4-1903E Compaction
Compaction directly affects the supporting strength of soil. The less the compaction,
the lower the supporting power when the material is saturated. The contractor must
choose the method for achieving the required compaction, and the engineer must not
direct the compaction operation.
The contractor may choose to use wetting agents, provided no detrimental effects
result.
The resident engineers and assistant resident engineers duties include the following
during compaction:
Measure the compaction to ensure compaction meets specifications. Test at the
frequency necessary for control. Take into account the uniformity of the material
and the uniformity of the particular operation. Generally, if the operation is
uniform and well within specifications, testing frequencies may be decreased. For
non-uniform operations, borderline results, or both, increase testing frequencies.
Observe compaction testing to ensure it complies with contract requirements.
Advise testing personnel of the specific limits of the testing area.

Earthwork 4-19.13
If the contractor chooses to excavate basement material to facilitate compaction,
examine the underlying material before the area is backfilled. Decide whether the
layer of material below the excavated basement material should be compacted. In
general, if sufficient loose material exists to allow settlement of subsequent layers,
order compaction of the underlying material by change order.
To attain the required compaction, ensure that the contractor sufficiently dries material
that contains excessive moisture. Also, ensure that the resulting embankment is firm
and stable.
During borrow excavation, the resident engineers duties include the following:
If necessary, make measurements and also keep adequate records for progress and
final payment.
When material is to be paid for by the ton, ensure there are sufficient moisture
samples to determine pay quantities.
Ensure the contractor submits the necessary documents covering possible local
material sources. For details, see Section 3-6, Control of Materials, of this
manual.
SEG material can be damaged easily if mishandled during construction. During
placement of SEG, the resident engineer should ensure that the product has been
installed correctly by adhering to the following installation requirements:
SEG shall be placed directly on a cleared surface along the alignment to the limits
shown on the plans. The surface to receive the geogrid or geotextile, immediately
prior to placing, shall conform to the elevation tolerance and cross slopes as
specified in the plans.
The subgrade to receive the SEG must conform to the compaction and elevation
tolerance specified in Section 25-1.03, Subgrade, of the Standard Specifications
and these special provisions and shall be free of loose or extraneous material and
sharp objects that may damage the SEG during installation.
SEG must be handled and placed in accordance with the manufacturer's
recommendations and must be positioned longitudinally along the alignment and
pulled taut to form a wrinkle-free mat on the prepared surface.
Adjacent borders of adjacent rolls of the geogrid or geotextile must be overlapped
a minimum of 2 feet in the direction as ordered by the resident engineer. All roll
ends must be overlapped a minimum of 2 feet in the direction of the spreading of
the aggregate subbase material. As determined by the resident engineer, an overlap
larger than 2 feet may be required for lower-strength subgrade (R-value
< 5).
On curves, the geotextile or geogrid must be cut to conform to the curves. A
minimum overlap of 1.5 feet shall be provided for adjacent geotextile or geogrid
cut sides. The overlap must be held in place by staples, pins, or piles of fill of the
materials to be placed on the geotextile or geogrid, or as directed by the resident
engineer.

4-19.14 Earthwork
Construction equipment must not operate directly upon the geogrid or geotextile.
A minimum of 6 inches of fill cover is required prior to operation of construction
vehicles over the geotextile or geogrid.
The amount of SEG placed on subgrade must be limited to that which can be
covered with aggregate subbase or base material within 72 hours.
Special care must be taken in the handling of geogrids manufactured from
polypropylene at temperatures at or below 0 F.
Stockpiling of materials directly on the SEG is not allowed. Once a sufficient
working platform has been constructed, all remaining materials must be placed and
compacted in accordance with special provisions and the Standard Specifications.
A minimum cover of 6 inch of fill material must be maintained between the
geotextile or geogrid and the equipment to prevent damage to the geotextile or
geogrid. Until this sufficient working platform has been constructed, compaction
must be achieved by using either smooth wheel (without vibratory action) or
rubber-tired rollers. Sheepsfoot or other types of compactor equipment employing
a sheepsfoot shall not be used. Excessive turning of vehicles must not be allowed
on the aggregate subbase or aggregate base material placed directly over the
geotextile or geogrid.
Geotextile or geogrid damaged beyond repair during placement must be replaced
by placing a new geosynthetics over the damaged area. The geotextile or geogrid
overlap from the edge of the damaged area must be a minimum of 3 feet.
Geotextile or geogrid must be laid at the proper elevation and alignment as shown
on the plans or as directed by the resident engineer. Geogrid must be oriented such
that the roll length runs parallel to the roadway alignment.
Test the shoulder backing materials for meeting the specification. Ensure the
compaction is adequate. Make sure the shoulder backing is completed within 5
days after placement of adjacent new surfacing.
The following measurement and payment information covers roadway excavation, Measurement and
structure excavation and backfill, and ditch excavation. Payment
The resident engineers duties include the following regarding measurement and
payment for roadway excavation:
Usually, the design calculations to determine quantities of roadway excavation are
suitable to be incorporated directly into the project records as source documents.
Check the accuracy of these calculations. Also check whether slope rounding and
quantities for contiguous ditches (as shown in the Standard Plans) have been
included.
Before beginning work, check the accuracy of original ground elevations using
slope stake locations. It may also be necessary to take field cross sections or run
profile lines to check original ground elevations.

Earthwork 4-19.15
Check the roadway template and subgrade elevations. Include in the project
records all documentation substantiating roadway excavation quantities. It should
be easy to trace back from the total pay quantity to the source documents.
When all roadway excavation is complete, reconcile the total quantity with the
total of the partial payments. It is important to determine early in the project, and as
closely as possible, the total pay quantity for roadway excavation. This early
determination, coupled with the periodic adjustment of partial payment totals (as
described in the following paragraph), will help prevent overpayment.
During the work, choose a method to measure roadway excavation quantities for
partial payment. One method commonly used is load count. Load count involves
determining daily production by reaching an agreement on the capacity of hauling
equipment and by using the contractors daily load tally. To make a preliminary
determination of unit capacity, you can use the following methods:
1. Using previous experience.
2. Measuring volumes of hauling equipment.
3. Weighing a loaded hauling unit and converting results into volume of material
in the cut.
As work progresses check actual conditions as frequently as possible. As a single
cut is completed, compare volume in that cut to volume represented by load counts
from the cut. It may also be possible to cross-section partially completed
excavations, calculate work done, and compare the result to load count totals.
When these checks indicate over or underpayments, make up the difference in the
current partial payment. You may adjust the capacities of hauling equipment so
that future partial payments based on load count are more accurate.
Unless otherwise specified, payment for embankment is included in payment for
other items of work. However, the quantities of material in embankments must be
known to determine whether a surplus or deficiency of excavated material will
exist. On a project involving significant amounts of earthwork, predicting a surplus
or a deficiency of roadway excavation should be a primary concern in the early
stages and throughout the project. (Refer to the discussion regarding subsidence
and grading factors under 4-1903A(5), Surplus Material in this section.) During
the work, it is just as important to periodically measure the constructed
embankment as it is to periodically measure the completed excavation. These
periodic measurements are usually the most accurate way to determine the actual
grading factor. Whether or not it is important to be able to accurately predict the
overall grading factor will depend on the job situation and potential problems
associated with developing a surplus or a deficiency of material.
When the contractor disposes of surplus material, additional haul distances may
occur. It may be appropriate to pay for additional hauling cost as extra work. Use a
mass diagram as a useful tool for determining haul distances.
To determine methods and limits for calculating structure excavation and backfill pay
quantities, and payment clauses, review the special provisions, the Standard Plans, and
Section 19-2.04 [19-3.08], Payment, of the Standard Specifications. Note that the
payment for structure excavation and backfill is included in the payment for some

4-19.16 Earthwork
structures and culverts. Before excavation, determine if it is necessary to profile or
cross-section original ground in structure excavation areas.
To determine whether ditches and gutters are to be paid for as ditch excavation or
roadway excavation, review the specifications, plans, and Standard Plans.
Measure the pay quantities of ditch excavation using the average end area method.
Before excavation, determine if it is necessary to profile or cross-section original
ground.
4-1904D Borrow Excavation
Before beginning work and when borrow is paid for by volume, cross-section all
known borrow areas that are dedicated to the project. If the borrow source is not
known, or borrow source is used for various projects, then calculate the volume of the
borrow based on the material deficiency. The material deficiency is calculated as the
difference of cut and fill based on the cross-sections of the embankment and the
roadway excavation shown on the plan. If it is necessary to change the method of
measurement from volume to weight, write a change order specifying the conversion
factor.
4-1904E Subgrade Enhancement Geosynthetic
SEG is measured and paid by the square yard of the surface. The Department does not
pay for additional geosynthetic used for overlaps.
4-1904F Shoulder Backing
Measuring and paying for shoulder backing by the station is not permitted.
Shoulder backing is paid by ton. For payment, use the factor 145 lb/ft3 or 0.0725 ton/
ft3 when volume is known. If a more accurate factor of conversion is needed, determine
the actual dry density of the shoulder backing material being used.

Earthwork 4-19.17
Section 20 Landscape
4-2001 General
4-2002 Planting
4-2002A Materials
4-2002A (1) Soil Amendment
4-2002A (2) Iron Sulfate
4-2002A (3) Lumber
4-2002A (4) Plants
4-2002A (5) Foliage Protectors
4-2002A (6) Root Protectors
4-2002A (7) Mulch
4-2002B Before Work Begins
4-2002B (1) Pesticides
4-2002B (2) Plants
4-2002C During the Course of the Work
4-2002C (1) Roadside Clearing
4-2002C (2) Pesticides
4-2002C (3) Preparing Planting Areas
4-2002C (4) Header Boards
4-2002C (5) Planting
4-2002C (6) Watering
4-2002C (7) Replacement
4-2002C (8) Plant Establishment Work
4-2002C (8a) Administering Plant Establishment Time Requirements
4-2002C (8b) Tracking Time for Type 1 Plant Establishment
4-2002C (8c) Tracking Time for Type 2 Plant Establishment
4-2002D Measurement and Payment
4-2003 Irrigation
4-2003A Components of Irrigation Systems
4-2003A (1) Water Meter
4-2003A (2) Backflow Preventer
4-2003A (3) Wye Strainers
4-2003A (4) Main Supply Line
4-2003A (5) Master Remote Control Valve
4-2003A (6) Remote Control Valves
4-2003A (7) Quick Coupling Valve
4-2003A (8) Gate Valve
4-2003A (9) Lateral Supply Line
4-2003A (10) Emitters and Sprinklers
4-2003A (11) Drip Valve Assembly

Landscape 4-20.i
4-2003A (12) Irrigation Crossovers
4-2003A (13) Irrigation Controllers
4-2003A (14) Electrical Pull Boxes and Conductors
4-2003C During the Course of the Work
4-2003C (1) Water Lines and Conduit
4-2003C (2) Electrical Installations

4-20.ii Landscape
If there is a revised standard specification, bracketed section numbers refer to the 2010
followed by the 2006 Standard Specifications. If there is no revised standard
specification, the 2010 Standard Specifications reference is followed by a bracketed
2006 reference.
Section 20
Section 20 Landscape Landscape
4-2001 General 4-2001

Landscaping is covered under Section 20, Landscape, of the Standard Specifications. General
Landscaping includes highway planting and installing irrigation systems. It involves
preparing areas for planting, furnishing and planting plants, and performing plant
establishment work. Landscaping is sometimes combined with erosion control. Erosion
control is covered under Section 21, Erosion Control, of the Standard Specifications.
For guidelines refer to Section 4-21, Erosion Control, of this manual.
For questions about the acceptability of materials and work for landscaping, consult the
district landscape architects and landscape specialists.
4-2002 Planting 4-2002
Planting consists of preparing areas for planting, applying pesticides, furnishing and Planting
planting plants, and maintaining plants.
4-2002A Materials
The following provides general information on materials used for planting.
4-2002A (1) Soil Amendment
For the requirements for soil amendment, refer to the Standard Specifications. The
special provisions may specify the type of material to be used.
4-2002A (2) Iron Sulfate
Iron sulfate consists of iron and sulfur. Some soils lack iron, one of the micronutrients
needed for the proper formation of chlorophyll. Iron sulfate is used both to correct soils
deficient in iron and to lower the pH of the soil. It makes the existing iron more readily
available for plants.
4-2002A (3) Lumber
Lumber, as described in the specifications, is used for header boards to define
landscaped areas.
4-2002A (4) Plants
The contract plans will specify the types and sizes of the plants to be used on a given
project. If a particular plant type is unavailable from any of the contractors nursery
sources and a change is proposed, seek a recommendation of approval from the project
landscape architect, who will need to review the proposal.

Landscape 4-20.1
4-2002A (5) Foliage Protectors
Foliage protectors protect newly installed plants from animals foraging the various
above-ground parts of the plants. Eventually, as the plants grow larger, the need for
foliage protectors decreases. On projects with lengthy plant establishment periods, the
specifications may require the protectors be removed before contract acceptance.
4-2002A (6) Root Protectors
Wire mesh root protectors serve a similar purpose as the foliage protectors, providing
below-ground protection from burrowing rodents.
4-2002A (7) Mulch
Mulch is used in many situations on various construction projects. Applications may
vary from simple installations within plant basins to larger areas as a ground cover
within mass planting areas until the plants fill in and cover the ground. Mulch has the
following benefits:
Retains soil moisture to assist in healthy plant development.
Acts as a weed barrier.
Reduces surface erosion.
Section 20-5.03 [20-7.02D(6); 20-2.08], Inert Ground Covers and Mulches, of the
Standard Specifications, specifies the materials and size requirements for mulch.
Ensure the receipt of a certificate of compliance for mulch.
Before work begins, do the following:
Review the plans and specifications to determine the requirements for highway
planting.
Verify that Form CEM-3101, Notice of Materials to Be Used, includes highway
planting materials. Refer to Section 6-202, Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products, of this manual for additional
information.
Check for planting areas where little or no weeds are growing because the lack of
weeds may indicate sterile ground. Ask the maintenance landscape specialist if any
planned planting areas were sterilized. If certain areas were sterilized, find out
when the sterilization occurred, what chemicals were used, and what the rates of
application were. For corrective measures, request assistance from the project
landscape architect or the maintenance landscape specialist.
Take photographs of existing site conditions, especially where you find evidence
of sterile soil and damaged facilities.
Invite the district landscape architect or project landscape architect and the
maintenance landscape specialist to visit the site. Review the areas to be planted
and verify the limits and work involved in roadside clearing. Discuss any unusual
features or potential problem areas.
Ensure the contractor is aware of any special requirements, particularly any
facilities or plants that must be preserved and protected.

4-20.2 Landscape
4-2002B (1) Pesticides
Before any work using pesticides begins, do the following:
Review the specifications covering pesticide use.
Review the guidelines for pesticide use contained in Chapter C2, Vegetation
Control, of the Caltrans Maintenance Manual. These guidelines can also be
applied in a general way to contract work.
Obtain and review a copy of the contractors recommendations for pesticide use,
as submitted to the contractor by a licensed pest control adviser. For assistance,
you may call the maintenance landscape specialist, who is an expert in this area.
Ensure the recommended pesticides are limited to those specified in the special
provisions. Any change in the specified pesticides must be made by a change
order.
Some counties have environmentally sensitive areas where special requirements or
prohibitions may apply. Consider any restrictions imposed by county agricultural
commissioners.
Ensure the proposed application rates or other features will not cause damage to
abutting properties or to existing plants that must remain. Do not approve
application of granular pesticides unless they are covered by mulch. Without
mulch, these pesticides can be carried to other locations by runoff.
Upon completion of the necessary reviews, advise the contractor in writing that the
pest control advisers recommendations have been authorized subject to the
provisions of Section 20-1.01C [20-1.01C; 7-1.01H], Submittals, of the
4-2002B (2) Plants
Before any work with plants begins, do the following:
Discuss the requirements for plants with the contractor and ask if the contractor
wants the inspection of plants to occur before shipping. Ensure the contractor
understands that the plants will still be subject to inspection at the job site.
When requested by the contractor, you may arrange to inspect the plants at the
plant suppliers nursery. For inspection of the plants at a nursery in another district,
request assistance from a qualified person in the district where the nursery is
located. Send all necessary contract information to the plant inspector.
The inspection should be done after the contractor submits the required 10-day
notice of the plant shipping date. The plant inspector must document the results of
the inspection, including rejection of any plants and the reasons for rejection. The
inspector must send the report to the resident engineer. However, plants that have
been examined at the nursery are still subject to inspection at the job site. Inspect
plants for compliance with Section 20-7 [20-2.13], Highway Planting, of the
Standard Specifications, and with any special provisions. The following are
guidelines for plant inspection.
1. Examine the plants and their nametags to confirm the plants are of the variety
and size specified.

Landscape 4-20.3
2. Observe the methods of transporting and storing the plants. Reject plants that
are wilted, or otherwise unsuitable when delivered to the planting area. Note
such rejection in the daily report.
3. Check to see if plants are obviously deformed, diseased, or insect-infested.
Obtain inspection certificates that indicate all plants comply with federal and
state laws requiring inspection for diseases and infestations. Before accepting
plants from another county, require the contractor to produce evidence of
clearance from the county agricultural commissioner.
4. For the specified number of plants, remove soil from the roots of container-
grown plants to determine the condition of the roots. Ensure enough roots
have grown so that the soil and root ball will hold together when planting.
5. Do not accept root-bound plants. Refer to Figure 4-20.1 Roots, for an
example of acceptable and unacceptable roots. After a root-bound plant is
planted, water cannot penetrate the tight mass of roots; or at maturity, the plant
may strangle itself. Root-bound plants occur when seedlings are grown too
long in small containers. The roots grow to the bottom of the container and
then turn and grow around the ball of the plant. It is difficult to overcome a
root-bound condition merely by planting in the ground.
Figure 4-20.1. Roots
Good Roots
Acceptable
Root-Bound Plant
Unacceptable
6. Check for root girdling in plants that have a main taproot. Girdling occurs
when a plant has been left in a container for too long. The taproot circles and
chokes the root system until the plant eventually dies.

4-20.4 Landscape
7. Ensure plants in large containers have not recently been transplanted from a
smaller container. Roots should be in proportion to the container from which
they are taken.
8. Make random measurements of Carpobrotus cuttings to ensure the cuttings
equal the specified length.
4-2002C During the Course of Work
Use the following guidelines to ensure planting complies with the plans and
specifications.
4-2002C (1) Roadside Clearing
Roadside clearing includes removing trash and debris; killing, removing, or mowing
weeds and other vegetation; and controlling rodents. During roadside clearing, the
resident engineer must do the following:
Give due consideration to the requirements for water pollution control. It may be
desirable to leave some vegetation on the slopes to reduce the potential for
stormwater pollution during the rainy season.
Ensure the contractor removes stumps and large roots to the depth specified.
Check areas to be planted to ensure they are free of living weeds at the time of
planting.
Gophers are among the rodents requiring control. Evidence of gophers includes
surface mounds left from their nighttime tunneling when the gophers eat plant
roots and chew on irrigation wires. Their burrows can damage plant basins. Baiting
and trapping are the methods used to control gophers. Some counties have rodent
abatement programs and will give expert advice upon request. For information,
contact the maintenance landscape specialist.
4-2002C (2) Pesticides
During pesticide use, do the following:
Observe the mixing and applying of pesticides to ensure these processes comply
with the approved recommendations and specifications. Ensure that workers
applying pesticides wear protective clothing, including eye protection. A person
with a pesticide applicators license must be at the site. However, the person
spraying the chemicals does not need a license. Include notes about the pesticide
application in the daily report
Provide the contractor with Form LA-17, Report of Chemical Spray Operations.
Obtain a completed chemical spray report from the contractor each week. Retain
one copy in the project files, and forward other copies in accordance with district
procedures.
Early enough in the contract so a good weed kill can be obtained, ensure the
contractor has applied the specified pesticide to problem weeds, such as Bermuda
grass.

Landscape 4-20.5
4-2002C (3) Preparing Planting Areas
After roadside clearance, irrigation system installation, and pressure testing and
backfilling, the preparation of planting areas begins. During this preparation, do the
following:
Using the plan sheets for plant layout, ensure the location for plants and the
perimeter of ground cover areas are designated with gypsum, small wire-mounted
flags, or other suitable markers. The contractor must furnish the labor, materials,
and transportation for placing stakes or other suitable markers to indicate the
designated locations. This phase of designating locations is when necessary
changes can be made with the least inconvenience and cost to the contractor or to
Caltrans.
When establishing plant locations, ensure compliance with the guidelines in
Chapter 900, Landscape Architecture, of the Highway Design Manual, which
contains planting design standards.
Ensure plant locations meet the minimum setbacks from the traveled way,
pavements, fences, walls, and ditches, as shown on the plant list in the contract
plans. However, plant locations on the ground do not need to match the plans
exactly. The contractor may need to adjust the locations of shrubs and trees for
proper setback from the traveled way. Whenever possible, also avoid extremely
rocky or poorly drained areas, old roadbeds, sign locations, and utility lines. Keep
in mind the intended purpose of the planting, and visualize the size, shape, and
characteristics of the mature plants. Select locations so branches of mature plants
will not extend into the roadway or over a right-of-way fence.
If cultivation will be required, the plans or special provisions will say so.
Ensure the soil is loosened to the specified depth.
When rocks are encountered in an area of predominantly fine native materials,
most rocks larger than 2.5 inches should be removed. In predominantly rocky
areas, consult with the project landscape architect for alternatives to removing
rocks.
If rocks need to be removed, prepare a change order to pay for disposal. Consider
using the rocks at drainage outlets or other areas to prevent erosion.
To support payment, maintain adequate records of cultivation. When the contract
item for cultivation includes payment for soil amendments and fertilizer, ensure
these materials are incorporated at the specified rates. Note your observations in
the daily report.
4-2002C (4) Header Boards
Measure header boards, and ensure they are installed as the contract requires. Ensure
that nails, lag screws, and hardware are galvanized and that lumber is of the specified
quality.
4-2002C (5) Planting
Inspect the planting operation and ensure the requirements specified in the plant list are
met for the following:
Hole size
Basin type

4-20.6 Landscape
Iron sulfate
Soil amendment or fertilizer
Mulch
Plant stakes, if required
Observe the general planting operation to ensure the following:
No more plants are distributed along the roadside than can be planted and watered
on the same work shift.
Containers are not cut until delivered to the planting area.
Roots of plants not in containers remain covered and moist.
Before transporting the plants to the planting area, nursery stakes are removed
from the plants at the project site.
Before ground cover is planted, trees and shrubs for such areas are planted,
watered, mulched, and staked (if required).
For ground cover, make sufficient observations to ensure the following:
Cuttings are placed to the required depth.
The soil is moist at the time of planting.
Plants are watered as specified.
The specified spacing is provided.
Do the following during the course of planting:
Note all observations in the daily report, including any pertinent instructions given
to the contractor.
Before planting in holes or trenches, ensure the contractor has prepared backfill
and has applied water as specified. Before backfill is tamped down, ensure the
plants are straight in their holes.
Review planted areas to ensure plants have been staked and tied in the specified
manner.
Mulch, if required, must be placed as soon as possible after planting. It will help to
retain moisture and discourage weeds. Ensure the removal of wood chips that are
longer than the specifications allow. Keep mulch away from drainage channels and
away from plant stems. Postpone placing mulch in extremely wet weather when
trampling the areas would compact the soil and the mulch would hold excessive
moisture around the plant.
Decide on test areas for counting plants as specified. Prepare adequate records for
progress payments.
When it is obvious that plants will not survive or will be damaged severely due to
weather, consider allowing a delay of planting until a more favorable period. If
planting, delayed because of unfavorable weather conditions, is the controlling
operation, you may grant nonworking days in accordance with Section 8
[8; 8-1.06], Prosecution and Progress, of the Standard Specifications.

Landscape 4-20.7
4-2002C (6) Watering
For watering, do the following:
Ensure the contractor applies sufficient water so the plants will develop properly.
Too much water, improperly applied, can cause damage. Factors such as weather,
soil, and plant type determine the amount of water and frequency of application.
Beginning with the initial watering, closely check the amount of water applied and
the manner in which it is applied. Most plants should be watered immediately after
they are planted. Do not allow initial watering to be delayed until the following
day.
To ensure watering requirements are met, periodically observe planted areas after
initial watering.
Ensure the irrigation system distributes water evenly. To ensure proper coverage
and to ensure water does not reach the traveled way, routinely check the sprinklers
water distribution.
4-2002C (7) Replacement
A plant need not die before the contractor replaces it. Ensure the contractor replaces
any plants that have been injured or damaged sufficiently to render them unsuitable.
When a replacement plant obviously will not survive because of weather or other
predictable causes, consider delaying replacement until a more favorable time.
To substitute an alternative species, seek authorization through a change order and
obtain concurrence from the project landscape architect.
4-2002C (8) Plant Establishment Work
The objective of plant establishment is to ensure that, before contract acceptance, plants
are healthy and established and the irrigation system works as planned.
Caltrans has two categories of plant establishment, described as follows:
Type 1, which is normally used on projects where highway planting is a major
portion of the work.
Type 2, which is used on projects where highway planting is incidental to other
work.
Plant establishment consists of caring for the planting as specified. The plant
establishment period begins on the date stated in your written notification to the
contractor. However, each plant must still be maintained after it is planted and watered
for the first time. Planting must be properly maintained both before and during plant
establishment. During the course of plant establishment, do the following:
Ensure that the contractor replaces plants that have not been properly maintained.
However, do not allow replacement as a substitute for proper maintenance. A plant
that was planted earlier and maintained for a longer period of time will be more
developed and will require less maintenance upon completion of the contract than
one planted late in the plant establishment period.
Ensure the contractor follows specifications requiring plants and planted areas to
be well watered. The words well watered mean more than just enough water to
keep a plant alive. It is intended that the plant will flourish during plant

4-20.8 Landscape
establishment. Once the root systems become established, watering can be
reduced.
Ensure the contractor maintains sufficiently formed basins around each plant to
permit the ponding of irrigation water and to provide ample room for the required
mulch. During wet weather, the contractor may need to create temporary openings
in the basin walls to drain excess water from the plants.
Ensure the contractor controls weeds as specified. Without weed control, the
weeds rapid growth will reduce the availability to the plants of moisture and
nutrients in the soil. If plants have to compete with weeds for moisture, nutrients,
and sunlight, they will not develop properly.
Within basins or header boards and adjacent to fences, ensure ground cover is
removed from paved areas, as specified.
From roadside clearing and planting areas, ensure the contractor removes surplus
earth, paper, trash, and debris, as specified.
Ensure fertilizer is applied at the specified time, in the required amounts, and in a
workmanlike manner. Prohibit the concentration of commercial fertilizer at the
base or stem of the plant; otherwise, injury to the plant will result.
Require the contractor to give instructions on the use and adjustment of the
irrigation controllers as required in the specifications. Invite the appropriate
landscape maintenance personnel to the instructional session.
When all work except plant establishment is complete, require the contractor to
remove construction area signs. If appropriate, use temporary traffic control signs
during plant establishment work.
4-2002C (8a) Administering Plant Establishment Time Requirements
In administering the time requirements for plant establishment, do the following:
Notify the contractor of the beginning of the plant establishment period. On Form
CEM-2701, Weekly Statement of Working Days, under Remarks, note the
date of the first day of the plant establishment period.
During the plant establishment period, credit the contractor with one plant
establishment working day for each day that plant establishment work is
satisfactory. Saturdays and holidays are not included.
Ensure that all required establishment work is complete before beginning to give
the contractor credit for plant establishment working days.
Judge carefully when deciding whether or not to give credit for a plant
establishment day. Base the decision on whether the planted areas are maintained
as specified. When necessary, order corrective work in writing. If the contractor
does not correct deficiencies within a reasonable period, do not give credit for plant
establishment days. In most cases, you may consider a response time within
2 weeks as reasonable. For normal conditions, order corrections no more often
than once each week. Whenever progress is being made toward correcting
deficiencies, allow credit for plant-establishment working days. However, when
deficiencies appear faster than they are corrected, do not give credit for plant
establishment days.

Landscape 4-20.9
4-2002C (8b) Tracking Time for Type 1 Plant Establishment
For Type 1 plant establishment, the contractor must complete all work except plant
establishment before the plant establishment period begins. Only plant establishment
may be in progress during the plant establishment period. The special provisions
require plant establishment to be performed satisfactorily for a specified number of
working days.
Until plant establishment begins, track contract time on Form CEM-2701, Weekly
Statement of Working Days, in the normal manner. After plant establishment begins,
continue filling out the upper part of the form as before. Show all days except
Saturdays and holidays (holidays include Sundays) as working days, regardless of
weather or other conditions. Track the progress of plant establishment under
Remarks in a manner similar to that shown for Type 2 plant establishment in the
sample weekly statements of working days in Examples 3-8.6 and 3-8.7 in Section 3-8,
Prosecution and Progress, of this manual. Credit all working days as plant
establishment days except for days on which the contractor fails to satisfactorily
perform plant establishment work.
4-2002C (8c) Tracking Time for Type 2 Plant Establishment
Two time limits are specified for projects with Type 2 plant establishment. An amount
for liquidated damages is also specified for each time period. The following are the two
time periods:
The number of working days for all work except plant establishment.
The total number of working days for all contract work, including the plant
establishment period.
For Type 2 plant establishment, the contractor must complete all highway planting
before plant establishment begins. In addition to plant establishment, other contract
work may be in progress during the Type 2 plant establishment period.
For examples of how to track contract time when both time periods are running
concurrently, refer to Example 3-8.6 in Section 3-8, Prosecution and Progress, of this
manual. Show the working days specified in the contract as the number of days
specified for all work except plant establishment. Fill in the weekly statement in the
normal manner, and track the progress of plant establishment as shown under
Remarks.
Example 3-8.7 in Section 3-8 shows the method of tracking contract time and plant
establishment days after the contractor has completed all work except plant
establishment. After all work except plant establishment has been completed, show the
working days specified in the contract as the total number of days specified. In the
last weekly statement occurring while work other than plant establishment is in
progress, record any overrun in contract time for the shorter contract time period.
The specifications normally require that planting is paid for by measurable contract
items rather than lump sum. Use the methods of measurement specified for each
contract item.

4-20.10 Landscape
4-2003 Irrigation 4-2003
Irrigation systems may be manual or automatic, as specified in Section 20-2 [20-3; Irrigation
20-5], Irrigation, of the Standard Specifications. The special provisions may require
the installation of equipment that can communicate with a centrally located computer.
4-2003A Components of Irrigation Systems
The following are the major components of an irrigation system.
4-2003A (1) Water Meter
The water meter measures the quantity of water delivered to the project. The water may
be from a local water district providing domestic potable water or reclaimed water
from a water treatment facility.
4-2003A (2) Backflow Preventer
The backflow preventer protects the domestic water system from contamination by
preventing water within the irrigation system from siphoning back into the domestic
water supply. All domestic water irrigation systems are required to have backflow
prevention. The backflow preventer is installed downstream from the water meter in a
domestic potable water system.
4-2003A (3) Wye Strainers
Wye strainers filter solid particles from irrigation water. They are installed as part of
backflow preventer assemblies and at other locations in the supply lines.
4-2003A (4) Main Supply Line
The main supply line is installed downstream from the water meter and backflow
preventer. The supply line carries water under pressure to quick coupling valves and
the remote control valves.
4-2003A (5) Master Remote Control Valve
The master remote control valve is located downstream from the backflow preventer.
Its purpose is to control the flow of water to supply lines so that they are not under
constant pressure when irrigation is not taking place. The master remote control valve
is opened when any remote control valve is activated.
4-2003A (6) Remote Control Valves
Remote control valves control the flow of water to the lateral water supply lines and
sprinklers. When not operating, they are closed. Remote control valves are usually
grouped for ease of maintenance.
4-2003A (7) Quick Coupling Valve
A quick coupling valve is used to attach a hose to the irrigation system.
4-2003A (8) Gate Valve
Gate valves are manually operated to shut off water to allow repairs or modifications to
the irrigation system.

Landscape 4-20.11
4-2003A (9) Lateral Supply Line
Lateral supply lines are pipes that carry water between the remote control valves and
the sprinklers. Lateral supply lines are only under pressure when the remote control
valve is open.
4-2003A (10) Emitters and Sprinklers
Emitters are watering devices used for drip irrigation. They require additional filtration
of the water being used in the system because they are easily clogged. Because they
apply water at a slow rate, potential erosion of the plant basins is almost nonexistent.
Requirements for emitters will be included in the special provisions and on the plans.
The plans will specify flow rates and operating pressures for emitters. Sprinklers apply
water in a spray pattern to the soil around plants. The special provisions and the plans
specify the sprinklers by type, pattern, material, and operating characteristics. Emitters
and sprinklers are installed on the lateral supply line.
4-2003A (11) Drip Valve Assembly
Drip valve assemblies prevent small particles from clogging sprinklers or emitters.
4-2003A (12) Irrigation Crossovers
Irrigation crossovers consist of conduit and pipe used to carry irrigation water under
roadways. They are often installed as part of a highway construction project before the
highway landscaping project begins.
4-2003A (13) Irrigation Controllers
Electrically operated irrigation controllers supply low voltage to activate the remote
control valves. The controllers may operate on 110-volt electrical circuits, batteries, or
solar power. Irrigation controllers are placed inside heavy-duty metal enclosures bolted
to concrete pads.
4-2003A (14) Electrical Pull Boxes and Conductors
These electrical components of the irrigation system supply electrical power to operate
irrigation controllers and valves.
Before the irrigation system is installed, do the following:
Verify that Form CEM-3101, Notice of Materials to Be Used, includes all
irrigation system materials. Refer to Section 6-202, Responsibilities for
Acceptance of Manufactured or Fabricated Materials and Products, of this
manual for additional information.
When existing irrigation systems are to be maintained, review the systems with the
appropriate landscape maintenance personnel. Check existing systems for proper
operation and state of repair.
Review with the contractor the requirements for maintaining existing irrigation
systems. When Caltrans maintenance forces are involved, ensure that the
contractor and Caltrans maintenance personnel are aware of each others
responsibilities.
For correspondence with the serving utility companies, contact the project
landscape architect. Ensure that, when Caltrans must do so, all orders for water and

4-20.12 Landscape
electrical service have been placed with the serving utility. If services have not
been completed, check service points and meter locations with the field
representative of the serving utility. Verify the availability of water in the quantities
and the pressure required for the irrigation system.
Verify with the appropriate district unit the availability of any specified state-
furnished material.
As required by Section 20-2.01A(3) [20-3.01C(4); 20-5.027B], Submittals, of
the Standard Specifications, obtain from the contractor shop drawings of wiring
plans for the electrical portions of the irrigation systems. Ensure that the
manufacturer of the controller has approved the wiring plans. Also send the plans
to the district landscape architect for review. After review and authorization,
forward a copy to the contractor with the following written statement:
The plans are authorized pursuant to Section 5-1.23
[5-1.02], Submittals, of the Standard Specifications.
The Office of Structure Designs Office of Electrical, Mechanical, Water and
Wastewater usually designs the more complex electrical and mechanical work,
such as pump installations. Contact that office to arrange for periodic inspections
of the work as it progresses.
Inspect irrigation system materials as they are delivered to the project site. For
most irrigation system materials, the Office of Materials Engineering and Testing
Services (METS) will assign responsibility for this type of inspection to the
resident engineer. Ensure the contractor furnishes certificates of compliance, when
required. For all material not inspected and released by METS, inspect the material
for contract compliance and complete Form CEM-4102, Material Inspected and
Released on Job. File the form with the project records.
Before doing any other irrigation work, locate existing conduit to be used as part of
a new irrigation system. Determine the locations using as-built plan information,
physical evidence such as Type A pavement markers, and metal detectors. After
you have determined the locations as closely as possible, require the contractor to
excavate and backfill exploratory holes. Process a change order, if necessary, to
pay for additional exploration in accordance with Section 20-2.08 [20-3.03B;
20-5.03B], Irrigation Conduit, of the Standard Specifications. After the ends of
existing conduits are exposed, examine them for damage. Ensure the conduits are
free of obstructions. Process a change order to pay for any necessary repair or
replacement.
Check the planned location of valves, sprinklers, and automatic controllers and, if
necessary, make the following revisions:
1. Move sprinklers and valves away from areas adjacent to shoulders where
traffic could damage them.
2. Locate irrigation controllers behind guardrail or at other locations where they
will be protected from public traffic.
3. Locate sprinklers away from signposts, existing trees, or other obstructions
affecting coverage.
4. Locate sprinklers to obtain full coverage without overspray.

Landscape 4-20.13
5. Locate sprinklers so that irrigation controllers and pump housings are not
soaked.
6. Locate irrigation controllers and backflow preventers within a reasonable
distance from safe and legal parking. Also locate them in high visibility areas
to deter vandalism.
When the irrigation lines are laid out and before trenches are backfilled, schedule a
meeting on the project site with the project landscape architect. This meeting
provides an opportunity to look at the overall layout of the landscape system and
make any desired changes.
4-2003C During the Course of Work
Use the following guidelines to ensure the various components of irrigation systems
are installed and constructed as required.
4-2003C (1) Water Lines and Conduit
During the course of installing water lines and conduit, the resident engineer must do
the following:
Inspect the installation and location of backflow preventers to ensure they conform
to the requirements of local codes and to the plans and specifications. Pay
particular attention to the installation of gate valves and unions on each side of the
backflow preventer.
To protect soil from eroding, ensure the contractor directs the outlets of the wye
strainer or pressure relief valve toward the concrete pad.
Observe trenching and the placement of conduit and pipe. Make measurements to
determine that pipe and conduit are installed at the specified depths and setbacks.
Ensure the contractor does not use excessive water when jacking or drilling
conduit. Excessive water is any amount that would damage the roadway or create
future maintenance problems.
When rocks or other debris are brought to the surface during trenching operations,
decide whether such material should be removed. Base the decision on the same
factors considered when preparing planting areas, as previously covered in Section
4-2002C (3), Preparing Planting Areas, of this manual. However, whether or not
you order rock removal, the contractor must protect the pipe from sharp objects
and must not place rocks directly on, under, or around the pipe. Ensure the
contractor backfills in the specified manner, and make notes in the daily report of
all inspections.
When rocks must be removed, prepare a change order to cover payment, and keep
the required extra work records.
If excavated material is not suitable for placing around the pipe, prepare a change
order to pay for supplying and placing a clean bedding material.
Trench widths must be such that plastic pipe that is not connected by rubber type
fittings can be snaked. Snaking means placing the pipe in an undulating line to
provide for expansion and contraction.
For installing plastic pipe supply lines, thrust blocks, plastic pipe irrigation lines,
and fittings, obtain a copy of the manufacturers instructions from the contractor.

4-20.14 Landscape
Observe the installation to ensure the contractor completes it in accordance with
those instructions.
Where supply lines or conduits are installed through existing paved areas, advise
the contractor of acceptable replacement material. Ensure the contractor performs
such replacement.
Ensure the contractor installs dielectric couplings or bushings as specified where
two dissimilar metals, such as galvanized steel and brass, are joined.
For solvent cement welding of plastic pipe, obtain the manufacturers printed
instructions from the contractor. Ensure the contractor completes solvent cement
welding in accordance with those instructions. For plastic pipe joined with solvent
or glue, good workmanship includes immediately wiping off excess solvent or
glue from the pipe. When left exposed on the surface, such material will cause
rapid deterioration of the pipe.
Ensure the contractor places the specified pavement markers to show the location
of crossover conduits.
Observe whether unattached ends of pipes, fittings, and valves are plugged or
capped pending attachment of additional pipes or fittings. Use judgment in
ordering compliance, but as a minimum, expect all such plugs or caps to be in
place at the end of each workday.
Ensure the contractor tests all pipe supply lines for leakage as specified. To hold
water lines in place, partial backfill is usually allowed during testing as long as all
fittings are left uncovered. Observe the testing, and note in the daily report the time
when the pressure test on any segment of the irrigation system began and the
results of this test. The contractor must locate and repair any leaks and repeat the
test as many times as necessary.
After backfilling and ponding or jetting, examine trenches. Require the contractor
to refill trenches that have settled below the level of the surrounding area.
Ensure the contractor has the backflow preventers tested as specified. File the test
results in the project records.
Observe the operation of the entire irrigation system. Before planting work begins,
ensure adequate coverage. If coverage is not adequate to water the planting areas,
consider ordering revisions. Be aware that the valves and pipes are designed to
accommodate a certain flow at a certain pressure. If the contractor adds sprinklers
or increases the sprinkler nozzle size, coverage of each sprinkler will be reduced. If
necessary, prepare and process a change order to make revisions to the planned
irrigation system.
Ensure the contractor replaces any existing plants that are removed or damaged
during installation of the irrigation system.
4-2003C (2) Electrical Installations
During the course of installing water lines and conduit, the resident engineer must do
the following:
Observe the installation of sprinkler control crossovers to ensure they comply with
the size and type specified. When specified, ensure that pull wire or pull rope is
installed.

Landscape 4-20.15
Ensure that electric service installations conform to the plans and specifications.
Consult with district electrical specialists.
Ensure that controllers are installed as specified. For each type of controller, obtain
the maintenance and operations manual. Give the manual to the maintenance
landscape supervisor responsible for the irrigation system after contract
acceptance.
Ensure the contractor places a schematic wiring diagram and irrigation as-built
plan in the controller enclosure as specified. The inspection date and expiration
date for the guarantee must be marked on the inside face of the controllers.
Observe the installation of conduit, conductors, and pull boxes to ensure
compliance with the specifications.
After trench backfilling to the required depth, observe the specified testing of
conductors. Record the results of tests in the daily report.
Before the beginning of plant establishment, witness a satisfactorily completed
functional test of the irrigation system. Advise the contractor of the lengths and
frequencies of the cycles to be used during the functional test. Record the test
results in the daily report.
The specifications normally require that irrigation system work is paid for by
measurable individual contract items rather than lump sum. Use the methods of
measurement specified for each contract item.

4-20.16 Landscape
Section 21 Erosion Control

4-2101 General
4-2102 Materials
4-2102A Topsoil
4-2102B Fertilizer
4-2102C Straw
4-2102D Fiber
4-2102E Seed
4-2102F Tackifier
4-2102G Compost
4-2105 Seed Sampling
4-2105A Scope
4-2105B Size of Sample
4-2105C Procedure for Sampling
4-2105D Sample Preparation, Preservation, and Packaging
4-2106 Quality Assurance Seed Testing Results
4-2106A Results
4-2106B Nonconformance Procedures

Erosion Control 4-21.i
Section 21 Erosion Control Section 21

Erosion Control
4-2101 General 4-2101
Erosion control is covered under Section 21, Erosion Control, of the Standard General
Specifications. Erosion control materials are applied to roadside and median areas
where erosion control is necessary and where planting may or may not be done in the
future. Landscaping involves preparing areas for planting, furnishing and planting
plants, and performing plant establishment work. Such landscaping is sometimes
combined with erosion control. Landscaping is covered under Section 20,
Landscape, of the Standard Specifications. Refer to Section 4-20, Landscape, of
this manual for additional information.
For questions about the acceptability of materials and work for erosion control, resident
engineers may consult with landscape architects and landscape specialists in the
district.
Properly applied erosion control is a key element in preventing water pollution. The
success of erosion control work often depends on the time of year that it is applied.
Consult with the project landscape architect and landscape specialists if an apparent
need exists for changing the order of work or the dates specified for erosion control.
4-2102 Materials 4-2102
The following provides general information on various materials used in erosion Materials
control.
4-2102A Topsoil
Topsoil is the balance of organic matter, sand, clay, and nutrients necessary to support
healthy plant life. For the specifications for topsoil, refer to Section 21-1.02D
[20-2.01], Topsoil, of the Standard Specifications. Topsoil that contains large
percentages of sand and clay or silt-clay or is deficient in organic matter may be a poor
medium for growing plants. High sand content tends to promote dry conditions. High
clay content limits aeration and drainage. For good plant growth, the soluble salt
content of topsoil generally should not exceed 500 parts per million. If the topsoils
composition is questionable, laboratory tests can determine the salt content.
Reject any proposed sources for topsoil if the topsoil has too much clay or sand or the
topsoil lacks sufficient organic matter. Evidence of poor weed growth is a good
indicator that the proposed topsoil source will not support healthy plant growth. If the
proposed topsoil source is questionable, consider obtaining a basic soil test.
4-2102B Fertilizer
The Standard Specifications or the special provisions cover the requirements for
fertilizer, which is expressed as percentages of nitrogen, phosphoric acid, soluble
potash, and sulfur. Fertilizer may be spread with seed and other erosion control

Erosion Control 4-21.1
materials using hydroseeding equipment. Fertilizer may also be specified for highway
planting.
4-2102C Straw
Straw is the mulch most commonly used to protect slopes and has proven to be an
effective method of controlling slope erosion.
Straw provides the following benefits:
Protects seeded soil from wind, rain, and sun.
Conserves surface moisture and serves to maintain uniform soil surface
temperatures, thereby promoting seed germination and early growth.
Dissipates the impact of rainfall.
Slows the velocity of runoff.
4-2102D Fiber
Fiber, as used in erosion control, consists of fine, hair-like tissues processed into small
clumps. Natural fiber is derived from wood or other vegetable products.
When properly used, fiber provides the following benefits:
Protects seed within hydroseeding equipment from the action of pumps and the
action of discharge through the nozzle.
Enables more uniform seed distribution.
Enhances a visual inspection of seed coverage.
Forms mulch, covering and anchoring seed to the slope.
When applied with stabilizing emulsion, bonds straw to the slope.
Enables seed and commercial fertilizer to be applied by hydroseeding in one
application.
Can be applied by means of a hose to slopes not accessible by other mulching
equipment.
The most common method of applying fiber is with hydroseeding equipment. Seed,
commercial fertilizers, and tackifier, when specified, usually are applied with the fiber
and water in one or more applications. Fiber is used primarily as a carrier. It holds seed
on slopes where it is not feasible to incorporate or anchor straw.
4-2102E Seed
Minimum seed purity and germination are usually specified for seed. The purity of
seed is defined as the percentage of a specified seed in relation to the total quantity,
which includes inert matter, weed seed, and other seed. Seed germination is the percent
of pure seed that will grow when tested under laboratory conditions. The percentage of
pure live seed (PLS) is the product of percent seed purity and percent germination.
(percent PLS = percent purity times percent germination).
4-2102F Tackifier
Tackifier may be applied with fiber and fertilizer. The tackifier increases the amount of
fiber, seed, and fertilizer that a slope will retain and, therefore, improves the ultimate
production of the desired vegetation.

4-21.2 Erosion Control
Manufacturers of tackifier normally specify the amount of water that must be added to
the tackifier.
4-2102G Compost
Requirements for compost are covered in Standard Specifications Sections 21-1.01C,
Quality Control and Assurance, and 21-1.02M, Compost.
Begins
Review the plans and specifications to determine the specified type of erosion
control material and the time of application.
Verify that Form CEM-3101, Notice of Materials to Be Used, includes erosion
control materials. Refer to Section 6-202, Responsibilities for Acceptance of
information.
When local topsoil is specified, examine the topsoil to determine that sufficient
quantity is available and that it is suitable for the planned use. For possible
solutions if the local topsoil appears inadequate, consult with the project landscape
architect or landscape specialists. Ensure that sufficient area exists at the top of
slopes to stockpile topsoil.
The contractor must provide the seed vendors lab test results. Ensure they are
complete and received in a timely manner.
Erosion control materials are applied at a specified rate, in pounds or tons per acre.
Be prepared to measure and compute areas to which erosion control is to be
applied so that spread rates may be checked during application.
Examine equipment to be used in erosion control work to determine if it meets
specified requirements.
As materials for erosion control arrive on the project, and prior to application, do the During the Course
following: of Work
Through examination, ensure imported topsoil meets the specified requirements.
To determine if fertilizer meets specifications, check the chemical analysis on the
label of the fertilizer bag. This label generally suffices to determine whether the
fertilizer meets the requirements.
In addition to furnishing certified daily summary weigh sheets, require the
contractor to furnish weight tickets with each load of straw delivered to the project.
Keep records for the mass of straw delivered to stockpiles. Based on specifications,
check for County Agricultural Certification if out-of-county straw is used.
Ensure the receipt of a certificate of compliance for fiber. Check the labeling on
the package for moisture content.
Verify the species of seed listed on the seed label for consistency with the species
listed in the special provisions.
Compare the percent total viability stated on the vendor seed label with the percent
total viability in the special provisions for the seed species.

Ensure that the percent of total weed identified on the seed label is less than the
percent stated in the special provisions.
Verify that no California-prohibited noxious weeds are identified on the vendor
seed label.
Check the seed lot test date. For purity and germination, the seed must have been
tested within the past 12 months.
Check seed package labels and other required documentation. Calculate the weight
of PLS in each sack by referring to Section 4-2102E, Seed, of this manual.
Collect seed samples in accordance with Section 4-2105, Seed Sampling, of this
manual.
Send the complete package to the Caltrans-contracted seed clearinghouse in
accordance with Section 4-2105D, Sample Preparation, Preservation and
Packaging. Get the name and address of the clearinghouse at:
http://onramp.dot.ca.gov/hq/design/landscape/seed_testing/
When approving the use of seed with a germination rate lower than the minimum
rate specified, application rates must be such that the specified amount of pure live
seed is used. Before approving a lower germination rate, consult with the project
landscape architect.
Ensure the receipt of a certificate of compliance for tackifier.
During the application of erosion control materials, do the following:
Ensure the contractor prepares areas to receive erosion control as required in the
specifications.
Ensure topsoil, duff, or compost is spread uniformly at the specified rate or depth.
Ensure the contractor loosens any compacted topsoil.
Ensure the contractor applies erosion control materials in the specified sequence
and application rate.
When straw is required, determine the spread rate by counting bales and using
average bale weights. If the contractor applies the straw pneumatically, suspend
the operation if wind conditions cause the straw or visible dust to be blown onto
public roadways or across the property line onto private property.
Observe the amounts and proportions of materials spread or entered into the
hydroseeder. You may use sack counts and weights to determine the weights of
seed, stabilizing emulsion, fiber, and commercial fertilizer.
Compute and record the spread rates of the various materials applied. For each day
of operation, compute and record the spread rates at least once.
4-2105 4-2105 Seed Sampling
Seed Sampling Use the following guidelines for obtaining samples for testing.
4-2105A Scope
The purpose of seed testing is to get quality assurance data regarding the purity and
viability (germination) of seed. For accurate laboratory test results, seed must be
collected and handled to get representative samples. Samples submitted to the
laboratory that are not representative can result in inaccurate or erroneous test results.

4-2105B Size of Sample
For each seed lot greater than 2 pounds, take a seed sample of approximately 1 ounce
or cup.
4-2105C Procedure for Sampling
Before handling the seed sample, observe the following requirements:
Do not touch or sample fungicide-dyed seed, such as dyed red or green seed, or
seed labeled treated seed.
Use protective gloves when sampling seed.
Use clean gloves to avoid affecting the purity of the seed samples.
Avoid inhaling any dust.
When taking the seed sample:
Take a seed sample from a newly opened seed bag.
Do not mix samples from different seed species or seed lots.
Sample the seed by thrusting your gloved hand into the bag and withdrawing
representative portions.
Take at least seven equal portions of seed from various parts of the bag.
Place each portion in a clean container and visually examine the seed for
uniformity.
When the portions appear to be uniform, combine them in a glassine lined bag
provided by the contractor.
4-2105D Sample Preparation, Preservation, and Packaging
Sample preservation maintains the integrity of the sample from the time of collection
until the tests is performed.
Keep the samples in a suitable and shaded location. Avoid placing samples in a hot
or a damp location.
Identify the contents of each sample by placing the vendors original seed label in
each bag. Place a custody seal over the bag opening.
Protect the seed from damage. Package samples in a cardboard box with bubble
wrap or insulating peanuts. No additional preservation is necessary.
Include the following documentation:
1. Completed Form TL-0101, Identification Card.
2. Copy of the seed requirements from the project special provisions.
3. Seed vendors seed lot test results.
4. Copy of the vendors original seed label.
Send (within 24 hours) the sample and documentation via express mail to the Caltrans
contracted seed clearinghouse. The clearinghouse information is located at:
http://onramp.dot.ca.gov/hq/design/landscape/seed_testing/

4-2106 4-2106 Quality Assurance Seed Testing Results
Quality Assurance Consider the following areas when making determinations about seed.
Seed Testing Results
4-2106A Results
Quality assurance testing results will be provided through Caltrans contracted seed
clearinghouse.
The clearinghouse contacts the resident engineer by letter with the results of the quality
assurance testing in conformance with the specifications. Some potential issues are:
Species of seed on the seed label does not match the species in the special
provisions.
The percent total viability of the seed is lower than what is specified in the special
provisions.
The percent total weed identified on the vendor seed label is greater than what is
specified in the special provisions.
The presence of California prohibited noxious weeds is identified on the vendor
seed label or test results.
4-2106B Nonconformance Procedures
If the contractor fails to comply with the contract specifications for seed, enforce the
appropriate contract provisions to ensure compliance based on the nature and severity
of the situation. Refer to Section 6 [6-1.04], Control of Materials, in the Standard
Specifications.
Measurement and From the weight shown on the certified scale sheets, deduct any leftover straw not used
Payment in the work. If a weigh back certified weight is not available, you may use bale
counts and average bale weights for this purpose.
To determine pay quantities, you may use sack counts and sack weights. Make
accurate counts, and record them in the project records.
Determine the pay quantity of pure live seed using the germination and purity rates of
the bulk seed.

Section 22
Section 22 Finishing Roadway Finishing
Roadway
4-2201 General 4-2201
The contract item known as finishing roadway provides payment for the final General
cleanup operation within project limits and the right-of-way, so that the completed
project, upon acceptance, will be neat, presentable, and functional, as required by the
Standard Specifications. This contract item does not require any specific construction
work to be performed, but it does involve the performance of numerous small details.
This contract item should not be mistaken for clearing and grubbing activities.
The contract item includes such operations as grading slopes and contour areas to
remove vehicle tracks; obliterating haul roads; removing debris from the pavement;
removing trash and debris generated by construction activities; cleaning out culverts;
cleaning culvert markers, guideposts, and signs; removing construction stakes and lath
that present an unsightly appearance; and disposal of the material resulting from the
finishing roadway activities.
The contractor may request and be authorized to dispose of soil and rock generated by
the finishing activities within the project limits and right-of-way. Disposal of soil and
rock along the roadway should not affect the overall grading or functionality of the
roadway.
During the course of work, take the following steps: During the Course
of Work
As portions of the work near completion, review the site and begin noting items of
finishing roadway to be performed.
To be economical and help prevent delays in completing the contract, encourage
the contractor to finish work as it progresses.
Ensure the finishing operations do not result in material stockpiling on or drifting
across the finished pavement.
Keep a list of the cleanup details, and add to and subtract from the list as new
details develop or are completed. During the projects latter stages when final
cleanup operations can normally begin, give the contractor a written details list so
the contractor can plan to complete the list in an orderly and efficient manner. Do
not wait until the date the contractor requests contract acceptance before pointing
out these details.
If the contractor requests relief from maintenance and responsibility, as provided in
Section 5-1.38 [7-1.15], Maintenance and Protection Relief, of the Standard
Specifications, ensure the contractor has completed all the finishing roadway
details.
Ensure measures for permanent erosion control are installed as soon as finishing
roadway activities are completed.

Finishing Roadway 4-22.1
Measurement and In the daily report, record the activities the contractor performs to complete the
Payment finishing roadway item. Carefully segregate the finishing roadway work from the work
required to complete other items of work.

4-22.2 Finishing Roadway
Section 24 Stabilized Soils Section 24

Stabilized Soils
4-2401 General 4-2401
Stabilization of underlying soils is critical for successful pavement performance. General
Methods of stabilizing soils include reworking existing soils with or without additives,
or removal and replacement. One method of stabilizing soils is lime stabilization.
Lime stabilization increases the stability of native materials. It is particularly effective
for materials containing a large percentage of clay particles. Lime stabilization results
from spreading lime over the native material, thoroughly mixing it in place,
compacting it at an appropriate moisture content, and curing. The special provisions
specify the amount of lime to be added to the native material. If necessary, to achieve
the compressive strength designated in the special provisions, the resident engineer
may order an adjustment in the percentage of lime to be used.
Before work begins, take the following steps: Before Work
Begins
Obtain samples of the materials to be treated. Request the district materials unit to
run initial tests to determine the amount of lime required to meet the design
criteria. Advise the contractor of the percent of lime required and optimum
moisture content for each soil type.
If necessary, obtain samples of the water that will be mixed with the soil and lime,
and test the water for compliance with the specifications. Generally, potable water
will meet the specification requirements.
Verify that the contractors quality control laboratory is certified in accordance
with Caltrans Independent Assurance Program.
Obtain a lime sample with a certificate of compliance, including a statement
certifying the lime to be furnished is the same as on the Authorized Material
Source List.
Observe the preparation of the material that will be treated. Ensure the material is
scarified and thoroughly broken up to the width and depth specified. Make notes of
such inspections in the daily report.
If required by the specifications, observe a test strip that demonstrates the
contractors equipment and methods provide uniform distribution of lime and
achieve the specified compaction.
If necessary, prepare a change order to provide for the removal and disposal of any
oversized material.
Prohibit lime stabilization when ground temperature is below specified
temperature or expected to fall below specified temperature before mixing and
compaction can be completed.

Stabilized Soils 4-24.1
During the Course of Once work begins, do the following:
Work
Ensure the preparation of the material that requires stabilizing conforms to the
requirements in Section 24-2.01D(2) [24-1.04], Preparing Soil, of the Standard
Specifications.
For each delivery of lime, obtain the certificate of compliance and the certified
weigh slip. Obtain samples of the lime at the frequency rate shown in Section 6-1,
Sample Types and Frequencies, of this manual.
Observe the spreading of the lime to determine that the equipment and method
used meet the specified requirements.
Check the spread rate of the lime. When dry lime is spread, the rate of spread may
be checked by either of the following means:
1. Placing building paper on a section before spreading and then weighing the
material from a known length of spread (8 to 10 ft), similar to the drop pan or
calibration pan method.
2. Weighing the distributor before and after spreading a known length.
When lime is spread in a slurry, the rate is normally checked by either of the
following means:
1. Weighing the spreader before and after spreading.
2. Determining the volume of slurry spread for a known length and reducing the
resulting value to the weight of lime.
Prohibit any method of spreading lime that precludes determining the spread rate.
Record daily spread rates, both spot-check and overall, in the daily report.
Decide how far ahead of the mixing operation the lime may be spread and advise
the contractor accordingly. Base the decision on the variables involved in each
particular situation. The contractor must not spread the lime so far ahead of the
mixing operation that wind might blow it away. Neither must lime in a slurry form
be spread so far ahead of the mixing operation that it would dry before being
mixed.
After the spreading of the lime and until the end of the specified curing period,
prohibit any traffic, except equipment performing the work, from passing over the
native material.
During the mixing operation and throughout the mellowing period, sample and test
the material to ensure the moisture content exceeds the optimum required for
compaction.
Ensure rolling equipment meets specifications.
Make necessary measurements to ensure the thickness of each compacted layer
conforms to the specifications. Note the results of such measurements in the daily
report.
Test the mixture with a phenolphthalein alcohol indicator. If the reaction produces
a non-uniform color, require the contractor to perform additional mixing.

4-24.2 Stabilized Soils
Ensure the depth of mixing meets the required thickness of the stabilized material.
Where mixing depth exceeds the specified tolerance, ensure additional lime is
added proportionally. Note this in the daily report, including the additional lime
quantity provided at the contractors expense.
Ensure the contractor completes all mixing within the specified time.
After final mixing, ensure compaction begins within the specified time.
To determine maximum density, obtain samples of the mixed material, and test the
material before initial compaction.
Test for compaction in accordance with Section 24-2.03E [24-1.07],
Compaction, of the Standard Specifications.
Ensure any disputes regarding test result discrepancies follow Section
24-2.01D (7), Test Result Disputes, of the Standard Specifications.
Order trimming of any material above the grade tolerance, and ensure subsequent
rolling is performed.
Ensure the compacted surface is kept moist until the placement of a subsequent
layer or curing is applied.
Ensure the contractor uses one of the specified methods for curing. Also, obtain
necessary certificates of compliance and samples where a curing seal is used.
Ensure the contractor meets the time and temperature requirements for the curing
seal. Order any necessary repairs to the damaged curing seal.
Where a curing seal is used, decide the curing seals application rate, and advise
the contractor accordingly. Base the decision on an amount that will provide a
complete membrane without appreciable thickness. To ensure the correct
application rate, also check the curing seals spread rate. Record measured spread
rates in the daily report.
To determine the pay quantity for lime stabilization, make area measurements of the Measurement and
planned surface. Payment
At the point of delivery, collect weight slips for the lime. Deduct the weight of any
wasted or unused lime from the pay quantity for lime and document these quantities in
the daily report. If the contractor has added additional lime to compensate for depths
exceeding the specified allowance, make the required adjustment to the scale weights
of the lime.
Measure the quantity of curing seal in accordance with Section 94, Asphaltic
Emulsions, of the Standard Specifications. Payment for water cure or moist material
blanket curing methods is included within the lime stabilization pay item.

Stabilized Soils 4-24.3
Section 25
Section 25 Aggregate Subbases Aggregate
Subbases
4-2501 General 4-2501
Aggregate subbase is designated by class. The bid item list gives the class of aggregate General
subbase, and the Standard Specifications and special provisions provide the
requirements for each class.
Aggregate subbase is usually the lowest layer in the pavement structure, as shown in
the typical cross sections of the contract plans. Typical cross sections show the
thickness of aggregate subbase and layout sheets show where to place it.
Before placement begins, review contract plans and specifications to determine the Before Work
aggregate subbase requirements. For sampling and testing requirements, including Begins
frequency of testing, see Chapter 6, Sampling and Testing, of this manual.
Include the following steps in the preliminary review and inspections:
Verify the design R-value by testing the basement material at the grading plane to
verify the planned thickness shown in the pavement structure. Testing should be
completed early enough before the placement of aggregate subbase to allow time
for redesign if necessary. (See Topic 614.3, California R-Value in the Highway
Design Manual for a discussion of R-value and pavement structure design.)
Test potential sources of aggregate subbase when the contractor requests such
testing in writing. Deduct applicable Caltrans costs for sampling and testing from
contract payments as required under Section 6-2.04 [6-2.01], Local Materials, of
Review compaction tests of the subgrade that is to receive the aggregate subbase.
Examine the subgrade to ensure that it has not deteriorated since it was tested and
that it is still firm and stable. Give special attention to isolated areas where
pumping occurs.
Measure the subgrade grading plane for compliance with Section 19-1.03C
[19-1.03], Grade Tolerance, of the Standard Specifications. When measuring for
compliance, spot-check areas between stations where stakes are set, as well as the
staked locations. Determine the extent of this measurement based on factors such
as the nature of material, the efficiency of the contractors operation, and the
accuracy of the grading operation (as indicated during the early stages of
checking). The grade will be established from markings on the final grade stakes
that Caltrans Surveys set. (See the Staking Information Booklet for information on
state-furnished construction surveys.)
When subgrade is cohesionless soil and you decide that the subgrade is unstable
for placing aggregate subbase on the roadbed in layers or windrows, give the

Aggregate Subbases 4-25.1
contractor written permission to dump aggregate subbase in piles and spread
ahead.
Determine whether the contractor has complied with all requirements related to the
use of local materials. See Section 5-1.20B(4) [6-2.02], Contractor-Property
Owner Agreement, of the Standard Specifications.
During the Course During work operations, do the following:
of Work
Sample the aggregate subbase at the time it is deposited on the roadbed. Observe
delivered aggregate subbase to ensure that it is clean of debris and other deleterious
materials. For requirements related to material quality, perform the tests at the
frequencies shown in Section 6-1, Sample Types and Frequencies, of this
manual. The frequency table has a provision for waiving the testing for R-value,
but exercise caution when doing so. Previous tests must be current. For small
amounts (under 500 tons), data from other projects or information from your
districts laboratory is usually sufficient. On larger projects, consider using at least
one potential source or acceptance test as well as past experience on which to base
your decision. Include in the project records an explanation of why you waived R-
value testing.
Compare sand equivalent and grading test results with requirements for operating
range and contract compliance. (See Section 3-608A, Operating Range and
Contract Compliance, of this manual.) Note that the volume of aggregate subbase
represented by one test for contract compliance is less than that required for testing
frequency. It is prudent to take frequent samples, especially with borderline test
results, but test only at the frequency shown in the table in Section 6-1 of this
manual. If a test result fails to meet the requirement for contract compliance, you
may test additional previously taken samples to determine the quantity of material
represented by the failing test result.
Ensure that aggregate subbase is spread on the subgrade without significant
segregation. Normally, you would verify this step through observation, but if
problems persist, support your observations with a sieve analysis. If segregation is
taking place, it can sometimes be avoided by wetting the material before it is
hauled to the job or before spreading operations start. Watering and compacting go
hand in hand. It is important that the proper amount of water is evenly distributed
in the aggregate at the time of compaction.
Observe the spreading and compacting operation to ensure that it conforms to the
layer thickness requirements of the specifications.
Test the relative compaction of aggregate subbase layers using the area concept
procedures under California Test 231. Generally, if the operation is uniform and
within specifications, you may decrease testing frequencies.
Observe the compacting operation to ensure that the material forms a uniformly
firm, stable base.
Measure the surface of the finished aggregate subbase for conformance with
tolerances specified in Section 25-1.03D [25-1.05], Compacting, of the Standard
Specifications. Use the markings on the final grade stakes Caltrans set to determine
compliance with the planned elevation of the aggregate subbase surface. Require
corrective action for any deficiencies.

4-25.2 Aggregate Subbases
Measure the thickness of the completed aggregate subbase. Use your judgment to
determine the number of measurements necessary. The minimum acceptable
thickness equals the planned thickness minus the sum of the specified tolerance for
high subgrade and the specified tolerance for low finished aggregate subbase
surface. A thin section is acceptable if an increased thickness of the base material
placed above the aggregate subbase makes up the deficiency. The Standard
Specifications allow the engineer to accept a deduction for deficient thickness in
lieu of other corrective action. Caltrans policy is to ensure that thickness complies
with requirements by ordering corrective action if it is deficient. Therefore, apply
the deduction in only the most extenuating circumstances. Keep adequate records
for payments on progress pay and final estimates.
Note in the daily report any inspections performed on items that are not otherwise
part of a permanent record. For instance, you do not need to note any compaction
tests taken because these are recorded elsewhere. However, you do need to explain
in the daily report any absence of testing. You also need to note that construction is
being performed according to specified layer thicknesses, because this information
is not recorded elsewhere.
Review quantity calculations found in the resident engineers pending file to Measurement
determine if they are sufficiently detailed and accurate to be used in the project and Payment
records.
Calculate the aggregate subbase volume based on the dimensions shown on the
plans. Make quantity calculations as early in the project as possible.

Aggregate Subbases 4-25.3
Section 26 Aggregate Bases Section 26

Aggregate Bases
4-2601 General 4-2601
Aggregate base is designated as Class 2 or Class 3. The bid item list gives the class and General
unit of measurement, and the Standard Specifications and special provisions provide
the requirements for each class.
Typical cross-section sheets of the contract plans show the thickness and layer
placement of aggregate base within the pavement structure, and layout sheets show
where to place it.
Before placement begins, review the contract plans and specifications to determine the Before Work
aggregate base requirements. For sampling and testing requirements, including Begins
frequency of testing, see Chapter 6, Sampling and Testing, of this manual.
Include the following steps in the preliminary review and inspections:
If the pavement structure cross sections show aggregate base to be placed on soil,
verify the design R-value by testing the basement material at the grading plane to
verify the planned aggregate base thickness shown in the pavement structure.
Complete testing early enough before placement to allow time for any redesign
needed. (See Topic 614, Soil Characteristics, in the Highway Design Manual for
a discussion of R-value and pavement structure design.)
Test potential sources of aggregate base when the contractor requests such testing
in writing. Deduct applicable Caltrans costs for sampling and testing from contract
payments as required under Section 6-2.04 [6.02], Local Materials, of the
Review compaction tests of the subgrade that is to receive aggregate base.
Examine the subgrade to ensure that it has not deteriorated since it was tested and
that it is still firm and stable. Give special attention to isolated areas where
pumping occurs.
Measure the subgrade grading plane for compliance with elevation tolerance
requirements. When measuring for compliance, spot-check the staked locations
and areas between stations where stakes are set. Determine the extent of this
measurement based on factors such as the nature of material, the efficiency of the
contractors operation, and the accuracy of the grading operation (as indicated
during the early stages of checking). The subgrade tolerances can be found in the
specification for the subgrade material. The grade will be established from
markings on the final grade stakes that Caltrans Surveys set. (See the Staking
Information Booklet for information on Caltrans-furnished construction surveys.)

Aggregate Bases 4-26.1
When subgrade is cohesionless soil and you decide that the subgrade is unstable
for placing aggregate base on the roadbed in layers or windrows, you may give the
contractor written permission to dump aggregate base in piles and spread ahead.
Determine whether the contractor has complied with all requirements related to the
use of local materials. See Section 5-1.20B(4) [6-2.02], Contractor-Property
Owner Agreement, of the Standard Specifications.
During the Course During work operations, do the following:
of Work
Sample the aggregate base at the time it is deposited on the roadbed. Observe
delivered aggregate base to ensure that it is clean of debris and other deleterious
materials. For requirements related to material quality, perform the tests at the
frequencies shown in Section 6-1, Sample Types and Frequencies, of this
manual. The frequency table has a provision for waiving the testing for R-value,
but exercise caution when doing so. Previous tests must be current. For amounts
under 500 tons, data from other projects or information from your districts
laboratory is usually sufficient. On larger projects, consider using at least one
potential source or acceptance test as well as past experience on which to base your
decision. Include in the project records an explanation of why you waived R-value
testing.
Compare sand equivalent and grading test results with requirements for operating
range and contract compliance. See Section 3-608A, Operating Range and
Contract Compliance, of this manual. Note that the volume of aggregate base
represented by one test for contract compliance is less than that required for testing
frequency. It is prudent to take frequent samples, especially with borderline test
results, but test only at the frequency shown in the table in Section 6-1 of this
manual. If a test result fails to meet the requirement for contract compliance, you
may test additional previously taken samples to determine the quantity of material
represented by the failing test result.
If aggregate base will be paid for by weight, obtain the optimum moisture content
from the aggregate base moisture-density compaction curve and sufficient
moisture samples to determine pay quantity adjustments.
Ensure that the aggregate base is spread on the subgrade without significant
segregation. Normally you would verify this through observation, but if problems
persist, support your observations with a sieve analysis. If segregation is taking
place, it can sometimes be avoided by wetting the material before it is hauled to the
job or before spreading operations start. Watering and compacting go hand in
hand. It is important that the proper amount of water is evenly distributed in the
aggregate at the time of compaction.
Observe the spreading and compacting operation to ensure that it conforms to the
layer thickness requirements of the specifications. Note in the daily report any
wasting of material.
If payment is by weight, measure waste and deduct those quantities. Some material
may be lost during any trimming, and district personnel will decide when to
measure the trimmings. In general, measure trimmings when the cost of such
measurement does not exceed the anticipated deduction.

4-26.2 Aggregate Bases
Test the relative compaction of aggregate base layers using the area concept
procedures under California Test 231. Generally, if the operation is uniform and
well within specifications, you may decrease testing frequency.
Observe the compacting operation to ensure that the material forms a uniformly
firm, stable base.
Measure the surface of the finished aggregate base for conformance to tolerances
specified in Section 26-1.03D [26-1.05], Compacting, of the Standard
Specifications. Use the markings on the final grade stakes that Caltrans set to
determine compliance with the planned elevation of the aggregate base surface.
Require corrective action for any deficiencies.
Measure the thickness of the completed aggregate base. Use your judgment to
determine the number of measurements necessary. The minimum acceptable
thickness equals the planned thickness minus the sum of the specified tolerance for
high subgrade and the specified tolerance for low-finished aggregate base surface.
The Standard Specifications allow the engineer to accept a deduction for deficient
thickness in lieu of other corrective action. However, Caltrans policy is to ensure
that thickness complies with requirements by ordering corrective action if
thickness is deficient. Therefore, apply the deduction in only the most extenuating
circumstances. Keep adequate records for payments on progress payment and final
estimates. The type and frequency of measurement for your records will depend on
measurement and payment clauses of the contract.
Note in the daily report any inspections performed on items that are not otherwise
part of a permanent record. For instance, you do not need to note any compaction
tests taken, because these are recorded elsewhere. However, you do need to
explain in the daily report any absence of testing. You also need to note that
construction is being performed according to specified layer thicknesses, because
this information is not recorded elsewhere.
Review the quantity calculations in the resident engineers pending file to determine if Measurement and
they are sufficiently detailed and accurate to be used in the project records. Payment
If aggregate base is paid for by cubic yard, see the discussion of weighing and metering
procedures in Section 3-9, Payment, of this manual.
If aggregate base will be paid for by volume, calculate the volume based on the
dimensions shown on the plans. Make quantity calculations as early in the project as
possible.

Aggregate Bases 4-26.3
Section 27 Cement Treated Bases

4-2701 General
4-2703A Road-Mixed Cement Treated Base
4-2703B Plant-Mixed Cement Treated Base
4-2703C Depositing and Spreading Cement Treated Base
4-2703D Compacting Cement Treated Base

Cement Treated Bases 4-27.i
Section 27
Section 27 Cement Treated Bases Cement Treated
Bases
4-2701 General 4-2701
Cement treated base (CTB) is composed of a mix of aggregate, portland cement, and General
water. CTB specified as either Class A or Class B is generally used only with asphalt
pavements and can be either plant mixed or road mixed. However, plant mixed is most
common.
CTB can be spread by three allowable methods, Type 1, Type 2, or Type 3. The Bid
Item List and plans will specify the class and mix method and the special provisions
may specify the spread method.
Begins
Hold a preproduction meeting with the contractor and the district materials unit to
discuss the contractors method of operations.
From the bid item list, plans, and special provisions, determine the class of CTB
required and the percent of cement to be added to the aggregate.
For initial testing, obtain representative samples from the contractors source of
CTB aggregate, and test for the required quality. Compressive strengths of CTB
can vary significantly because of variations in aggregate gradation and the type of
cement used. The fine aggregate usually has the most variable effect on strength.
Advise the contractor that any significant material change, including variations in
gradation, must be covered by new tests for quality characteristics. Request
strength tests at 5 percent of cement and other percentages above and below 5
percent (usually in 0.5 percent increments). For aggregates of borderline quality,
consider making additional initial strength tests at varying gradations (within
specifications), using 5 percent cement.
For sources with reliable information on past performance, consider using such
information in lieu of testing. However, a test should always be made at 5 percent
for aggregate qualification.
Based on test results, decide whether the percent of cement specified in the special
provisions will produce the design strength in the finished product. When making
the decision, consider that, because of production variables, a significant difference
can exist between the strength indicated by a cylinder and the actual strength of the
finished product. Allowable variations in cement content and compaction
requirements are major contributors to differences between design and actual
strength. If it is difficult to determine the effect of production variables on final
strength, use the following guidelines:

Cement Treated Bases 4-27.1
1. Increase cement content if the 7-day compressive strength of initial samples is
less than approximately 1000 psi.
2. Decrease cement content if the 7-day compressive strength of initial samples
at the percent specified is more than approximately 1250 psi.
Verify that safe and convenient facilities have been provided for sampling cement.
Ensure the aggregate material source complies with Section 7-103L (2), Surface
Mining and Reclamation Act, of this manual
If the contractor will be batch mixing, examine the mixer before use and call to the
contractors attention any excessively worn or missing paddles.
Before spreading any CTB materials, ensure that the subgrade complies with
specifications and that the grade is free of loose or extraneous material. Record the
findings in the daily report, including any instructions to the contractor.
Determine that the asphaltic emulsion used for curing seal is the material specified,
and obtain necessary certificates of compliance and samples.
Decide on the application rate for the curing seal to be used, and advise the
contractor accordingly. Base the determination on an amount that will provide a
complete membrane without appreciable thickness. Ensure the application rate
conforms to requirements.
During the Course of During the work, do the following:
Work
Before mixing, obtain samples of the aggregate and test them for the specified
attributes in accordance with the frequencies shown in Section 6-1, Sample Types
and Frequencies, of this manual.
To evaluate the compressive strength of Class A CTB, obtain samples during the
first day of operation and approximately every fifth day of production thereafter. If
these tests reasonably match the anticipated results based on the initial tests, you
can reduce the frequency of the tests (unless a change in material is suspected or
the material sources were changed).
To determine compliance with permissible variations in cement content, obtain
sufficient samples for California Test 338, Determination of Cement or Lime
Content in Treated Aggregate by the Titration Method. Section 6-1, Sample
Types and Frequencies, of this manual states the frequency should be as
necessary for control. This frequency may vary depending on the efficiency of the
contractors operation and rate of production. At a minimum, assign one inspector
full time to run the titration tests while the operation is in full-time production. At
the start of operations or when problems persist, more effort may be required.
Determine whether compaction requirements are being met. It is Caltrans policy
to measure compaction separately for each lift whenever this separate
measurement is physically possible.

4-27.2 Cement Treated Bases
4-2703A Road-Mixed Cement Treated Base
For road-mixed CTB used during the course of work, do the following:
If you think the quantity being placed is insufficient to complete the required
structural section thickness, advise the contractor. Record any conversation in your
daily report.
Ensure the mixer introduces water by approved methods. To keep the resulting
mixture uniformly moist, the mixer should be able to accurately vary the water
rate. Advise the contractor to correct leaks or excessive water applications.
Observe the mixing operation to ensure the uniform distribution of cement and
water. When the mixer has a bottom shell or pan to pick up the material and
separate it from the mixing table, ensure the shell or pan picks up all the material
and doesnt cut into the subgrade.
Ensure the cement is spread by mechanical equipment that can be calibrated to
uniformly distribute the cement in the correct amount. Placing cement by hand
methods, such as by sacks, is unacceptable.
Take sufficient moisture tests to ensure the completed mixtures moisture content
will not fall below 1 percentage point from optimum before initial compaction.
For multilayer construction, ensure the contractor mixes and compacts each layer
separately.
4-2703B Plant-Mixed Cement Treated Base
For plant-mixed CTB used during the work, do the following:
To calibrate and check the accuracy of weighing and metering devices, request
assistance from the district weights and measures coordinator.
Ensure the contractor is adding water by a method that permits the amount or rate
to be verified. Obtain sufficient moisture tests to ensure the completed mixtures
moisture content does not fall below 1 percentage point from optimum at the point
of delivery to the work.
To detect any obvious faults, observe the mixing operation and the mixture. Time
the mixing operation to ensure it takes longer than 30 seconds. If observations or
tests indicate poor cement distribution, require a longer mixing cycle.
4-2703C Depositing and Spreading Cement Treated Base
During the depositing and spreading of CTB, do the following:
Ensure the contractor uses the specified type of spreading operation.
Generally, if loads are hauled in hot weather and if the haul takes more than 30
minutes, require covers on hauling units.
Spreading can be a separate operation from depositing or it can be combined in a
single operation with depositing. If spreading is a separate operation, ensure the
contractor complies with the requirements for uniform placement.
If you think the quantity being placed is insufficient to construct the required
structural section thickness, advise the contractor. Record any conversation in the
daily report.

Cement Treated Bases 4-27.3
Immediately before placing CTB, ensure the underlying material is moist but not
excessively wet.
Observe whether significant segregation is occurring. If problems persist, perform
additional tests to document the problem.
Observe the surface condition of any lower layer of CTB. Ensure the contractor
complies with moisture requirements for lower layers. Keep separate records for
any curing seal placed on lower layers.
Ensure the contractor uses satisfactory methods to place CTB in areas inaccessible
to mechanical spreading equipment. The end product must be homogeneous,
placed to the required thickness, and properly compacted.
Ensure the contractor complies with temperature requirements for spreading CTB.
4-2703D Compacting Cement Treated Base
During the compacting of CTB, do the following:
Measure the operations total time interval to ensure it conforms to Section
27-2.03G [27-1.08], Operation Time Requirement, of the Standard
Specifications.
To ensure compliance with compaction requirements, test each layer of multilayer
construction.
After the initial rolling, ensure the finished surface is within the specified tolerance.
Require the contractor to trim high spots and to meet the requirements for filling
low areas. Prohibit the contractor from filling low areas with loose material from
the trimming operation.
Ensure the equipment used for final compaction repairs any surface areas that the
trimming has torn or segregated.
To ensure compliance with the specified tolerance, measure the finished surface
with a straightedge.
Measurement and For measurement and payment, do the following:
Payment
Use change orders to cover ordered changes in the cement content.
Do not pay as CTB any excess material used at other locations.
When CTB is paid for by the ton, refer to the discussion of weighing and metering
procedures in Section 3-9, Payment, of this manual. Make any appropriate
deductions for excess moisture.
When CTB is to be paid for by the cubic yard, obtain quantity calculations from
the project engineer to determine if they are sufficiently detailed and accurate to be
used in the project records. Make appropriate deductions for any lack of
compliance with thickness specifications.
For more information about measuring curing seal, refer to Section 4-94,
Asphaltic Emulsions, of this manual.

4-27.4 Cement Treated Bases
Section 28 Concrete Bases Section 28

Concrete Bases
4-2801 General 4-2801
Lean concrete base is normally used under concrete pavement and is more rigid and General
less erodible than cement-treated base. The quality of aggregates for both bases is
similar. However, lean concrete base is proportioned, mixed, and placed in a manner
similar to concrete pavement while cement treated base is not.
The contractor must proportion the aggregate so that it meets the specified grading
requirements. The engineer determines the cement content to be used. For design
considerations for lean concrete base, see Chapter 660 of the Highway Design Manual.
Resident engineers need to plan carefully to fully meet the requirements for inspecting
and testing materials. When planning for the inspection of lean concrete base, consider
the following:
The production of lean concrete base.
The placing, finishing, and curing of the base.
The subgrade, specified equipment, and construction of joints for the base.
At the mixing plant, plant inspection specialists and acceptance testers who are not
directly assigned to the resident engineer usually perform inspection and testing duties.
However, the resident engineer is as responsible for enforcing the specifications at the
plant as at the job site. Thus, the resident engineer must ensure contract compliance at
the mixing plant as well as on-site. Good communication is essential between plant
inspection specialists and assistant resident engineers. The resident engineer must be
kept informed of test results in a timely manner.
This section focuses on the resident engineers onsite inspection duties. For
information on producing and transporting lean concrete base, see Section 4-90,
Concrete, of this manual.
Begins
For general requirements, review the Standard Specifications and plans. For any
special requirements, review the special provisions.
Review the Bid Item List quantity to verify accuracy.
Verify that Form CEM-3101, Notice of Materials to Be Used, includes the
aggregate, cement, and curing compound for lean concrete base. Refer to Section
6-202, Responsibilities for Acceptance of Manufactured or Fabricated Materials
and Products, of this manual for additional information.
Section 28-2.02 [28-1.01], Materials, of the Standard Specifications, specifies
the cement content for lean concrete base. After testing the contractors proposed

Concrete Bases 4-28.1
aggregate supply, the cement content may be increased. To test the proposed
aggregates in accordance with Section 28-2.02 [28-1.02], Materials, of the
Standard Specifications, take the following steps:
1. Obtain in writing the contractors proposed grading and source of aggregate.
2. Ensure the aggregate material source complies with Section 7-103L (2),
Surface Mining and Reclamation Act, of this manual.
3. At least 45 days before the planned start of lean concrete base, ensure that
samples of the proposed aggregates are obtained and shipped to the Office of
Engineering Materials and Testing Services (METS). Coordinate sampling
and shipping of samples with district materials laboratory personnel. It is the
resident engineer's responsibility to ensure this process has begun and is
completed in a timely manner to avoid delays to the project. The district
materials engineer may be a good initial contact.
4. METS may perform the required testing to determine cement content or it
may establish the cement content based on previous aggregate testing from the
same source. In either case, METS will notify the resident engineer of the
cement content to be used. In accordance with Section 28-2.04, "Payment," of
the Standard Specifications, if the amount is greater than the specified content,
prepare a change order to provide an adjustment in compensation.
Should the contractor change the supply source, repeat the procedure for
determining cement content.
Examine equipment or tools to be used for placement following the steps listed
below. When obvious inadequacies exist, advise the contractor and enter the
details in the daily report.
1. For sideform construction:
a. Examine the forms to ensure they have the specified attributes for items
such as composition, weight, dimensions, and rigidity. Before each use,
ensure the forms are cleaned and oiled.
b. Ensure the installation of the forms complies with specifications. Before
the placement of concrete, order any necessary corrective work.
c. Ensure the paving equipment complies with specifications.
2. For slipform construction, ensure the paver has the specified attributes.
Require the specified demonstration of satisfactory operation and note such
activity in the daily report.
3. To ensure the contractor meets the requirements for protecting the base,
examine all equipment that will travel on the completed base.
Just before the start of paving, check the accuracy of the final grade stakes.
Inspect the subgrade to ensure it conforms to the tolerances specified for
compaction and elevations. Ensure that any low areas are identified and will be
filled with additional base and that any high areas are trimmed as specified.
Additional thickness is paid for as part of the lower layer and must not be included
when calculating base thickness.
When slipform pavers are used, inspect the grade upon which the paver will ride to
determine if it is smooth enough to prevent abrupt vertical changes in the finished

4-28.2 Concrete Bases
surface. When the paver controls the grade and alignment by a wire, sight along
the wire for any obvious variations, and order necessary corrections. Ensure the
wire is tensioned sufficiently so no measurable sag occurs between the supporting
stakes. Advise the contractor if you anticipate any problems. Keep in mind that the
contractor is responsible for compliance with thickness and grade requirements.
Check the facilities proposed for producing and transporting lean concrete base.
Section 4-90, Concrete, of this manual covers the items involved.
Ascertain the curing methods and type of material the contractor proposes to use.
Discuss with the contractor the requirements for labeling and packaging the curing
compound.
The material specified for curing depends on whether the overlying surface will be
concrete pavement or hot mix asphalt (HMA) pavement. When the overlying
surface is concrete pavement, the specifications require a much higher percentage
of paraffin wax in the curing compound than that required for an overlying surface
of HMA pavement.
The curing compound required when the overlying surface is concrete pavement
serves a dual purpose. It both cures the lean concrete base and also, after the
pavement is placed, provides a bond-breaking membrane between the pavement
and base. The bond breaker is very important if cracks and the longitudinal
weakened plane joint in the lean concrete base are to be prevented from reflecting
through the concrete pavement.
Examine the equipment to be used for applying the curing compound to determine
whether it meets specifications.
Before paving begins, ensure equipment for constructing longitudinal weakened
plane joints is onsite and conforms to specifications.
Confirm placement dates with the contractor and arrange Caltrans personnel for
plant inspection and testing.
If paving or finishing operations will extend beyond daylight hours, ensure the
project has adequate lighting before the contractor begins placing the lean concrete
base.
When the project requires long hauls, review the contractors proposed placement
method to ensure adequate time.
Before placing the lean concrete base, ensure the subgrade is uniformly moist.
Once work begins, take the following steps: During the Course
of Work
Before mixing, obtain samples of the aggregate. Also, in accordance with the
frequency shown in Section 6-1, Sample Types and Frequencies, of this manual,
test for the specified attributes. Initially, and in the case of borderline material, take
and save additional samples. In case the first samples tested do not meet the
requirements for contract acceptance, the extra samples may be tested to determine
the extent of the failing material.
When the results of grading or sand equivalent tests, or both, are outside the limits
for contract compliance, determine whether the lean concrete base represented by
the tests is structurally adequate. When lean concrete base is left in place, even

though it does not comply with the contract, the specified payment by the
contractor must be made by administrative deduction. Document the reasons for
leaving the concrete in place, and notify the contractor of your decision and the
deduction amount.
Prior to mixing and placement of concrete base, ensure the subgrade is not frozen
and the ambient temperature exceeds the minimum specified.
As it is placed, observe the lean concrete base for any improper proportions or
inadequate mixing. In the daily report, record the reasons for rejecting any lean
concrete base and the approximate amount rejected.
Ensure the contractor furnishes the required tachometer. Also, check to ensure that
frequencies are as specified. Immediately replace inoperative vibrators.
To ensure the correction of any problems related to mixing or hauling, maintain
good communication with the engineers who inspect operations at the mixing
plant. For more detailed information about transporting concrete and receiving
load tickets at the delivery point, see Section 4-90, Concrete, of this manual.
Obtain samples of the plastic concrete, and perform penetration and air content
tests in accordance with the frequencies shown in Section 6-1, Sample Types and
Frequencies, of this manual.
Compressive strength tests of the lean concrete base are only necessary to confirm
design assumptions. For information, it is recommended that you test compressive
strength near the start of placing lean concrete base.
Ensure the material for longitudinal weakened plane joints is placed to the
dimensions specified. Also, ensure the contractor vibrates the lean concrete base to
cause an even flow of material about the joint.
Ensure the construction of a contact joint whenever an interval exists that is greater
than the specifications allow between the placement of any two successive loads of
lean concrete base.
When the contractor uses side form construction, ensure screeding and tamping
conform to the specifications. Where the hand-float method is permissible, ensure
the contractor uses the specified floats and methods.
Ensure the surface of the lean concrete base is textured as specified. Lean concrete
base to be surfaced with HMA pavement must have a rough texture to prevent
slippage between surfacing and base. Lean concrete base to be surfaced with
concrete pavement must have a smooth texture to allow the pavement to adjust for
early thermal and moisture changes without forming random cracks.
Ensure the contractor uses the proper material for curing the lean concrete base.
Ensure shipments of curing compound are labeled and packaged as specified. If
the compound is shipped in tanks or tank trucks, obtain a copy of the shipping
invoice, and verify that the invoice contains the specified information. Prohibit the
use of an improperly identified curing compound until it has been sampled and
tested. For details about these procedures, see Section 6-2, Acceptance of
Manufactured or Fabricated Materials and Products, of this manual.
As required under Section 6-1, Sample Types and Frequencies, of this manual,
obtain samples of the curing compound for acceptance tests.

4-28.4 Concrete Bases
Ensure the curing compound is properly agitated before and during application to
achieve complete mixing. Also, observe that the compound is applied as a uniform
membrane at the specified time. Ensure any disturbed areas receive additional
curing compound.
Ensure that the curing compound is not contaminated, diluted, or altered in any
way before application, that it is applied when surfaces are still visibly moist, and
that the compound film remains unbroken during the specified curing period.
To determine the curing seals application rate, perform both measurements and
calculations. You may also use California Test 535, Determining the
Application, to determine the application rate. Record such measurements in the
daily report.
Ensure curing compound is applied at an ambient temperature above the minimum
specified.
When specified, require additional applications of curing compound.
Measure the finished surface of the lean concrete base. Record the measurements,
and require the specified corrections for areas not meeting elevation requirements.
Ensure high areas are addressed immediately. For high areas that have been
ground, ensure the curing compound is reapplied as specified.
Enforce the requirements in Section 28-2.03F [7-1.02], Curing, of the Standard
Specifications, which covers the use of the completed lean concrete base by traffic
or the contractors equipment.
Using the dimensions shown on the plans, calculate the quantity of lean concrete base Measurement and
for which payment must be made. In these calculations, account for curves in Payment
alignment by using curve corrections.

Section 29 Treated Permeable Bases

4-2901 General
4-2903A Asphalt-Treated Base
4-2903B Cement-Treated Permeable Base
4-2903C Protection
4-2903D Surface Tolerance

Treated Permeable Bases 4-29.i
Section 29
Section 29 Treated Permeable Bases Treated
Permeable
4-2901 General 4-2901
Treated permeable base, used under concrete pavement and under hot mix asphalt General
(HMA) pavement, provides a highly permeable drainage layer within the structural
section. It also provides part of the strength of the base layer.
The special provisions specify the type of treatment, either asphalt or cement. Many of
the requirements for producing and placing treated permeable bases are also those
specified for HMA pavement, concrete, and concrete pavement.
During this preliminary inspection, take the following steps: Before Work Begins
Review the contract plans and specifications to determine the requirements for the
treated permeable base.
Obtain samples of aggregates to test for contract compliance. If the same source is
used to produce aggregate for other Caltrans work, decide whether current test
reports represent the material to be used. If so, initial sampling and testing can be
waived.
Examine the contractors plant and storage areas to determine contract compliance.
Section 4-39, Hot Mix Asphalt, and Section 4-90, Concrete, of this manual
provide guidelines.
Review compaction tests of the subgrade that is to receive treated permeable base.
Determine if the material underlying the grading plane meets compaction
requirements. Also ensure that the grading plane is firm and stable. Pay special
attention in isolated areas where pumping occurs. Determine that the subgrade is
free of loose or extraneous material and that the subgrade is not higher than the
grade established by the engineer, plus tolerance. Spot-check areas both between
stations where stakes are set as well as at staked locations.
Verify that filter fabric meets specifications.
Review planned locations of cross-drain interceptors. (Refer to Sheet D99D of the
Standard Plans.) Ensure the interceptors are properly located to prevent
impounding water under the pavement. Inspect the placement of filter fabric. See
Section 4-68, Subsurface Drains, of this manual for information about
underdrains.
Examine spreading and compacting equipment to determine contract compliance.
Determine that the atmospheric temperature meets the specified minimum before
spreading begins.
Determine that the subgrade is uniformly moist before spreading cement-treated
permeable base (CTPB).

Treated Permeable Bases 4-29.1
During the Course of During the work, follow the inspection steps listed within each of the four areas below:
Work
4-2903A Asphalt-Treated Permeable Base
Determine which compaction method the contractor plans to use.
Check the temperature of the asphalt-treated permeable base (ATPB) to ensure that
compaction is performed within the specified temperature range.
Take samples of the completed mix from trucks at the plant or from the mat behind
the paver.
Verify that filter fabric is placed on the high side of the ATPB blanket in
accordance with the plans and specifications.
During placement of the ATPB over edge drains, verify that the temperature of the
material falls within the limits specified in Section 68-4.03 [68-3.03],
Construction, of the Standard Specifications, which covers the installation of
subsurface drains. Staying below the maximum limit is critical to prevent damage
to the edge drains.
4-2903B Cement-Treated Permeable Base
Verify that the contractor meets the time and temperature requirements for mixing
and transporting CTPB.
Reject any segregated or non-uniformly mixed CTPB.
Observe rolling to determine that compaction meets specifications.
Determine that the base is cured as specified.
Verify that filter fabric is placed on the high side of the CTPB blanket in
accordance with the plans and specifications.
During placement, ensure the cement does not plug the openings in the edge
drains.
4-2903C Protection
Contamination, filling voids with foreign material, will destroy the bases function. The
engineer should be alert to this problem and require the contractor to take steps to
ensure the base remains free of any foreign material.
Do not allow any equipment on the completed mat except what is permitted in Section
5-1.37 [7-1.02], Maintenance and Protection, of the Standard Specifications.
4-2903D Surface Tolerance
For the finished surface of treated bases, the specifications provide for tolerances above
and below the grade established by the engineer. Check the finished surface as
described for subgrade under Before Work Begins in this section. Record the results,
and require the specified corrections for low or high areas. You may have to decide
whether low-treated permeable base is removed and replaced or allowed to remain in
place by correcting with specified pavement materials. Information in Chapter 650 of
the Highway Design Manual may be used to determine the adequate thickness of
treated permeable base layers. If low-treated permeable base is left in place, ensure the
contractor compensates for the deficiency in the thickness of the overlying pavement.

4-29.2 Treated Permeable Bases
Calculate the quantities for treated permeable bases from the dimensions shown on the Measurement and
plans, adjusted by the amount of any changes ordered by the engineer. The volume of Payment
treated permeable base placed for edge drains and cross-drain interceptors is included
in the payment for edge drains.

Treated Permeable Bases 4-29.3
Section 37 Bituminous Seals

4-3701 General
4-3702 Seal Coats
4-3702A Before Work Begins
4-3702B During the Course of Work
4-3702C Measurement and Payment
4-3703 Slurry Seal
4-3704 Micro-Surfacing
4-3705 Parking Area Seal
4-3706 Crack Treatment

Bituminous Seals 4-37.i
Section 37
Section 37 Bituminous Seals Bituminous
Seals
4-3701 General 4-3701
Section 37, Bituminous Seals, of the Standard Specifications covers seal coats, slurry General
seals, micro-surfacing, parking area seal and crack treatment.
Seal coats are either fog seals, an application of slow-setting asphaltic emulsion with
added water, or asphaltic emulsion and screenings (commonly known as chip seals).
Flush coat is the application of a fog seal to the surface of a seal coat, followed by the
application of sand.
Slurry seal is a mixture of graded fine aggregate, asphaltic emulsion or polymer
modified asphaltic emulsion, water, and set-control additives. Micro-surfacing is a
mixture of micro-surfacing emulsion, water, additives, mineral filler, and screenings.
This section discusses the duties of resident engineers and assistant resident engineers
regarding seal coats, slurry seals, micro-surfacing, parking area seal and crack
treatment.
Bituminous seals are primarily used to maintain existing asphalt concrete pavement.
Bituminous seals on new work are generally limited to fog seal on asphalt concrete
dikes, miscellaneous areas, and shoulders.
Refer to Tack Coats for Bituminous Seals, in the Tack Coat Guidelines at the
following website:
http://www.dot.ca.gov/hq/construc/publications/tackcoatguidelines.pdf
4-3702 Seal Coats 4-3702
The following covers the duties required throughout each phase of the project for seal Seal Coats
coats.
Before work begins, take the following steps:
Review the contract to determine the type of bituminous seal required. Note the
particular type of bituminous binder to be used, and the requirements for
aggregates. Decide whether any conditions have changed from those upon which
the design engineer based the requirements, and make any necessary changes.
For asphalt rubber seal coats, verify that the contractor has submitted the permits
issued by the local air quality agency for asphalt rubber binder:
1. Field blending equipment
2. Application equipment
If an air quality permit is not required by the local air quality agency for producing
asphalt rubber binder or spray applying asphalt rubber binder, submit verification

Bituminous Seals 4-37.1
from the local air quality agency that an air quality permit is not required for the
contract.
Verify that Form CEM-3101, Notice of Materials to Be Used, includes seal coat
materials. Refer to Section 6-202, Responsibilities for Acceptance of
information.
Mining and Reclamation Act, of this manual.
Obtain the name of the authorized laboratory in charge of quality control testing
for modified emulsion seal coat.
Obtain initial samples of screenings, asphaltic emulsions, modified emulsions, and
test for all of the quality characteristics. Advise the contractor of test results.
Examine the surface to be sealed. Prepare a change order to provide for any
necessary corrective action, such as sealing cracks and repairing failed areas. At
this stage, a joint review with the maintenance region manager or area
superintendent would be helpful.
Review the project to ascertain all requirements for handling traffic. Review with
the contractor the required traffic control system and traffic control devices.
Decide on and advise the contractor of the exact application rates of screenings and
bituminous binder that will be used.
For fog seal, decide on the water amount to be added to asphaltic emulsion. The
quantity to be added must be based on the judgment and experience of field
personnel. Take into account the permeability of the surface to be sealed, climatic
conditions anticipated at the time of application, traffic, and desired spread rate.
Unless circumstances dictate less, use the maximum amount permitted. This
approach makes it easier to obtain a correct and uniform spread, especially when
lighter spread rates are used.
Determine temperatures and ensure that bituminous seals are not placed when the
applicable atmospheric or pavement temperatures are below the minimum
temperatures specified.
Review the latest weather reports daily, and have a means established for making
contact with the contractors authorized representative before 4:00 p.m. on the day
before the intended workday. Note that the specification for notification of
anticipated unsuitable day conditions applies to both fog seals and chip seals.
Prepare a change order, if it becomes necessary, to pay for standby time.
Determine whether the surface to be sealed is clean and dry. Ensure the contractor
cleans the surface to remove all loose particles of pavement, dirt, and other
extraneous material.
Examine distributor trucks, chip spreaders, rollers, and other equipment to ensure
that specifications are met.

4-37.2 Bituminous Seals
Once work begins, take the following steps:
Obtain the required test report for each truckload of asphaltic emulsion. Compare
the report with the specifications. Do not permit the emulsion to be used before
testing unless a certificate of compliance accompanies it.
Obtain samples of the asphaltic emulsion in accordance with the frequency tables
in Section 6-1, Sample Types and Frequencies, of this manual. For emulsion
used in fog seals, it is preferable to take samples of the emulsion before adding
water. If this approach is impractical, note on the sample form the amount of added
water (that is, how many parts of water to how many parts of emulsion).
From the delivered aggregate material, obtain samples and test them for sieve
analysis and cleanness value in accordance with the frequency tables in Section
6-1 of this manual.
Just before spreading, determine the temperature of the liquid asphalt or emulsion
to ensure it falls within the specified range. Note such temperatures in the daily
report and also on source documents, if volumetric measurements are to be used to
determine pay quantities.
Obtain the weight slip for each load of liquid asphalt or emulsion. If the load has
been hauled a long distance and job scales are available, it is good practice to
weigh the load in using the job scales and, after spreading, to weigh the load out on
these same scales.
Unless the screenings are at the work site and ready to be applied, prohibit the
contractor from spreading the emulsion.
To check the spread rate for asphaltic emulsion, measure the volume in the
distributor truck tank before and after spreading the asphaltic emulsion for the first
few hundred feet. Then, calculate the rate for that distance. Calculate and record
the overall daily spread rate in the daily report.
Through observation, ensure the application of asphaltic emulsion is uniform, both
transversely and longitudinally. If the spread does not appear to be uniform, order
the correction of spreading equipment. If problems persist, perform California Test
339, Field Test for the Determination of Distributor Spread Rate, and before
allowing the operation to continue, require corrective action.
Require the contractor to keep the distributor truck close to the chip spreader.
Good practice is to place screenings within 30 seconds after the bituminous binder
has been spread. Screenings must be placed before setting or breaking of the
asphaltic emulsion occurs. This setting or breaking is indicated by a change in
color from brown to black.
Determine whether screenings are damp at the time of application, as required in
the specifications; when necessary, order wetting.

Observe the coat of screenings behind the chip spreader. If necessary, order an
adjustment in the screening spread rate. The figure below shows the desirable
quantity of asphalt and void required to correctly embed the aggregate.
If the chip spreader is moving excessively fast, chips will roll over as they come in
contact with the emulsion. As a result, public traffic and roller tires will pick up the
chips. If chips are being turned over, check behind the spreader and order a
reduced speed.
Ensure the contractor does not spread the binder and screenings more than 2500
feet ahead of the initial rolling.
Ensure the contractor performs the rolling in the specified order and required
number of roller coverages.
Adjust the spread rate of screenings to prevent pickup by rollers or traffic.
However, prohibit a higher spread rate than necessary. Excessive screenings will
increase cost and the difficulty of cleanup operations.
Ensure the contractor discontinues spreading bituminous binder sufficiently early
in the shift to permit the termination of traffic control before darkness.
Ensure the contractor performs brooming as specified. Before allowing
uncontrolled traffic in adjacent lanes, ensure the removal of all loose chips. The
most common cause of damage by loose chips results from vehicles in an adjacent
lane throwing the chips. During brooming, ensure lanes adjacent to chip-sealed
lanes remain free of loose screenings. During maintenance, order the seal coat to
be swept as often as necessary to keep the surface free of loose screenings.
Decide whether excess screenings should be salvaged and stockpiled or otherwise
disposed of, and advise the contractor of the decision. Unless they are
economically useful, screenings should not be salvaged.
Observe the completed application of screenings and order immediate application
of additional screenings or clean sand to cover any excess bituminous binder that
rises to the surface.
For processing any related damage claims, consult with the district claims officer
when the following conditions exist:

1. Damage has been caused by screenings or bituminous binder.
2. The contract contains provisions for deducting funds from contract payments
to pay for damage claims.
For measurement and payment, do the following:
Collect weight slips from each truck as it delivers screenings to the chip spreader.
When screenings are stockpiled before spreading, obtain weight slips for trucks
delivering screenings to stockpiles. Determine the weight of unused screenings
remaining in stockpiles so that the weight of unused material may be deducted
from the delivered weight. From the weight of screenings to be paid for, do not
deduct the weight of excess screenings removed from the roadway and disposed
of.
Collect weight slips and weigh-back slips for trucks delivering asphaltic
emulsion or liquid asphalt. When additional water is added to asphaltic emulsion,
calculate the amount to be deducted from the original weight, using the ratio in the
original mix of asphaltic emulsion to water.
For compensation adjustment for price index fluctuations for asphaltic emulsion, refer
to Section 9-1.07, Payment Adjustments for Price Index Fluctuations, of the
Standard Specifications and perform the following:
Verify that the contractor has not opted out of payment adjustments for price index
fluctuation at the time of bid.
Process a change order to allow for payment increases and decreases.
Calculate on a monthly basis the amount of asphalt used in asphaltic emulsion or
polymer modified emulsion including flush coat.
Calculate a paving asphalt adjustment if the California Statewide Crude Oil Index
for the current month has fluctuated more than the specified amount from the same
index for the month the bid opening occurred. Include the asphalt price adjustment
in the monthly estimate.
4-3703 Slurry Seal 4-3703
The following covers the duties required throughout each phase of the project for slurry Slurry Seal
seal.
Verify that Form CEM-3101, Notice of Materials to Be Used, includes slurry
seal materials. Refer to Section 6-202, Responsibilities for Acceptance of
information.
Review the mix design and laboratory tests from the contractor. After determining
that the mix design and test results conform to the requirements in Section
37-3.01D(4)(b) [37-2.03], Mix Design, of the Standard Specifications, authorize
the mix design. Determine the percentage of asphalt binder to be used and notify
the contractor.

Obtain the name of the laboratory authorized to perform International Slurry
Surfacing Association tests and mix design.
Obtain initial samples of the aggregate and test the aggregate for the specified
quality characteristics. Advise the contractor of the test results.
Examine the proposed mixing equipment to ensure compliance with the
specifications. Mixer-spreader trucks must be calibrated for each material source in
accordance with the Caltrans Material Plant Quality Program (MPQP). Request
assistance from the district weights and measures coordinator for calibrating and
checking the accuracy of weighing and metering devices.
Discuss with the contractor the proposed operation, and determine the method for
measuring the weight of aggregate and asphaltic emulsion.
Advise the contractor of the exact spread rate to be used.
If required under the contract, ensure the pavement surface to be treated has been
coated with the specified asphaltic emulsion. Advise the contractor of the exact
application rate and water amount to be added.
Obtain the required test report for each truckload of asphaltic emulsion. Compare
the report with the specifications. Do not permit the emulsion to be used before
testing unless a certificate of compliance accompanies it.
Before mixing, take samples of the aggregate for testing.
If the results of grading or sand equivalent tests fail to meet the specifications,
order the removal of the slurry seal represented by the failing tests. When the
contractor requests in writing that the material remain in place, decide whether to
reject the represented material or to allow it to remain in place. If you allow the
material to remain in place, your decision must be based on the results of a
physical examination of the slurry seal. Look for evidence of bleeding, raveling,
stripping, or other deficiencies. Notify the contractor in writing of your decision.
Also, if you allow the material to remain in place, calculate the deduction based on
the amount of material represented by the failing test result, and deduct the amount
from future progress payments.
Observe the mixing operation to ensure the ordered proportions are being used.

To determine the bitumen ratio and uniformity of mixing, submit samples of the
completed mix to the district laboratory. Place samples in tightly closed containers
to prevent moisture loss before testing.
Make the necessary measurements and calculations to ensure the contractor
spreads the slurry seal at the ordered rate.
Review the completed slurry seal to determine if it meets the requirements of
Section 37-3.03B [37-2.04], Proportioning, of the Standard Specifications.
As specified, order the contractor to protect fresh slurry seal from traffic damage.
To protect the fresh slurry seal, sand may be applied to the surface at intersections
and driveways as specified.
The quantity of slurry seal to be paid for is the combined quantity of asphaltic
emulsion and aggregate. Because of the type of equipment used and the nature of
the slurry seal operation, it is usually impossible to weigh both components
together. Separately determine the mass of asphaltic emulsion and aggregate, and
add the two results together to determine the pay quantity.
As necessary to determine pay quantities, collect weight tickets for aggregate and
asphaltic emulsion. You may use properly sealed and calibrated metering devices
to determine pay quantities. When converting volume measurements of asphaltic
emulsion to mass, make the appropriate corrections for temperature.
When slurry seal is allowed to remain in place even though it failed the grading or
sand equivalent tests, make the appropriate administrative deduction.
For compensation adjustment for price index fluctuations for slurry seal refer to
Section 9-1.07, Payment Adjustments for Price Index Fluctuations, of the Standard
Specifications and perform the following:
Calculate on a monthly basis the amount of asphalt used in slurry seal polymer
modified emulsion.
4-3704 Micro-Surfacing 4-3704
The following covers the duties required throughout each phase of the project for Micro-Surfacing
micro-surfacing.

Verify that Form CEM-3101, Notice of Materials to Be Used, includes micro-
surfacing materials. Refer to Section 6-202, Responsibilities for Acceptance of
information.
Obtain the name of the laboratory authorized to perform International Slurry
Surfacing Association tests for mix design.
Review the mix design and laboratory tests submitted by the contractor before start
of the placement. The mix design report should include comparison of each
materials test result to the specification requirements. If the mix design and test
results conform to the requirements in Section 37-3.01D(4)(c), Micro-surfacing
of the Standard Specifications, authorize the mix design.
Obtain the name of the authorized laboratory in charge of laboratory report and
mix design testing.
Obtain initial samples of the aggregate, and test for the specified quality
characteristics. Advise the contractor of the test results.
Obtain the name of the contractors authorized representative responsible for
communicating about the unsuitable day which prevents micro-surfacing
operations.
Examine the proposed mixing equipment to ensure compliance with the
specifications. Mixer-spreader trucks must be calibrated for each material source in
accordance with the Caltrans MPQP. Verify equipment MPQP certification or
request assistance from the district weights and measures coordinator for
calibrating and checking the accuracy of weighing and metering devices.
Advise the contractor of the exact spread rate to be used.

Obtain the required test report for each truckload of micro-surfacing asphaltic
emulsion. Compare the report with the specifications. Do not permit the emulsion
to be used before testing unless a certificate of compliance accompanies it.
Before mixing, take samples of the aggregate for testing.
If the results of grading or sand equivalent tests fail to meet the specifications,
order the removal of the micro-surfacing represented by the failing tests. When the
contractor requests in writing that the material remain in place, decide whether to
reject the represented material or to allow it to remain in place. A decision to allow
the material to remain in place must be based on the results of a physical
examination of the micro-surfacing. Look for evidence of bleeding, raveling,
stripping, or other deficiencies. Notify the contractor in writing of the decision.
Also, if the material is allowed to remain in place, calculate the deduction based on
the amount of material represented by the test result, and deduct the amount from
future progress payments.
Observe the mixing operation to ensure the ordered proportions are being used.
completed mix to the district laboratory. Place samples in tightly closed containers
to prevent moisture loss before testing.
Make the necessary measurements and calculations to ensure the contractor
spreads the micro-surfacing at the ordered rate.
Review the completed micro-surfacing to determine if it meets the requirements of
Section 37-3.03B(3), Micro-Surfacing, of the Standard Specifications.
The quantity of micro-surfacing to be paid for is the combined quantity of
asphaltic emulsion and aggregate. Because of the type of equipment used and the
nature of the micro-surfacing operation, it is usually impossible to weigh both
components together. Separately determine the mass of asphaltic emulsion and
aggregate, and add the two results together to determine the pay quantity.
When micro-surfacing is allowed to remain in place even though it failed the
grading or sand equivalent tests, make the appropriate administrative deduction.
For compensation adjustment for price index fluctuations for micro-surfacing seal refer
to Section 9-1.07, Payment Adjustments for Price Index Fluctuations, of the
Standard Specifications and perform the following:

Calculate on a monthly basis the amount of asphalt used in micro-surfacing
emulsion.
4-3705 4-3705 Parking Area Seal
Parking Area Seal The following covers the duties required throughout each phase of the project for
parking area seal.
Obtain the name of the authorized laboratory in charge of testing at least 10 days
before the start of the placement.
Obtain initial samples of the aggregate samples 15 days before starting the
placement.
Obtain the manufacturers product data for oil seal primer and polymer at least 10
days before starting the placement.
Obtain test results and mix design at least 7 days before the placement.
Review the mix design and laboratory tests submitted by the contractor before start
of the placement. The mix design report should include comparison of each
materials test result to the specification requirements. If the mix design and test
results conform to the requirements in Section 37-4.02, Materials of the
Standard Specifications, authorize the mix design.
Verify that Form CEM-3101, Notice of Materials to Be Used, includes seal
information.
Ensure all the utility inlets are covered with heavy paper or roofing felt adhered to
the surface of the inlet.

During the course of work, take the following steps:
Obtain the required test report for each truckload of parking area seal. Compare the
report with the specifications. Do not permit the seal to be used before testing
unless a certificate of compliance accompanies it.
Ensure the pavement surface to be treated has been dampened.
Verify that a certificate of compliance accompanies each load of parking area seal.
undiluted parking area seal material to the district laboratory. Place samples in
tightly closed containers to prevent moisture loss before testing.
The quantity of parking seal to be paid for is the combined weight of asphaltic
emulsion and aggregate without added water and set control additive. Because the
materials are mixed at a plant, it is important to have a proportioning record from
the plant.
For compensation adjustment for price index fluctuations for parking area seal, refer to
Section 9-1.07, Payment Adjustments for Price Index Fluctuations, of the Standard
Specifications, and perform the following:
Calculate on a monthly basis the amount of asphalt used in the asphaltic emulsion
in the parking area seal.
4-3706 Crack Treatment 4-3706
The following covers the duties required throughout each phase of the project for crack Crack Treatment
treatment.
Verify that Form CEM-3101, Notice of Materials to Be Used, includes crack
treatment materials. Refer to Section 6-202, Responsibilities for Acceptance of

information.
Verify the receipt of a certificate of compliance for each load of crack treatment
material if it is on the authorized material list. If the crack treatment material is not
on the authorized material list, obtain samples and authorized laboratory test results
20 days before use.
Obtain the name of the laboratory authorized to perform material testing.
Review laboratory tests from the contractor and determine if the material test
results conform to the requirements in Section 37-5.02, Materials, of the
Standard Specifications. Advise the contractor of the test results.
Examine the proposed equipment to ensure compliance with the specifications and
discuss with the contractor the proposed operation.
Determine whether the crack to be treated is clean and dry. Ensure the contractor
cleans the cracks to remove all loose particles of pavement, dirt, and other
During the course of work, take the following steps:
Verify the receipt of a certificate of compliance for each load of crack treatment
material if it is on the authorized material list.
Ensure the contractor removes crack material that is spilled or deposited on the
pavement surface.
Observe the application of crack treatment material using approved equipment.
If the crack treatment is tacky before opening to traffic have the contractor apply
sand or the manufacturers recommended detackifying agent.
Crack treatment is paid for by lane mile measured along the edge of each paved
lane parallel to the pavement centerline.

Section 39 Hot Mix Asphalt

4-3901 General
4-3901A Warm Mix Asphalt
4-3901B Rubberized Hot Mix Asphalt
4-3901C Paving Personnel
4-3901D Hot Mix Asphalt Construction Processes
4-3902A General
4-3902B Job Mix Formula Submittal
4-3902C Job Mix Formula Review
4-3902D Job Mix Formula Verification
4-3902D (1) General
4-3902D (2) Verification Process for Open-Graded Friction Course
4-3902D (3) Verification Process for Type A, Type B, and Rubberized Hot Mix Asphalt-Gap Graded
4-3902D (4) Unverified Proposed Job Mix Formula
4-3902D (5) Adjusted Job Mix Formula
4-3902E Job Mix Formula Renewal
4-3902F Job Mix Formula Acceptance
4-3902G Quality Control Quality Assurance Process
4-3902H Plant Operations
4-3902I Antistrip Treatment of Aggregates
4-3902I (1) Lime Treatment of Aggregates
4-3902I (2) Marination of Lime Treated Aggregates
4-3902I (3) Liquid Antistrip Treatment
4-3902J Prepaving Conference
4-3902K Paving Operations
4-3903A General
4-3903A (1) Quality Control
4-3903A (1a) Standard Process
4-3903A (1b) Method Process
4-3903A (1c) Quality Control Quality Assurance Process
4-3903A (2) Quality Assurance
4-3903A (3) Quality Control Quality Assurance
4-3903A (4) Dispute Process
4-3903B Production Startup Evaluation
4-3903C Plant Operations
4-3903C (1) Antistrip Treatment of Aggregates and Hot Mix Asphalt
4-3903C (1a) Marinated Lime Treated Aggregate

Hot Mix Asphalt 4-39.i
4-3903C (1b) Hot Mix Asphalt Aggregate TreatmentSlurry Method
4-3903C (1c) Hot Mix Asphalt Aggregate TreatmentDry Lime Method
4-3903C (1d) Liquid Antistrip Treatment
4-3903C (2) Production Startup Evaluation
4-3903C (3) Hot Mix Asphalt Production
4-3903C (3a) Batch Plants
4-3903C (3B) Continuous Mixing Plants
4-3903C (4) Plant Weighing Systems
4-3903C (5) Hot Mix Asphalt Storage
4-3903C (6) Hot Mix Asphalt Transporting
4-3903D Paving Operations
4-3903D (1) Atmospheric and Pavement Temperature
4-3903D (2) Tack Coat
4-3903D (3) Transporting and Spreading
4-3903D (4) Production Startup Evaluation Samples
4-3903D (5) Sampling and Testing Hot Mix Asphalt
4-3903D (6) Compaction
4-3903D (6a) Method Process Compaction
4-3903D (6b) Compaction Determination by CoresStandard and Quality Control Quality
Assurance Processes
4-3903D (7) Smoothness
4-3903D (8) Miscellaneous Areas and Dikes
4-3903D (9) Fog Seal Coat
4-3903D (10) Open to Traffic
4-3904 Contract Administration
4-3904A Acceptance Testing and Evaluation
4-3904A (1) Acceptance Test Results Outside Specified Limits
4-3904A (2) Two Consecutive Acceptance Test Results Outside Specification Limits
4-3904B Testing for Significant Difference
Table 4-39.1 Precision Index
4-3904C Certificates of Compliance
4-3904D Quality Control Quality Assurance Process
4-3905A Quality Control Quality Assurance Process Payment Adjustment
4-3905B Standard Process Payment Adjustment for Core Density
4-3905C Compensation Adjustment for Price Index Fluctuation
4-3905D Payment After Dispute Resolution for Independent Third Parties
4-3905E Compensation and Contract Time for Delays
4-3906 References and Resources
4-3906A References
4-3906B Resources

4-39.ii Hot Mix Asphalt
Section 39 Hot Mix Asphalt Section 39

Hot Mix Asphalt
4-3901 General 4-3901
Section 39, Hot Mix Asphalt, of the Standard Specifications provides material and General
construction requirements for various types of hot mix asphalt (HMA) including Type
A, Type B, rubberized hot mix asphalt (RHMA), open-graded friction course, and hot
mix asphalt with additives such as hot mix asphalt (all types) with warm mix asphalt
(WMA) technology. In this section, unless the term WMA is specified, the term hot
mix asphalt refers to all mixtures of aggregate and asphalt regardless of the mixing or
placing temperature.
Unless specified, all requirements of Section 39 of the Standard Specifications
including smoothness requirements apply to all types of HMA.
Construction of Quality Hot Mix Asphalt Pavements, published by the Asphalt
Institute, contains information on the uses of various types of asphalts and the design
and production of hot mix asphalt. All personnel responsible for hot mix asphalt should
familiarize themselves with this publication.
4-3901A Warm Mix Asphalt
WMA technologies allow production plants to produce hot mix asphalt at temperatures
of 50 to 100F below the traditional mixing temperature. Reductions in mixing
temperature have the benefits of cutting fuel consumption and decreasing the
production of greenhouse gases, with engineering benefits of better compaction on the
road, the ability to haul paving mix for longer distances, and extending the paving
season by being able to pave at lower temperatures.
WMA technologies are divided into three categorieschemical admixture, organic
admixture, and mechanical (foaming). At this time, Caltrans focuses on better handling
and compaction achieved by using any of the approved technologies. Section
39-related standard special provisions mainly define WMA as hot mix asphalt
produced at a temperature no greater than 275F using one of the approved
technologies. Hot mix asphalt with WMA technology is defined as hot mix asphalt
produced at a temperature greater than 275F using an approved technology. The
contract will specify the approved technology used in production of hot mix asphalt.
4-3901B Rubberized Hot Mix Asphalt
Rubberized hot mix asphalt (RHMA) is produced by mixing asphalt rubber and
aggregate. Asphalt rubber is specified to include 18 to 22 percent crumb rubber
modifier (CRM) by total mass of the asphalt rubber blend. The CRM must also include
25 percent (2 percent) high natural rubber content scrap rubber by mass of the CRM
that may come from scrap tires or other sources. Caltrans requires use of extender oil as
an asphalt modifier in asphalt rubber. RHMA includes RHMA-G (gap graded),
RHMA-O (open graded), and RHMA-O-HB (open graded high binder).

Hot Mix Asphalt 4-39.1
4-3901C Paving Personnel
Producing hot mix asphalt pavement requires a partnership among Caltrans, the plant
producing the hot mix asphalt, and the contractor placing the hot mix asphalt. The
resident engineer must clearly communicate assignments of responsibility and
commensurate authority for all Caltrans personnel, both at the job site and at the plant.
Plant inspection and testing is essential to ensure quality hot mix asphalt. A plant
inspector at the hot mix asphalt plant usually performs the inspection and testing duties
for the resident engineer. However, the resident engineer is responsible for enforcing
contract specifications at the plant. The resident engineer must be kept informed of test
results in a timely manner so appropriate contract administration action can be taken.
The paving inspector should have completed both Hot Mix Asphalt Basics and Hot
Mix Asphalt Inspection training courses before assignment as the hot mix asphalt
paving inspector. In addition, the paving inspector must be qualified on California Test
125, Methods of Test for Sampling Highway Materials and Products Used in the
Roadway Structural Sections, Appendix D, Bituminous Materials.
4-3901D Hot Mix Asphalt Construction Processes
Hot mix asphalt may be placed using the standard, method, or quality control quality
assurance (QCQA) process. The process is specified in the projects special provisions.
The processes are related to the level of quality control testing required for the project.
Standard processthe contractor performs quality control testing, and Caltrans
performs acceptance testing.
Method processCaltrans performs acceptance testing, and that the contractor
performs process control testing for aggregate moisture content, aggregate and
reclaimed asphalt pavement moisture content, reclaimed asphalt pavement aggregate
gradation and asphalt content, and asphalt rubber binder viscosity.
QCQA processthe contractor is responsible for plant inspection, paving inspection,
and quality control sampling and testing. Caltrans must monitor contractor inspection
and quality control testing for compliance with the specifications. Caltrans must
perform acceptance inspection, sampling and testing.
4-3902 4-3902 Before Work Begins
Before Work Begins Section 39, Hot Mix Asphalt, of the Standard Specifications requires the contractor
to submit a job mix formula for all types of hot mix asphalt except for hot mix asphalt
used for minor hot mix asphalt and miscellaneous areas and dikes. For standard and
QCQA processes, the contractor must have a quality control plan for hot mix asphalt
production and placement.
The contractor must use accredited laboratories and qualified testers, in accordance
with the Independent Assurance Manual, for the contractor mix design used to
determine job mix formula and for QCQA process quality control testing. Hot mix
asphalt plants must comply with the Material Plant Quality Program (MPQP).
4-3902A General
Before the work begins, the resident engineer will:
Determine the type of hot mix asphalt specified for the project and review the
plans and the special provisions. The special provisions specify the type of hot mix

4-39.2 Hot Mix Asphalt
asphalt, aggregate size, asphalt binder grade, and construction process (standard,
method, or QCQA) to be used.
Review the project specifications measurement and payment clauses and
determine what records must be kept.
4-3902B Job Mix Formula Submittal
Review the documents in the contractors job mix formula submittal information (see
below) to ensure they are complete. Notify the contractor immediately if the submittal
is incomplete.
Form CEM-3511, Contractor Job Mix Formula Proposal, documents target
values for aggregate sieves, percent of asphalt binder, and source information for
all hot mix asphalt component materials. If applicable, Form CEM-3511 will also
include the percentage of reclaimed asphalt pavement and antistrip treatment
method.
Form CEM-3512, Contractor Hot Mix Asphalt Design Data, documents the
testing data developed by the mix design laboratory. If Form CEM-3513,
Caltrans Hot Mix Asphalt Verification, is not attached, the completed mix
design Form CEM-3512 must be dated within the last 12 months.
Form CEM-3513, if submitted, documents Caltrans verification test results for the
proposed job mix formula. Form CEM-3513 must have been signed by an
engineer (preferably the district materials engineer) within 12 months of the start of
planned hot mix asphalt production.
Material Safety Data Sheets in accordance with Section 39-1.03C, Job Mix
Formula Submittal, of the Standard Specifications.
4-3902C Job Mix Formula Review
The resident engineers review process includes:
Reviewing the contractors proposed job mix formula submitted on Form
CEM-3511 for compliance with Section 39, Hot Mix Asphalt, of the Standard
Specifications and additional requirements in the special provisions. Notify the
contractor immediately if the proposed job mix formula does not comply with the
specifications.
Reviewing the contractors proposed job mix formula submitted on Form
CEM-3511 to verify the asphalt binder supplier is on Caltrans list of approved
suppliers. If the asphalt binder supplier is not on Caltrans list of approved
suppliers, notify the contractor that asphalt binder supplied for the project must
comply with Section Q, Requirements for Suppliers Supplying Asphalt Without a
Certificate of Compliance, in the Certification Program for Suppliers of Asphalt.
If HMA is produced using WMA technology, verify the WMA technology is
approved by the Department by going to:
http://www.dot.ca.gov/hq/esc/approved_products_list/
If the submitted job mix formula proposal complies with the specifications, notify
the contractor within 5 days of submittal that:
1. The job mix formula is accepted if Form CEM-3513 was issued within
12 months of proposed hot mix asphalt production. The resident engineer
signs and returns Form CEM-3511.

2. The job mix formula must be verified if Form CEM-3513 was not issued
within 12 months of proposed hot mix asphalt production. The resident
engineer requests that the contractor give notice for when hot mix asphalt will
be produced for verification and notifies the district materials engineer.
3. For open graded friction course hot mix asphalt if Form CEM-3513 was not
issued within 12 months of proposed hot mix asphalt production, the resident
engineer requests that the contractor give notice for sampling of aggregate,
binder, and additives.
4-3902D Job Mix Formula Verification
4-3902D (1) General
The contractor takes the following steps related to job mix formula verification for all
types of mixes.
If the proposed job mix formula has not been verified within 12 months of production,
the contractor must furnish material samples according to Section 39-1.03C, Job Mix
Formula Submittal, of the Standard Specifications, including:
Coarse, fine, and supplemental aggregate from stockpiles, cold feed belts, or hot
bins. Samples must include at least 120 pounds for each course aggregate, 80
pounds for each fine aggregate, and 10 pounds for each type of supplemental fines.
Reclaimed asphalt pavement from stockpiles or reclaimed asphalt pavement
system (if used). Samples must be at least 60 pounds.
Asphalt binder from the binder supplier. Samples must be in two 1-quart
cylindrical shaped cans with open top friction lids.
Asphalt rubber binder with the components blended in the proportions to be used.
Samples must be in four 1-quart cylindrical shaped cans with open top friction lids.
Antistrip additives if used.
The resident engineers verification process includes:
Receiving notification from the contractor at least 2 business days before sampling
material so that an inspector may be present during the sampling.
Witnessing the contractor sampling hot mix asphalt and component materials.
Shipping the samples immediately to the district materials laboratory. They will be
processed according to the instructions included on Form TL-0101, Sample
Identification Card. The TL-0101 should be marked Priority and include Job
Mix Formula Verification Sample under Remarks.
Providing job mix formula verification results to the contractor on Form
CEM-3513 within 20 days of receiving all samples.
4-3902D (2) Verification Process for Open-Graded Friction Course
For samples of aggregate, asphalt binder, and additives, if applicable:
Request that the district materials lab determine if the aggregates comply with the
contract quality requirements.
Request that the district materials laboratory determine asphalt binder content
under California Test 368, Method of Test for Optimum Bitumen Content (OBC)
for Open Graded Friction Course.

Within 20 days of material sampling, Caltrans will determine asphalt binder
content and provide the contractor with Form CEM-3513.
Within 20 days of receipt of a complete job mix formula submittal and material
sampling, the resident engineer signs and returns the accepted or rejected job mix
formula on Form CEM-3511, with Form CEM-3513 attached, to the contractor
immediately following receipt of Form CEM-3513 from the district materials
laboratory.
4-3902D (3) Verification Process for Type A, Type B, and Rubberized Hot Mix
Asphalt-Gap Graded
If the contractors job mix formula proposal has not been verified, the contractor must
provide aggregate and hot mix asphalt verification samples from the plant that will be
used for the project. The contractor samples in accordance with California Test 125,
Methods of Test for Sampling Highway Materials and Products Used in the Roadway
Structural Sections.
Samples are obtained at the following locations:
Aggregates are sampled from cold feed belts or hot bins.
Reclaimed asphalt pavement, if used, is sampled from the reclaimed asphalt
pavement system.
Hot mix asphalt is sampled at the plant, in a truck, from a windrow, the paver
hopper, or on the mat behind a paver.
Test verification samples for compliance with the specifications. Refer to Section
39-1.03E, Job Mix Formula Verification, of the Standard Specifications.
If required by the special provisions, also perform California Test 371, Method of
Test for Resistance of Compacted Bituminous Mixture to Moisture Induced Damage.
Use the test result for reporting only, not for specification compliance.
Ensure that the proposed job mix formula is verified by the district materials laboratory
within 20 days of sampling hot mix asphalt or when requested in writing by the
contractor within 3 business days for rubberized hot mix asphalt. Verification is done
when the district materials engineer completes and returns Form CEM-3513 to the
resident engineer. Form CEM-3511 must also be completed by the resident engineer
and returned to the contractor along with Form CEM-3513 within this time frame.
For HMA using WMA technology:
Obtain the result and a tested sample set for AASHTO T 324 from the contractor.
Verify the HMA compliance with the mix design requirements for both AASHTO
T 324 and California Test 371.
Verify RHMA-G-WMA quality requirements within 5 business days.
4-3902D (4) Unverified Proposed Job Mix Formula
If the district materials laboratory does not verify the proposed job mix formula:
The resident engineer notifies the contractor in writing on Form CEM-3511 of the
rejected job mix formula, attaching Form CEM-3513, Caltrans Hot Mix Asphalt
Verification, with Caltrans verification test results.

The contractor may submit a new job mix formula on Form CEM-3511 with a
new Form CEM-3512, or the contractor may adjust the job mix formula on Form
CEM-3511 with allowable adjustments specified in Section 39-1.03E, Job Mix
Formula Verification, of the Standard Specifications.
If the contractor disputes Caltrans verification test results, ensure that the
contractor complies with Section 39-1.06, Dispute Resolution, of the Standard
Specifications.
4-3902D (5) Adjusted Job Mix Formula
The contractor may adjust the job mix formula to meet the specifications. Justification
for any adjustments outside the target values shown on Form CEM-3512 must be listed
on the modified Form CEM-3511.
If the adjusted job mix formula proposal complies with the specifications, arrange with
the contractor a time to witness the sampling of plant produced hot mix asphalt.
Ensure that the proposed job mix formula is verified by the district materials laboratory
within 20 days of sampling hot mix asphalt or when requested in writing by the
contractor or within 3 days of sampling rubberized hot mix asphalt. Verification is
done when the district materials engineer completes and returns Form CEM-3513 to
the resident engineer. Form CEM-3511 must also be completed by the resident
engineer and returned to the contractor with Form CEM-3513 within 20 days of
sampling hot mix asphalt.
If the district materials laboratory does not verify the adjusted proposed job mix
formula, notify the contractor in writing on Form CEM-3511 and attach Form CEM-
3513 with Caltrans verification test results.
If the adjustment failed to resolve the job mix formula verification problem, the
contractor may propose a new job mix formula or dispute Caltrans test results in
accordance with Section 39-1.06, Dispute Resolution, of the Standard Specifications.
4-3902E Job Mix Formula Renewal
A verified job mix formula is good for only 12 months so the contractor may request a
job mix formula renewal if the hot mix asphalt production will be stopped for more
than 30 days or the contractor wants to use the accepted job mix formula on another
contract.
The contractor takes the following steps for job mix formula renewal:
Submits the proposed job mix formula on Form CEM-3511, attaching the
previously verified job mix formula on Form CEM-3513, and the mix design
information for previously verified job mix formula on Form CEM-3512.
Notifies the resident engineer prior to sampling materials.
Samples materials at the locations and quantities shown in Section 4-3902D, Job
Mix Formula Verification, of this manual. Hot mix asphalt must be sampled at
the location approved in writing by the resident engineer.
Submits Form CEM-3514, Contractor Job Mix Formula Renewal. Contractors
use Form CEM-3514 to submit to the resident engineer their test results for
renewal of hot mix asphalt job mix formula.

The resident engineers job mix formula renewal process includes:
Reviewing the proposed job mix formula on Form CEM-3511. Refer to Section
4-3902C, Job Mix Formula Review, of this manual. If the submitted job mix
formula proposal complies with the specifications, the resident engineer notifies
the contractor within 5 days that split sampled hot mix asphalt and component
materials must be provided.
Witnessing the contractor sampling hot mix asphalt and component materials.
Take possession of the material samples and hold until receiving contractor test
results.
Reviewing the information on Form CEM-3514 to confirm that the contractor test
results comply with the specifications. When the test results indicate that the
sampled and tested hot mix asphalt complies with the specification, request that the
district materials laboratory perform hot mix asphalt verification testing.
Shipping material samples to the district materials laboratory if the contractors test
results on Form CEM-3514 comply with the specifications. They will be
processed according to the instructions on Form TL-0101, Sample Identification
Card. The TL-0101 should include Job Mix Formula Renewal Verification
Sample under Remarks.
Providing job mix formula verification results to the contractor on Form
CEM-3513 within 30 days of receiving Form CEM-3514 from the contractor.
4-3902F Job Mix Formula Acceptance
Job mix formula acceptance requires the following:
Review and acceptance of submitted Form CEM-3511, with Form CEM-3512
attached.
Completed Form CEM-3513 within 12 months of proposed hot mix asphalt
production.
4-3902G Quality Control Quality Assurance Process
Contact the district QCQA coordinator for updated information and assistance.
Review the quality control plan for compliance with the requirements in the Quality
Control Manual for Hot Mix Asphalt.
Within 5 business days of quality control plan submittal, notify the contractor in
writing of quality control plan acceptance or rejection. If the plan is rejected,
provide written comments regarding deficiencies.
The resident engineer and contractor must input the initial project information into
the statistical evaluation program (HMA Pay) that will be used for the project.
Contact the district QCQA coordinator for statistical evaluation program (HMA
Pay) assistance or training. Contact the headquarters QCQA coordinator for
additional assistance if necessary.
The QCQA statistical evaluation program (HMA Pay) is available online:
http://www.dot.ca.gov/hq/construc/hma/

4-3902H Plant Operations
Hot mix asphalt plants, in accordance with Section 39-1.08A, General, of the
Standard Specifications must be qualified under the MPQP.
Before production begins, take the following steps related to hot mix asphalt plant
operations:
Verify with the district weights and measures coordinator that the proposed hot
mix asphalt plant is Caltrans-qualified under the MPQP. Batch hot mix asphalt
plants must be qualified annually, and continuous hot mix asphalt plants must be
qualified at least every 6 months, in accordance with Chapter 1, Section II-C,
Frequency, of the MPQP.
If the hot mix asphalt plant is not qualified, notify the contractor in writing and
provide the contact information for the district weights and measures coordinator.
The contractor must give the district weights and measures coordinator 5 business
days notice to schedule hot mix asphalt plant qualification.
Accept hot mix asphalt for up to 14 days from a non-qualified plant if startup
approval has been granted in writing by the district weights and measures
coordinator.
4-3902I Antistrip Treatment of Aggregates
Hot mix asphalt may be sensitive to moisture damage and require antistrip treatments.
The treatment method can be either lime treatment (by slurry application or by dry lime
applied to damp aggregate) or liquid antistrip. For the standard and the method
processes, the special provisions will specify the treatment method if it is required. For
the QCQA process, the treatment method will be determined by the contractor based
on the results of California Test 371, Method of Test for Resistance of Compacted
Bituminous Mixture to Moisture Induced Damage. For the QCQA process, the
special provisions will include all three antistrip treatment methods that may be chosen
by the contractor based on test results.
When California Test 371 is required and the result is less than 70, the contractor must
test the proposed hot mix asphalt aggregate blend for plasticity index in accordance
with California Test 204, Method of Tests for Liquid Limit, Plastic Limit and
Plasticity Index of Soils. When California Test 204 indicates clay is present in the
aggregates, the plasticity index is used to determine the type of antistrip treatment.
Refer to the special provisions for the treatment method allowed.
4-3902I (1) Lime Treatment of Aggregates
There are two methods for lime treatment of aggregates:
Hot Mix Asphalt Aggregate Lime TreatmentSlurry Method
Hot Mix Asphalt Aggregate Lime TreatmentDry Lime Method
Reclaimed asphalt pavement used in the production of hot mix asphalt does not need to
be lime treated.
Quality characteristic acceptance test limits for aggregate properties are based on
untreated aggregates. Therefore, aggregate quality control and acceptance testing must
be performed on aggregate samples taken before lime treatment.
During lime treatment, the sand equivalent test is used to signal a change in the
presence of clays. If sand equivalent values decrease significantly, the plasticity index

of the aggregate blend must be tested to ensure that it continues to be in the acceptable
range listed in the special provisions.
If clays are present in the aggregate blend, both lime treatment methods must be
followed by marination.
For lime treated aggregates, before lime treatment begins, take the following steps:
Verify with the district weights and measures coordinator that the proposed lime
treatment plant is Caltrans-qualified under the MPQP.
Verify the lime proportions for the fine and coarse aggregate or for the combined
aggregates shown on the job mix formula.
During lime treatment, take the following steps:
Obtain aggregate samples from stockpiles in accordance with California Test 125,
Methods of Test for Sampling Highway Materials and Products Used in the
Roadway Structural Sections, to field test for moisture content and sand
equivalent at the frequency shown in Table 6-1.12, Materials Acceptance
Sampling and Testing Requirements: Hot Mix Asphalt, in Section 6-1, Sample
Types and Frequencies, of this manual.
Test aggregate samples for sand equivalent at the frequency shown in Table
6-1.12. Combine aggregate from individual stockpiles in the job mix formula
proportions to test for sand equivalent. If the sand equivalent test result exceeds the
specified limits, immediately notify the resident engineer.
It is good practice to test aggregate samples for moisture content in accordance
with California Test 226, Method of Test for Moisture Content of Soils and
Aggregates by Oven Drying, or California Test 370, Method of Test for
Determining Moisture Content of Bituminous Mixtures or Graded Mineral
Aggregates Using Microwave Ovens, because moisture influences proportioning.
The plant inspector should confirm that the contractor is performing sampling and
testing for moisture content at a frequency shown in Section 39-1.04D,
Aggregate, of the Standard Specifications.
Obtain aggregate samples from stockpiles or aggregate belts before lime treatment
in accordance with California Test 125. Sample aggregates at the frequency shown
in Table 6-1.12, Materials Acceptance Sampling and Testing Requirements: Hot
Mix Asphalt, in Section 6-1, Sample Types and Frequencies, of this manual for
aggregate acceptance testing.
Label each aggregate sample with the contract number, date, type of mix,
aggregate gradation (1/2 inch), aggregate source, hot mix asphalt producer, and
producers mix identification number. Indicate the number of tons produced when
the sample was taken.
Test aggregate at the frequency shown in Table 6-1.12. For samples that will be
shipped to the district material laboratory or field construction laboratory for
testing, complete Form TL-0101, Sample Identification Card. Follow the
instructions printed in the form booklet and the information in Section 6-103,
Field Sampled Material Identification for Testing, of this manual. Record the
type of mix, the hot mix asphalt producer, and the producers mix identification
number. Check the acceptance tests box on the TL-0101. Under Remarks,
identify the tests to be performed:

1. Los Angeles Rattler.
2. Percent of crushed particles course aggregate.
3. Percent of crushed particles fine aggregate.
4. Fine aggregate angularity.
5. Flat and elongated particles.
6. Other aggregate properties specified in the project special provisions, if
applicable.
If any test results exceed the specified limits, the materials laboratory will
immediately notify the resident engineer.
Ensure that the aggregate treatment is adequate by witnessing contractor quality
control testing, and be sure the contractor enters into a log the treatment data
specified in the special provision.
For each day of aggregate lime treatment, obtain the treatment data log in
electronic format for the resident engineers project files.
4-3902I (2) Marination of Lime Treated Aggregates
Marination of the lime treated aggregates must be done when required in the special
provisions or for the QCQA process if California Test 371 indicates treatment is
necessary and California Test 204 indicates that the plasticity index is from 4 to 10.
Lime treated aggregate must marinate at least 1 and no more than 60 days before using
it in hot mix asphalt production. If rain is anticipated during the marination period, the
contractor must protect the stockpiles. If the lime treated aggregate has been exposed to
rain, inspect the stockpiles. If aggregate lime coating has been damaged significantly,
reject the aggregate. If only the outside surface of the stockpile has been damaged,
require that the contractor remix the piles to redistribute the lime.
4-3902I (3) Liquid Antistrip Treatment
This treatment process requires the addition of the liquid antistrip to asphalt binder
during hot mix asphalt production.
Before production begins, take the following steps related to liquid antistrip treatment:
Verify with the district weights and measures coordinator that the proposed liquid
antistrip metering device and storage tank are Caltrans-qualified under the MPQP.
Verify that the liquid antistrip is the same type and brand as shown on the accepted
job mix formula.
4-3902J Prepaving Conference
Before work begins, the resident engineer holds a prepaving conference with the
contractor to discuss hot mix asphalt production and placement:
Review the accepted job mix formula and check that Form CEM-3513, Caltrans
Hot Mix Asphalt Verification, has been signed by Caltrans within the last 12
months.
Confirm that the accepted job mix formula has not changed.

Discuss with the contractor what atmospheric and pavement temperatures the
contractor has chosen that would result in a notification to stop production of hot
mix asphalt at the plant.
Discuss method of incorporating WMA technology.
Discuss with the contractor pavement areas to receive safety edge and construction
methods to be used.
Discuss with the contractor pavement areas to receive shoulder backing and
construction methods to be used.
Verify if the contractor intends to use a tapered notch wedge device to construct
the longitudinal joint. The tapered notch wedge can be used only on a divided
highway.
Ensure that the type of spreading equipment proposed by the contractor has the
necessary attributes for the project. Permit wing-type spreading equipment only for
areas not requiring an asphalt paver, and then only for such widths (typically less
than 5 feet) that will not adversely affect the surfacing on the traffic lane.
Ensure that rollers have the specified attributes. For method process, ensure that
the specified number of rollers will be used based on the type of hot mix asphalt
being placed.
Determine the frequency for standard and QCQA core sampling (at least once
every 5 business days).
Discuss the contractors method (for example, ski device) to produce smooth
pavement that meets the specifications. Determine how smoothness quality control
will be accomplished, if a straightedge will be available, and who on the paving
crew is responsible for using it.
Determine the type of tack coat the contractor has chosen to use, based on
expected atmospheric conditions, tack coat material type availability, and local
experience. Also, discuss the contractors proposed application rates and how far
in advance of the paving operation the tack coat will be placed. For additional
information about tack coats and the website for Tack Coat Guidelines, refer to
Section 4-3906A, References, of this manual.
Emphasize that public traffic will not be allowed on pavement with tack coat and
discuss how the contractor will apply additional tack coat to damaged areas
immediately before placing hot mix asphalt.
Confirm that the trucks used for tack coat application have the specified attributes.
For distributor attributes, refer to Section 93, Liquid Asphalts, of the Standard
Specifications.
For standard and QCQA processes discuss:
The contractors quality control plan.
The contractors communication between the quality control manager and
production and placement personnel.
How the contractor will transmit required inspection and testing reports.
How the resident engineer will transmit required test results.

With the contractor, discuss who has responsibility in the field to:
Monitor hot mix asphalt temperatures.
Monitor atmospheric temperatures.
Monitor pavement temperatures.
Direct hot mix asphalt truck drivers when loads must be tarped.
Define the length of windrow, if applicable.
Direct the hot mix asphalt plant to slow down or stop loading trucks because of
truck queuing.
Stop production when two consecutive quality control test results do not comply
with the specifications.
Discuss the type of action that will be taken by the contractor when:
The hot mix asphalt plant shuts down unexpectedly.
The hot mix asphalt paver breaks down.
The hot mix asphalt compaction equipment breaks down.
Atmospheric or pavement temperature drops.
Ensure that the contractor has coordinated any necessary cold-planing operations; signs
for construction area drop-offs, shoulder, and uneven pavement; and temporary
pavement delineation, if applicable.
Review with the contractor the production startup evaluation requirements for the first
750 tons of mix. For standard and QCQA processes, the contractor must report test
results within 3 business days of sampling.
4-3902K Paving Operations
Before work begins, take the following steps related to hot mix asphalt paving
operations:
Review Placing Hot-Mix Asphalt in Construction of Quality Hot Mix Asphalt
Pavements, published by the Asphalt Institute.
Ensure that the subgrade has been prepared as specified. If any hot mix asphalt
leveling is required to smooth out an existing irregular surface, inform the
contractor and determine the method of payment.
Determine if crack sealing or digouts (removing and replacing existing pavement)
are required to repair small areas. When contract items are not included, inform the
contractor of any extra work for crack sealing or digouts. Refer to Maintenance
Technical Advisory Guide for more information about crack sealing or digouts.
For standard and QCQA processes, review the accepted contractors quality
control plan.
If resurfacing under structures will result in reduced clearance, follow the
procedures in Section 3-703B, Permanent Clearance and Bridge Permit Rating
Changes, of this manual.
Verify that personnel who will be taking mat samples and witnessing core
sampling are qualified for California Test 125, Methods of Test for Sampling
Highway Materials and Products Used in the Roadway Structural Sections.

During the Course
4-3903A General
of Work
Quality production and placement of hot mix asphalt requires both quality control by
the contractor and quality assurance by Caltrans. While some of these functions may
seem redundant, each serves a separate purpose.
4-3903A (1) Quality Control
Quality control (sometimes called process control) is the inspection and testing
performed by the contractor to ensure that the hot mix asphalt being produced or placed
meets the requirements of the specifications. Inspection should be performed at both
the production unit and at the paving site. Quality control sampling should be
performed at regular intervals and at locations similar to the engineers such as plant,
windrow, or mat to ensure that quality control test results are not influenced by
sampling location.
The contractor will want to know early on how closely the contractors quality control
test results replicate the quality acceptance test results. The job mix formula
verification and production startup evaluation both offer early opportunities for the
contractor to compare quality control test results with acceptance test results. Unlike
the comparison of quality control quality acceptance test results during production and
placement, these results are on the same material (split samples). Therefore, the results
are a direct measure of the variation between the laboratories.
The contractor performs quality control testing for asphalt rubber binder, gradation, and
fabric content of crumb rubber modifier; aggregate and reclaimed asphalt pavement
moisture; and reclaimed asphalt pavement gradation. Depending on the construction
process being used, the specifications require additional levels of quality control
testing.
4-3903A (1a) Standard Process
The contractor is required to conduct quality control inspection and testing on a regular
basis. The specifications give required intervals in the quality control table of the
specifications. If the total layer thickness is at least 0.15 foot, the contractor is required
to conduct density testing. The contractor may choose any method for density testing
including nuclear gauge, non-nuclear gauge, or cores. If the total layer thickness is less
than 0.15 foot, the contractor must follow the requirements of the method process listed
in Section 39-3.03, Spreading and Compacting Equipment, and Section 39-3.04,
Transporting, Spreading, and Compacting, of the Standard Specifications.
4-3903A (1b) Method Process
The contractor is not required to conduct quality control inspection and testing, except
for tests named above in this section. In method projects, the contractor may depend on
the acceptance test results for quality control. Since method projects should be small-
quantity projects, the contractor will most likely depend on historical production data.
The contractor has to comply with the specifications for placement such as temperature
and roller requirements.
4-3903A (1c) Quality Control Quality Assurance Process
The contractor is required to conduct quality control inspection and testing. For the
QCQA process, the contractor must perform quality control testing at regular intervals

defined by the quality control tables in the specifications. If the total layer thickness is
at least 0.15 foot, the contractor is required to conduct density testing. The contractor
may choose any method of density testing including nuclear gauge, non-nuclear gauge,
or cores. If the total layer thickness is less than 0.15 foot, the contractor must follow the
requirements in Section 39-3, Method Construction Process, of the Standard
Specifications.
4-3903A (2) Quality Assurance
Quality assurance of hot mix asphalt comprises material acceptance testing and both
plant and paving inspection. The resident engineer is responsible for coordinating
necessary field personnel and taking contract administration action when required.
Ensure that Caltrans personnel who sample or test have met the requirements of the
Caltrans Independent Assurance Program and are qualified to perform the sampling or
testing.
Material acceptance sampling frequencies and material acceptance testing frequencies,
shown in Table 6-1.12, Materials Acceptance Sampling and Testing Requirements:
Hot Mix Asphalt, in Section 6-1, Sample Types and Frequencies, of this manual are
not the same. Caltrans limited the risk to the contractor by specifying in Section 39,
Hot Mix Asphalt, of the Standard Specifications that no single test result may
represent more than the smaller of 750 tons or one days production. Therefore, during
the course of the work it is important to split sample materials at both the plant and
behind the paver every 750 tons. Obtain a split sample for every sample taken, one to
test and one for dispute resolution.
Test the samples in a field construction laboratory, or ship them to a district materials
laboratory to be tested at the minimum testing frequency shown in Section 6-1. Store
the remaining samples in case additional acceptance testing is necessary.
The contractor may request that the resident engineer split acceptance samples. If
requested, split acceptance samples into four parts: test one, provide one to the
contractor, and store two for dispute resolution.
Quality assurance must be performed regularly and the material acceptance test
processed in a timely fashion. The resident engineer must make every effort to conduct
the necessary inspection, ensure that sampling and testing staff are available, and have
samples processed as quickly as possible so acceptance decisions can be made while
there is time to make corrections.
Quality pavement is obtained by strictly enforcing the specifications and notifying the
contractor of failed tests as soon as possible. When a single quality assurance test for a
single quality characteristic indicates that material does not comply, Section 39 of the
Standard Specifications allows the contractor to continue producing and placing HMA.
Notify the contractor of a single failed quality assurance test, and do not take further
action based on a single test failure because sampling and testing variability based on
statistics is extremely large.
When two consecutive quality assurance tests for a single quality characteristic do not
comply with the specifications:
Immediately notify the contractor to stop production.
Ensure that the contractor takes corrective action.

After the corrective action has been taken and the contractor has quality control test
results showing conformance, witness the contractor taking and splitting samples (into
four parts) for the resident engineers tests. The contractor must test one part for
compliance with the specifications and submit three parts to the resident engineer who
tests one part for compliance with the specifications and stores two parts.
4-3903A (3) Quality Control Quality Assurance
QCQA is the process normally used for large-volume hot mix asphalt projects. The
contractor must perform inspection and testing at required intervals. The contractors
quality control tests for aggregate gradation and asphalt binder content are statistically
compared to the engineers acceptance testing. If the contractors quality control tests
are verified, they are used to determine lot acceptance and payment adjustment.
The contractor will perform quality control test for compaction (if required) by any
method chosen. The resident engineer will use cores to determine compaction
acceptance. The contractor may compare compaction test results with the resident
engineer to ensure that the testing processes are comparable.
The contractor is responsible for plant and paving inspection, and quality control
testing. Caltrans monitors the contractors inspections and testing for compliance with
the specifications.
If quality control personnel are not enforcing the specifications, the resident engineer
should request in writing that the contractor replace the nonperforming personnel.
4-3903A (4) Dispute Process
A dispute resolution process for acceptance tests is specified in Section 39-1.06,
Dispute Resolution, of the Standard Specifications and additional dispute resolution
for the QCQA process in Section 39-4.04C [39-4.05C], Dispute Resolution, of the
If the contractor disputes the acceptance test results, the specifications require the use of
an independent third party. If you are satisfied with acceptance test results, and before
using the independent third party, suggest that the contractor test one of the split
samples from the material in question. If the contractor agrees to perform this test, it
would be good practice to have a tester or a district independent assurance
representative witness the contractors testing.
It is preferable to use split samples of disputed material for third-party evaluation.
When an independent third party is part of the dispute process, the independent third
party may use any representative material available. Caltrans must retain possession of
the split samples. For standard and method processes, Caltrans may discard stored split
samples 5 days after the contractor has received the associated acceptance test results.
For the QCQA process, Caltrans may discard the samples 5 days after determination of
the quality factors for a lot.
4-3903B Production Startup Evaluation
Section 39-1.07, Production Start-Up Evaluation, of the Standard Specifications
applies to all construction processes. The production startup evaluation allows:
The contractor to compare quality control test results against Caltrans acceptance
test results on split sample material.

Caltrans to verify early in the project that the aggregate properties and hot mix
asphalt comply with the job mix formula and specifications.
Both parties to examine results of tests performed on split sample material.
Split samples are used only for job mix formula verification, for production start-up
evaluation, and when the contractor is demonstrating compliance with the
specifications because production has been stopped for out-of-specification material. In
all other circumstances, acceptance samples must always be taken independently of
contractors quality control samples.
4-3903C Plant Operations
Before shift production begins, the plant inspector generally takes the following steps
related to hot mix asphalt plant operations:
Verifies that the security seal has not been tampered with. If tampering is
suspected, contact the district weights and measures coordinator.
Ensures that the portioning equipment is interlocked as specified in the MPQP.
Refer to the Weights and Measures Handbook for procedures for checking
interlocks.
Ensures that the job mix formula being used by the contractor is specific to the
project and that no changes have been made to:
1. Target asphalt binder percentage.
2. Asphalt binder supplier.
3. Asphalt rubber binder supplier.
4. Component materials or percentage of any component material used in asphalt
rubber binder.
5. Combined aggregate gradation.
6. Aggregate sources.
7. Substitution rate for reclaimed asphalt pavement aggregate of more than
5 percent.
8. Any material in the job mix formula.
Notifies the resident engineer if there are changes in the job mix formula and asks
if a new job mix formula will be required from the contractor before production
can be started.
Makes certain that the asphalt binder supplier is on the Caltrans approved supplier
list or that asphalt binder samples have been taken from each truckload and tested
in accordance with Section Q, Requirements For Suppliers Supplying Asphalt
Without a Certificate of Compliance, in the Certificate Program for Suppliers of
Asphalt. Notifies the contractor and resident engineer if asphalt binder testing has
not been completed for a supplier not on the approved supplier list.
Ensures that aggregate is stored separately, according to proposed sizes by
comparing the material from each bin with Chapter 2, Section II-E, Aggregate
Storage, of the MPQP. If any segregation, degradation, or intermingling occurs,
require that the contractor empty the storage facility and waste or re-screen the
material.

Ensures that supplemental fine aggregate remains dry and is stored separately as
specified in MPQP.
During production, the plant inspector generally takes the following steps related to hot
mix asphalt plant operations:
Records daily hot mix asphalt plant production information on Form CEM-3501,
Hot Mix Asphalt Production Report.
Documents on Form CEM-4601, Assistant Resident Engineers Daily Report,
additional information about plant production, including instructions to
contractors personnel.
For the QCQA process, the plant inspector performs the following additional
duties:
1. Ensures that contractor personnel who sample or witness the contractor
sampling at the hot mix asphalt plant are qualified to perform California Test
125, Methods of Test for Sampling Highway Materials and Products Used in
the Roadway Structural Sections.
2. Obtains samples for acceptance testing every 750 tons. Material samples must
be split samples from both the plant and behind the paver.
3. Tests for aggregate gradation at least once for every five sublots.
4. Monitors the contractors hot mix asphalt plant inspection for compliance with
the contractors quality control plan. Notifies the resident engineer of any
noncompliance issues.
4-3903C (1) Antistrip Treatment of Aggregates and Hot Mix Asphalt
The hot mix asphalt may be sensitive to moisture damage and may require one of the
following antistrip treatments:
Hot Mix Asphalt Aggregate TreatmentSlurry Method
Hot Mix Asphalt Aggregate TreatmentDry Lime Method
Liquid Antistrip Method
4-3903C (1a) Marinated Lime Treated Aggregate
Aggregate that has been lime treated and stockpiled for marination is handled in the hot
mix asphalt production process in the same manner as untreated aggregates. Refer to
Section 4-3902I (1), Lime Treatment of Aggregates, of this manual for lime
treatment plant operation requirements.
For aggregates that have been lime treated and stockpiled:
Verify that aggregate quality characteristic acceptance samples and tests were
performed and the aggregate meets the contract specifications.
Do not perform sampling and testing for sand equivalent or aggregate quality
characteristics as shown in Section 4-3903C (3), Hot Mix Asphalt Production, of
this manual.
Ensure that the lime marination was performed within the past 60 days.
Reclaimed asphalt pavement used in the production of hot mix asphalt does not need to
be lime treated.

4-3903C (1b) Hot Mix Asphalt Aggregate TreatmentSlurry Method
If a hot mix asphalt production facility is using this process without marination, contact
the Materials and Engineering Testing Services (METS) Office of Flexible Pavement
for assistance.
4-3903C (1c) Hot Mix Asphalt Aggregate TreatmentDry Lime Method
The quality characteristic acceptance test limits for aggregate properties are based on
untreated aggregates, so aggregate testing must be performed on aggregate samples
taken before lime treatment.
During lime treatment, the plant inspector takes the following steps:
Obtain aggregate samples from stockpiles or from the aggregate belts before lime
treatment for moisture content and sand equivalent testing at the frequency shown
in Table 6-1.12 Materials Acceptance Sampling and Testing Requirements: Hot
Mix Asphalt, in Section 6-1, Sample Types and Frequencies, of this manual.
Sample aggregate in accordance with California Test 125, Methods of Test for
Sampling Highway Materials and Products Used in the Roadway Structural
Sections.
Test aggregate samples for sand equivalent at the frequency shown in Table
6-1.12. If the aggregates are not combined before sampling, combine aggregate
from individual stockpiles or belts in the job mix formula proportions to test for
sand equivalent.
It is good practice to test aggregate samples for moisture content in accordance
with California Test 226, Method of Test for Moisture Content of Soils and
Aggregates by Oven Drying, or California Test 370, Method of Test for
Aggregates Using Microwave Ovens, because moisture influences proportioning.
The plant inspector should confirm that the contractor is performing sampling and
testing for moisture content at a frequency shown in Section 39-1.04D,
Aggregate, of the Standard Specifications.
Compare the contractors aggregate moisture quality control test results against
Caltrans test results. Notify both the contractor and the resident engineer if the test
results are significantly different.
Verify that the contractor is adjusting the hot mix asphalt plant controller based on
the contractors aggregate moisture quality control test results.
Obtain aggregate samples from stockpiles or aggregate belts before lime treatment
in accordance with California Test 125. Sample aggregates at the frequency shown
in Table 6-1.12, Materials Acceptance Sampling and Testing Requirements: Hot
Mix Asphalt, in Section 6-1, Sample Types and Frequencies, of this manual for
aggregate acceptance testing.
Test aggregate for acceptance quality characteristics at the frequency shown in
Table 6-1.12 for the following aggregate acceptance tests:

6. Other aggregate properties specified in the project special provisions if
applicable.
If samples will be shipped to a district materials laboratory or to a construction
laboratory, complete Form TL-0101, Sample Identification Card, following the
instructions in the book and the information in Section 6-103, Field Sampled Material
Identification for Testing, of this manual. Record the type of mix, the hot mix asphalt
producer, and the producer mix identification number. Check the box on the sample
TL-0101 for acceptance test. Ship the samples to the district materials laboratory or
field construction laboratory for testing. If any test results exceed the specified limits,
the testing laboratory will immediately notify the resident engineer.
Ensure that aggregate treatment is adequate by witnessing contractor quality control
testing, and that the contractor enters the treatment data specified in the special
provisions into a log. For each day of aggregate lime treatment, obtain the treatment
data log electronically for the resident engineers project file.
4-3903C (1d) Liquid Antistrip Treatment
Ensure that data required in the liquid antistrip treatment section of the special
provisions is entered into the production units treatment data log and submitted in the
required format.
For each day of antistrip treatment, obtain the treatment data log electronically for the
resident engineers project files.
4-3903C (2) Production Startup Evaluation
A production startup evaluation occurs within the first 750 tons produced on the first
day of hot mix asphalt production. The evaluation is also required when production has
stopped for more than 30 days and if a new job mix formula is being used.
The plant inspector generally takes the following steps related to a production startup
evaluation:
During the first 750 tons of production, the inspector witnesses the contractor
sampling aggregate, asphalt binder, and reclaimed asphalt pavement on the first
day of production in accordance with Section 39-1.07, Production Start-Up
Evaluation, of the Standard Specifications and California Test 125. The inspector
retains three split samples for testing and dispute resolution as described earlier.
Labels each hot mix asphalt sample with enough information to identify the exact
location. Refer to the example in Section 4-3903C (3). For QCQA process
projects, indicates the lot and sublot.
Ships one sample of asphalt binder to METS for testing as detailed in Section 6-2,
manual, noting that it is a production startup acceptance test.
Immediately tests one aggregate sample for aggregate gradation and sand
equivalent. If reclaimed asphalt pavement is used, tests reclaimed asphalt
pavement sample and determines the aggregate gradation in accordance with Lab
Procedure 9, Hot Mix Asphalt (HMA) Using Up to 15% Reclaimed Asphalt
Pavement (RAP), notifying the contractor of test results.

1. For the method process, when test results fall outside the specification limits,
the inspector notifies the contractor and requires and confirms that the
contractor take corrective action.
2. For the standard and QCQA processes, the inspector compares the
contractors quality control test results with Caltrans acceptance test results,
notifying both the contractor and resident engineer if the test results are
significantly different.
If aggregate gradation or sand equivalent test results fall outside the specification
limits, notify the resident engineer immediately.
Tests one aggregate sample for aggregate acceptance quality characteristics.
For samples that will be shipped to the district material laboratory or field
construction laboratory for testing, complete Form TL-0101, Sample
Identification Card, following the instructions printed in the form booklet and the
information in Section 6-103, Field Sampled Material Identification for Testing,
of this manual. Record the type of mix, the hot mix asphalt producer, the
producers mix identification number, and the production tonnage that this sample
represents.
Check the box on the sample TL-0101 for acceptance test, marked Priority, and
include Production Startup Evaluation Test under Remarks. Under
Remarks, identify the tests to be performed:
applicable.
The specifications require 3 days for test result turnaround, so samples must be
shipped immediately. If any tests results fall outside the specified limits, the testing
laboratory will immediately notify the resident engineer.
4-3903C (3) Hot Mix Asphalt Production
During production, the plant inspector generally takes the following steps related to hot
mix asphalt plant operations:
Observes the overall plant operation to ensure the contractor controls dust and
smoke. Requests that the contractor corrects any obvious violation and cease
operation if necessary to prevent damage to hot mix asphalt mixture.
Obtains aggregate samples and performs California Test 226, Method of Test for
Moisture Content of Soils and Aggregates by Oven Drying, or California Test
370, Method of Test for Determining Moisture Content of Bituminous Mixtures
or Graded Mineral Aggregates Using Microwave Ovens.
Confirms that the contractor is performing sampling and testing for moisture
content at the frequency shown in Section 39-1.04D, Aggregate, of the Standard

Specifications. Because moisture influences proportioning, it is good practice to
test both aggregate and reclaimed asphalt pavement for moisture content.
Compares the contractors quality control test results with Caltrans test results and
notifies both the contractor and resident engineer if the test results are significantly
different.
Verifies that the contractor is adjusting the hot mix asphalt plant controller based
on the contractors aggregate moisture quality control testing.
Obtains aggregate samples for field testing for aggregate grading and sand
equivalent at the frequency shown in Table 6-1.12. Tests aggregate samples before
lime treatment for testing sand equivalent. (Reclaimed asphalt pavement does not
need to be sampled for sand equivalent.) Do not use aggregate samplers that do not
safely produce a manageable sized sample.
Labels each aggregate sample with the contract number, date, type of mix,
producers mix identification number. Indicates the number of tons produced when
the sample was taken. For QCQA process projects, indicate the lot and sublot.
Tests aggregate samples for aggregate gradation and sand equivalent at the frequency
shown in Table 6-1.12, Materials Acceptance Sampling and Testing Requirements:
Hot Mix Asphalt, of this manual. If reclaimed asphalt pavement is used, determines
aggregate gradation in accordance with Lab Procedure 9, Hot Mix Asphalt (HMA)
Using Up to 15% Reclaimed Asphalt Pavement (RAP).
1. For method process, notifies the contractor of aggregate gradation and sand
equivalent test results, and confirms that any required plant adjustment has
been made to correct for out-of-specification aggregate gradation.
2. For standard and QCQA processes, compares the contractors quality control
test results with Caltrans acceptance test results for aggregate gradation and
sand equivalent, and notifies both the contractor and resident engineer if the
test results are significantly different.
If aggregate gradation or sand equivalent test results fall outside the specification
limits, notify the resident engineer immediately. If the contractor makes significant
or numerous adjustments in bin aggregate proportions, increase the frequency of
aggregate gradation testing.
Obtains aggregate samples for aggregate acceptance quality characteristics at the
sampling frequencies shown in Table 6-1.12 of this manual and sample in
accordance with California Test 125. If lime treated, aggregate samples must be
taken before lime treatment for testing aggregate properties. Reclaimed asphalt
pavement does not need to be sampled.
Label each aggregate sample with the contract number, date, type of mix,
producers mix identification number. Indicate the number of tons produced when
the sample was taken. Refer to the example in Section 4-3903D (5). For the
QCQA process projects, indicate the lot and sublot.
Tests aggregate at the frequency shown in Table 6-1.12. For samples that will be
testing, complete Form TL-0101, Sample Identification Card. Follows the

instructions printed in the book that contains the form and the information in
Section 6-103, Field Sampled Material Identification for Testing, of this manual.
Records the type of mix, the hot mix asphalt producer, and the producers mix
identification number. Checks the acceptance tests box on the TL-0101. Under
Remarks, identifies the tests to be performed:
applicable.
If any test results exceed the specified limits, the materials laboratory will
immediately notify the resident engineer.
For the method and standard processes (and for the QCQA process for all
requirements other than gradation, asphalt content, and compaction), if any single
quality characteristic has two consecutive acceptance or quality control tests not in
compliance with the specifications, ensure that before resuming production and
placement of hot mix asphalt on the project, the contractor:
1. Stops production.
2. Notifies the resident engineer.
3. Takes corrective action.
4. Provides a split sample for the engineers testing.
5. Demonstrates compliance with the specifications before resuming production
and placement of hot mix asphalt on the project.
Samples asphalt binder at the frequencies shown in Section 6-1 and in accordance
with Section 6-2, Acceptance of Manufactured or Fabricated Materials and
Products, of this manual, fills out Form TL-0101, before shipping samples to
METS for testing.
Ensures asphalt binder quality by following Section 4-92, Asphalts, of this
manual.
For asphalt rubber binder components:
1. Collect certificates of compliance for each truckload of crumb rubber modifier
and asphalt modifier.
2. Collect a Buy America certificate for each truckload of crumb rubber
modifier.
3. Sample asphalt modifier binder at the frequencies shown in Section 6-1, of
this manual. Ship to METS as detailed in Section 6-2 of this manual.
Ensure that the temperatures of the asphalt binder, aggregate, and hot mix asphalt
do not exceed the limits specified in Section 39-1.08B, Mixing, of the Standard
Specifications.

Ensure that the batch size and feed rates do not exceed the mixing capacity range
used during plant dynamic testing.
Hot mix asphalt must be tested for mix moisture content from samples taken
behind the paver in accordance with California Test 370, Method of Test for
Aggregates Using Microwave Ovens. However, the hot mix asphalt can be
sampled and tested at the plant to determine if sampling and testing at the mat are
necessary by performing the informal test described below. If hot mix asphalt
samples taken at the plant meet the mix moisture acceptance requirements,
samples taken behind the paver will also meet the specification requirement.
To perform an informal quick moisture content check at the plant, use the
following procedure:
1. Have the contractor take a shovelful of aggregate from the driers discharge
chute.
2. Notice any steaming or dark spots on the aggregate.
3. Pass a cool, shiny, clean mirror, spatula, or other similar item in a slow,
deliberate motion immediately above the aggregate.
4. Observe the amount of condensed moisture on the item.
5. Advise the contractor if moisture is seen.
This informal method cannot be used for acceptance.
Observe production to ensure the specified hot mix asphalt mixture conforms to
project specifications and the MPQP.
4-3903C (3a) Batch Plants
Do not approve a shorter mixing time than was used during the plant dynamic testing
conducted for plant acceptance, according to Chapter 3, Section II-B, Asphalt Binder
Storage, of the MPQP.
Ensure that the automatic batching equipment functions within the limits specified in
Chapter 2, Section II-F, Batch Mixing HMA Plants, of the MPQP.
4-3903C (3b) Continuous Mixing Plants
For continuous mixing plants (drier drum or drier drum pugmill), ensure that the
following are operating:
1. Vibrating unit on the fine bins.
2. Low-level and no-flow interlock systems for aggregate and reclaimed asphalt
pavement feeder bins.
3. No-flow interlock system for asphalt binder storage and feed system.
4. Automatic plant controller.
5. Dust control systems.
6. Segregation devices at hot mix asphalt storage.
The mixing time depends on the length of the mixing area and the rate of drop in the
drier drum during mixing. The most efficient pugmill mixing occurs when the material
level remains at the top of the paddles along the length of the mixer. For best results,

feeding must be continuous and uniform. Do not approve a production rate less or
greater than the range of production used during the plant dynamic testing conducted
for plant acceptance according to Chapter 3, Section II-B of the MPQP.
4-3903C (4) Plant Weighing Systems
Observe the operation of all weighing systems. Whenever scales and meters seem
inaccurate, contact the district weights and measures coordinator for further assistance.
Be aware of scale and meter security seals and set points.
For batch plants:
Ensure that the weigh box containing the total batch does not come in contact with
anything that prevents a true indication of the batch weight.
When intermediate storage, such as a silo, is used for hot mix asphalt, periodically
check the batching by comparing the total weight of the batches in a truckload with
the platform scale weight for the same load.
Check the asphalt binder scales frequently to ensure that they return to within zero
tolerance limits and that the scale lever systems or load cells move freely.
When plants are used for only one project, the accuracy of meter-driven devices that
proportion asphalt binder can be checked. To do so, compare meter totalizer readings
with asphalt binder tank stabbings and, in conjunction with an onsite vehicle scale, with
the combined aggregate totalizer readings. Take into account any wasted mix or
individual ingredients wasted after proportioning.
4-3903C (5) Hot Mix Asphalt Storage
Ensure that hot mix asphalt storage silos are in accordance with Chapter 2, Section II-J,
Hot Mix Asphalt Storage, of the MPQP.
4-3903C (6) Hot Mix Asphalt Transporting
Before the trucks are loaded, ensure the absence of an excessive amount of parting
agent or other contaminating material. Such material is excessive when it forms pools.
Diesel or other petroleum-based products are prohibited from being used as parting
agents.
After the trucks are loaded, be sure the hot mix asphalt mixture is uniform (that is,
aggregate is coated with asphalt binder and load is not segregated). Notify the resident
engineer if loads need to be rejected based on non-uniformity of hot mix asphalt
mixture.
For the method process and when standard and QCQA processes are required to use
Section 39-3.04, Transporting, Spreading, and Compacting, of the Standard
Specifications, ensure that rubberized hot mix asphalt gap-graded and open-graded
friction course loads are covered with tarpaulins when the atmospheric temperature is
below 70F. Tarps are not required if the time from discharge to truck until transfer to
the pavers hopper or to the pavement surface is less than 30 minutes. If the trucks are
tarped, record that information on Form CEM-3501, Hot Mix Asphalt Production
Report.

4-3903D Paving Operations
During hot mix asphalt placement, the paving inspector generally takes the following
related steps:
Record daily hot mix asphalt placement information on Form CEM-3502, Hot
Mix Asphalt Placement Report, and additional information, including instructions
to contractors personnel, on Form CEM-4601, Assistant Resident Engineers
Daily Report.
Refer to Placing Hot-Mix Asphalt in Construction of Quality Hot Mix Asphalt
Pavements, published by the Asphalt Institute, as guidance for best practices
during hot mix asphalt placement.
4-3903D (1) Atmospheric and Pavement Temperature
Ensure that placement occurs within the specified temperature ranges by taking
sufficient measurements of the atmosphere, pavement, and hot mix asphalt. Refer
to Sections 39-1.11, Transporting, Spreading, and Compacting, and 39-3.04,
Transporting, Spreading, and Compacting, of the Standard Specifications for
atmospheric and surface temperature minimum requirements.
Record temperatures and the time taken on Form CEM-3502. Notify the contractor
to stop hot mix asphalt placement when temperatures are below specified limits.
4-3903D (2) Tack Coat
Ensure that tack coat is applied to surfaces to be paved. The contractor may request
and the paving inspector authorize that the application of tack coat is waived
between layers when both of the following conditions apply:
1. The surface to be paved does not have a film of dust or clay.
2. The temperature of the surface to be paved is 140F.
For information on inspecting tack coat, refer to Section 4-3906A, References,
of this manual for the Tack Coat Guidelines website.
4-3903D (3) Transporting and Spreading
Ensure that hot mix asphalt delivery trucks have load slips, and collect the load
slips from the arriving trucks. If inspection resources are limited, collect load slips
on a daily basis. If hot mix asphalt loads are rejected before placement, note on the
back of the load slip and Form CEM-4601, why the hot mix asphalt was rejected,
such as cold mix, segregated mix, or contaminated mix.
Watch for queuing of trucks to avoid excessive cooling of hot mix asphalt mixture.
If windrowing is used, prevent overcooling of the hot mix asphalt by not allowing
excessive windrowing.
1. Windrow temperatures can be monitored with an infrared heat gun, and hot
mix asphalt may be rejected for not meeting minimum first coverage of
breakdown temperature shown in Section 39-3.04, Transporting, Spreading,
and Compacting, of the Standard Specifications.
2. Be aware when using a heat gun that the instrument measures surface
temperature only and that the interior of the windrow is hotter. When the hot
mix asphalt is run through the paver, the mat temperature may be above the
minimum specified.

3. If windrow temperatures are inadequate or visual inspection of the material in
the windrow identifies segregation, poor mixing, or an over-rich mix, notify
the contractor. If this material is incorporated into the paving, additional
inspection and testing may be necessary to determine if the mix is acceptable.
When hot mix asphalt is placed against the edge of a longitudinal or transverse
construction joint damaged or not placed to a neat line, ensure the contractor saw
cuts or grinds the pavement straight and vertically along the joint and removes the
Ensure that longitudinal joints between layers are offset 0.5 foot and that
longitudinal joints on the finished surface correspond to the edge of traffic lanes.
Ensure that the paver spreads the hot mix asphalt at the required thickness and that
layer thickness does not exceed 0.25 foot.
Ensure pavement thickness by comparing the hot mix asphalt spread rate with the
theoretical rate and, if necessary, order the contractor to make adjustments.
Below is an example spread-rate calculation assuming 12 feet wide, 0.15-foot
thickness, mix 150 pounds per cubic foot, and 16 tons shown on truckload slip.
1. Calculate the weight of hot mix asphalt 0.15-foot thick required for 1 square
foot: 150 x 0.15 = 22.5 pounds persquare foot
2. Calculate the weight of hot mix asphalt for 1 linear foot:
22.5 x 12 = 270 pounds per linear foot
3. Calculate the linear feet that can be covered by one truckload:
(16 tons x 2000 pounds per ton) 270 pounds per linear foot = 118.5 linear
feet
4. Calculate the linear feet covered by 1 ton of hot mix asphalt: 2000 pounds per
ton 270 pounds per linear foot = 7.40 feet
5. Calculate the linear feet the paver will travel to spread the load:
11.0 tons x 7.40 feet per ton = 81.4 feet
Check layer thickness and spread rate during placement, and check daily
theoretical spread rate against the distance actually paved for the day. Note these
on Form CEM-3502, Hot Mix Asphalt Placement Report.
Payment for hot mix asphalt is based on the weight shown on the load slips.
Because of the high cost of hot mix asphalt, it is important to monitor the spread
rate so an excess of hot mix asphalt is not placed and project funding is not
exceeded.
4-3903D (4) Production Startup Evaluation Samples
Section 39-1.07, Production Start-Up Evaluation, of the Standard Specifications
requires samples of hot mix asphalt within the first 750 tons of production on the first
day of production.
Observe the contractor sampling from the mat behind the paver or other location
approved by the resident engineer. The contractor must sample in accordance with
California Test 125, Methods of Test for Sampling Highway Materials and

Products Used in the Roadway Structural Sections, and give the resident engineer
three of the four split samples.
Test the hot mix asphalt production startup evaluation sample for quality
characteristics shown in Section 4-3903D (5), Sampling and Testing Hot Mix
Asphalt, of this manual.
Test aggregate at the frequency shown in Table 6-1.12. For samples that will be
testing, complete Form TL-0101, Sample Identification Card. Follow the
instructions printed in the form booklet and the information in Section 6-103,
Field Sampled Material Identification for Testing, of this manual. Record the
type of mix, the hot mix asphalt producer, and the producers mix identification
number. Check the acceptance tests box on the TL-0101. Under Remarks,
identify the tests to be performed.
Label each hot mix asphalt sample with enough information to identify the exact
location. For QCQA process projects, indicate the lot and sublot. Refer to the
example below in Section 4-3903D (5).
Check the box on TL-0101 for acceptance test marked Priority, and include
Production Startup Evaluation Test under Remarks. Also under Remarks,
list all required acceptance tests. The resident engineer must report the test results
to the contractor within 3 business days of sampling, so samples must be shipped
immediately.
4-3903D (5) Sampling and Testing Hot Mix Asphalt
Obtain split samples of hot mix asphalt from the mat behind the paver or other
location approved by the resident engineer, in accordance with California Test 125,
Roadway Structural Sections. Table 6-1.12, Materials Acceptance Sampling and
Testing Requirements: Hot Mix Asphalt, in Section 6-1, Sample Types and
Frequencies, of this manual provides the frequency for sampling hot mix asphalt
mix.
Label each hot mix asphalt sample aggregate grading (for example, 1/2 inch),
asphalt binder target value, producer, and producers mix identification number.
Indicate both the stationing where the sample was taken and the area represented
(for example, STA 100+50, NB, Lane 1, first layer). The label must have enough
information to identify the exact location if the hot mix asphalt is rejected and must
be removed. For QCQA process projects, indicate the lot and sublot.
Test aggregate at the frequency shown in Table 6-1.12 of this manual. For samples
that will be shipped to the district material laboratory or field construction
laboratory for testing, complete Form TL-0101, Sample Identification Card.
Follow the instructions printed in the form booklet and the information in Section
6-103, Field Sampled Material Identification for Testing, of this manual. Record
the type of mix, the hot mix asphalt producer, and the producers mix identification
number. Check the acceptance tests box on the TL-0101, and identify the tests to
be performed under Remarks:
1. Asphalt binder content.
2. Stability.

3. Voids in mineral aggregate (report only if an adjustment for asphalt binder
content target value is less than 0.3 percent from optimum binder content).
4. Voids filled with asphalt (report only if an adjustment for asphalt binder
content target value is less than 0.3 percent from optimum binder content).
5. Dust proportion (report only if an adjustment for asphalt binder content target
value is less than 0.3 percent from optimum binder content).
6. Maximum theoretical density (California Test 309, Method of Test for
Determining Theoretical Maximum Specific Gravity of Hot Mix Asphalt), if
applicable.
7. California Test 371, Method of Test for Resistance of Compacted
Bituminous Mixture to Moisture Induced Damage, if applicable.
For the method and standard processes (and for the QCQA process for all
requirements other than gradation, asphalt content, and compaction), if any single
quality characteristic has two consecutive acceptance or quality control tests not in
compliance with the specifications, ensure that before resuming production and
placement of hot mix asphalt on the project, the contractor:
1. Stops production.
2. Notifies the resident engineer.
3. Takes corrective action.
4. Provides a split sample for the engineers testing.
5. Demonstrates compliance with the specifications.
For the QCQA process, in addition to the sampling and testing requirements
described above, perform the following:
1. Test the asphalt binder content of the hot mix asphalt mixture for verification
testing at least once every five sublots. Contractor quality control test results
are used in the QCQA process for acceptance test results if the quality control
test results are verified.
2. Ensure that the contractor is complying with the minimum quality control
testing frequencies in Section 39-4.02C [39-4.03C], Quality Control
Inspection, Sampling, and Testing, of the Standard Specifications.
3. Ensure that, when any quality characteristic is beyond the action limits shown
in the quality control plan, the contractor is taking corrective action. The
contractor must document the corrective action in accordance with Section 39-
4.02E [39-4.03E], Records of Inspection and Testing, of the Standard
Specifications.
The contractor must stop production, notify the resident engineer, take corrective
action, and demonstrate compliance with the specifications before resuming
production and placement of hot mix asphalt on the project if any of the following
occurs:
1. A lots composite quality factor or individual quality factor (QFQCi when i =
3, 4, or 5) is below 0.90, determined under Section 39-4.02F [39-4.03F],
Statistical Evaluation, of the Standard Specifications.
2. A QFQCi for i = 1 or 2 is below 0.75.

3. Quality characteristics with an undetermined quality factor have two
consecutive acceptance or quality control tests not in compliance with the
specifications.
Daily, ensure that the contractor is submitting Form CEM-3502, Hot Mix Asphalt
Placement Report, and Form CEM-3804, Hot Mix Asphalt Inspection and
Testing Summary, in accordance with Section 39-4.02E [39-4.03E], Records of
Inspection and Testing, of the Standard Specifications.
4-3903D (6) Compaction
For standard and QCQA processes, the contractor must comply with the method
process in Section 39-3.03, Spreading and Compacting Equipment, and in Section
39-3.04, Transporting, Spreading and Compacting, of the Standard Specifications if:
The total paved thickness is less than 0.15 foot.
The total paved thickness is less than 0.20 foot and a -inch aggregate grading is
specified and used.
The hot mix asphalt is used in:
1. Asphalt concrete remove-and-replace areas (digout).
2. Leveling courses.
3. Detours not included in final roadway prism.
4. Areas the resident engineer determines that conventional compaction and
compaction measurement methods are impeded.
4-3903D (6a) Method Process Compaction
For the method process hot mix asphalt compaction:
Use the MultiCool 3 program as a guide for determining the length of time
available for achieving compaction, based on layer thickness, hot mix asphalt
temperature, existing pavement temperature, and atmospheric temperature. The
MultiCool 3 program is available at:
Ensure that:
1. Specified equipment performs the compaction in the specified order.
2. A required number of coverages are made for each compaction type (first
coverage, breakdown, and finish).
3. The hot mix asphalt compaction is completed above the specified minimum
temperature for each compaction type (first coverage, breakdown, and finish).
4. The speed of the vibratory roller in miles per hour does not exceed the
vibrations per minute divided by 1,000 when a vibratory roller is specified for
compaction. When the hot mix asphalt layer thickness is less than 0.08 foot,
the vibratory must be in the off mode.
5. The speed does not exceed 5 miles per hour when a pneumatic-tired roller is
specified for compaction.

Refer to Section 39-3.03 of the Standard Specifications for additional compaction
equipment requirements and to Section 39-3.04 of the Standard Specifications for
detailed compaction temperature and coverage requirements.
Visually inspect the finished hot mix asphalt surface for marks, tearing, and
irregular texture that may be caused by segregated mix. Notify the contractor of
defective areas.
4-3903D (6b) Compaction Determination by CoresStandard and Quality Control
Quality Assurance Processes
For standard and QCQA processes, when the total paved thickness is at least 0.15 foot:
The contractor will determine the number of rollers and sequence necessary to
meet the compaction requirements of the specifications.
The contractor can use any method for quality control testing such as nuclear
gauge, non-nuclear gauge, or cores to determine the relative compaction.
The contractor will obtain the cores for the resident engineer within 5 days of hot
mix asphalt placement. The resident engineer will use the cores to determine
relative compaction.
1. Randomly select core locations for every 250 tons of hot mix asphalt placed
according to Part 3, Section B, Test Site Location, of California Test 375,
Determining the In-Place Density and Relative Compaction of Hot Mix
Asphalt Pavement Using Nuclear Gages.
2. Witness the contractor taking the cores, mark each core, and place the cores in
a protective container before taking possession of the cores.
3. Complete Form TL-0101, Sample Identification Card, following the
instructions printed in the forms book and the information in Section 6-103,
Field Sampled Material Identification for Testing, of this manual. Identify
the stationing where they were taken and the area they represent (for example,
lane #1, first layer). Label the samples with enough information that the
exact location where hot mix asphalt was placed can be identified if it is
rejected and has to be removed. On Form TL-0101, check the box for
acceptance test.
4. Transport the cores to the district materials laboratory or construction field
laboratory where they will be tested for in-place density (California Test 308,
Method A). The percentage of maximum theoretical density (compaction) will
be determined from hot mix asphalt samples using California Test 309.
4-3903D (7) Smoothness
The paving inspector checks pavement smoothness for acceptance by daily use of a
straightedge to determine whether the finished surface complies with the tolerances
specified in Section 39-1.12B, Straightedge, of the Standard Specifications.
The paving inspector records straightedge measurements on Form CEM-4601,
Assistant Resident Engineers Daily Report, and notifies the contractor of all out-of-
specification areas.
For smoothness, the contractor must profilograph the top layer of hot mix asphalt.
Refer to Section 39-1.12C, Profilograph, of the Standard Specifications for
additional information about smoothness requirements.

Witness the contractor profilograph the pavement in accordance with California
Test 526, Method of Test for Operation of California Profilograph and Evaluation
of Profiles.
The contractor must meet zero (null) blanking band profile index and must-grinds
on the top layer of hot mix asphalt Type A, Type B, and RHMA-G when the total
thickness is greater than 0.25 foot.
The pavement surface must meet smoothness requirements for must-grinds for
Type A, Type B, and RHMA-G when total thickness is less than or equal to 0.25
foot.
The pavement surface for open graded friction course must meet the must-grind
requirement if the open graded friction course is placed over hot mix asphalt
constructed under the same project.
Retain one copy of profile information in Microsoft Excel and one electronic copy
of longitudinal pavement profiles in .erd or other ProVAL format.
4-3903D (8) Miscellaneous Areas and Dikes
The contractor must place hot mix asphalt at miscellaneous areas and place dikes
where shown on the plans and in accordance with Section 39-1.14 [39-1.13],
Miscellaneous Areas and Dikes, of the Standard Specifications.
4-3903D (9) Fog Seal Coat
The contractor applies fog seal coat to rumble strip ground areas and ground areas
caused by smoothness correction grinding. If smoothness correction grinding is
excessive, contact the METS Office of Flexible Pavement before allowing the
contractor to fog seal within the traveled way.
The contract item for fog seal coat is used when fog seal must be applied to
shoulders, miscellaneous areas, and dikes. Prohibit the contractor from applying fog
seal coat to the traveled way.
Fog seal coat applied to ground in rumble strips and smoothness correction areas is not
paid separately. Refer to Section 4-37, Bituminous Seals, of this manual for
4-3903D (10) Open to Traffic
Do not allow traffic on new hot mix asphalt until its mid-depth temperature is below
160F. The contractor may request in writing and the resident engineer authorize
cooling of hot mix asphalt Type A and Type B with water when rolling is complete.
For rubberized hot mix asphalt, the contractor must spread sand at a rate between 1 and
2 pounds per square yard before opening to public traffic.
Temporary construction signing and temporary pavement delineation must be in place
before opening to public traffic.
4-3904 Contract Administration 4-3904
The resident engineer must review the notice of materials to be used, review and accept Contract
the job mix formula for hot mix asphalt, review and accept the contractors quality Administration
control plan when applicable, and verify inspection reports and acceptance testing
results for contract compliance. The resident engineer makes decisions regarding non-

compliant materials and placement, administers the HMA Pay program for QCQA
process, and ensures that pay adjustments are made when required.
The Federal Highway Administration requires Caltrans to have a quality assurance
program. As part of that program, this chapter defines quality assurance and contract
administration requirements for hot mix asphalt. Caltrans requires that these same
quality assurance standards be met for state-funded projects. If the requirements are not
met, there is a risk that federal funds will be withheld or withdrawn. The resident
engineer takes the following steps for hot mix asphalt contract administration:
Verifying that Form CEM-3101, Notice of Materials to Be Used, includes all
component materials and materials sources used in hot mix asphalt. Refer to
Section 6-202, Responsibilities for Acceptance of Manufactured or Fabricated
Materials and Products, of this manual for details.
Ensuring that the job mix formula for the project is verified and accepted before
placement of hot mix asphalt.
Ensuring that the contractors quality control plan and its supplements for standard
and QCQA processes are submitted and comply with the requirements of the
specifications. The quality control plan must describe the organization and
procedures used by the contractor to:
1. Control the quality characteristics.
2. Determine when corrective actions are needed, based on the contractors
action limit.
3. Implement corrective actions.
For standard process, a formal acceptance of the quality control plan is not
required. The submitted quality control plan must address the following elements
affecting hot mix asphalt quality: aggregate, asphalt binder, additives, and
production paving.
For the QCQA process, refer to Section 4-3902G, Quality Control Quality
Assurance Process, of this manual for review and acceptance of the contractors
quality control plan.
4-3904A Acceptance Testing and Evaluation
The resident engineer ensures that acceptance testing is performed at least at the
minimum frequency shown in Table 6-1.12, Materials Acceptance Sampling and
Testing Requirements: Hot Mix Asphalt, in Section 6-1, Sample Types and
Frequencies, of this manual. Record test results on Form CEM-3701, Test Result
Summary, so that minimum acceptance testing frequency is easily verified and
documented.
The resident engineer ensures that production startup evaluation testing is completed
and recorded on Form CEM-3703, Caltrans Production Startup Evaluation, and that
the contractor is provided with a copy of the completed form.
4-3904A (1) Acceptance Test Results Outside Specified Limits
If any acceptance test result is outside the limits specified, notify the contractor in
writing that the material may be defective. Attach a copy of the acceptance test result.

For the standard and QCQA processes, ask the contractor if any corrective action has
been taken based on quality control test data for the period when the acceptance sample
was taken.
If acceptance test results are disputed within the period specified in Section 39-1.06,
Dispute Resolution, of the Standard Specifications, try to resolve these issues at the
project level before involving the independent third party.
If an acceptance test is outside the acceptance specification limits, direct the field
construction lab, district materials lab, or METS to test the most recent acceptance
sample for compliance with the specifications. Designate this sample for priority
testing.
4-3904A (2) Two Consecutive Acceptance Test Results Outside Specification Limits
If two consecutive acceptance test results do not comply with the specifications:
Inform the contractor in writing that the material represented by the two out-of
specification acceptance tests is defective, and include a statement that the
defective material is rejected and must be removed or remedied in accordance with
Section 5-1.30 [6-1.04], Noncompliant and Unauthorized Work, of the Standard
Specifications.
Attach copies of both test results that indicate the material is outside specification
limits.
Submit any samples taken between the two failed tests to the appropriate lab for
priority testing to define the amount of material not in compliance with the
specifications.
1. Notify the appropriate lab that two consecutive acceptance tests are outside the
acceptance specification limits.
2. Direct the testing labs to test all samples between the first and second out-of-
specification acceptance tests. Use their test results to define the quantity of
hot mix asphalt that will be rejected.
Notify the contractor in writing of results of all additional acceptance tests
conducted to determine the extent of the out-of-specification material. In the
notice, include language that the material represented by out-of-specification
material is defective and rejected and must be removed or remedied to comply
with Section 5-1.30 [5-1.09], Noncompliant and Unauthorized Work, of the
Require the contractor to:
1. Take corrective action to remedy the cause of out-of-specification material.
2. Provide written documentation of corrective action taken.
3. Demonstrate compliance by providing quality control testing of material
produced but not delivered to the project.
4. Provide samples of hot mix asphalt for both the resident engineer and
contractor to test. The contractor samples this material in the engineers
presence and splits the samples into four parts.
5. Test one part of the split sample to verify that the corrective action taken by
the contractor was successful.

If both Caltrans and the contractors test results are within specifications, the
contractor has demonstrated compliance with the specifications and may resume
production.
Since the samples tested by the contractor and resident engineer are from a split
sample, the test results should not be significantly different. If there is a significant
difference, the resident engineer and the contractor should investigate the reason for the
discrepancy. Contractors can choose to begin production during this investigation but
proceed at their own risk.
The contractor may dispute any out-of-specification acceptance test result within
the specified number of days of receiving the test result by notifying the resident
engineer in writing in accordance with Section 39-1.06 of the Standard
Specifications. Try to resolve testing or sampling issues at the project level before
involving the independent third party.
If the contractor agrees that the hot mix asphalt placed is defective, the contractor
may propose to the resident engineer in writing that the defective material will be
remedied or that the defective material will be left in place for reduced
compensation. Consult with district materials engineer and either the METS Office
of Flexible Pavement, or the districts construction field coordinator, or both, about
acceptance of the contractors proposal. Document material remediation or
reduced pay by issuing a contractor-requested change order. Document all non-
compliant materials test results including the action taken on the final Project
Materials Certification. Refer to Section 6-106, Project Materials Certification,
of this manual for documentation requirements.
4-3904B Testing for Significant Difference
The resident engineer should compare the contractors test results against Caltrans test
results to determine if they are significantly different. Compare the test results in one of
three ways:
1. A one-to-one comparison of the test results of a single split sample (job mix
formula verification and production startup).
2. The comparison of groups of test results (that is, the average of all acceptance tests
compared to the average of all quality control tests).
3. The QCQA verification process.
The resident engineer should always examine the differences between contractor and
Caltrans test results for job mix formula verification, production startup, and dispute
resolution based on a one-to-one comparison of the test results. For job mix formula
verification and production startup evaluation, the test result comparison will show
whether the contractor and Caltrans can test properly sampled and split samples for
aggregate and hot mix asphalt and get reasonably close test results. If a significant
difference exists, the resident engineer should notify the contractor. Then both the
resident engineer and contractor should examine what is causing the difference and try
to find a way to bring their results closer.
The resident engineer should never consider a one-to-one comparison of two test
results from different samplesthat is, Caltrans acceptance result of a sample taken in
the morning compared to a contractors quality control test result of a sample taken in
the afternoon. If examination of the contractors and Caltrans test results shows large
differences, compare the test result groups to determine if the results are significantly

different. Compare the average of all acceptance test results to the average of the
contractors quality control test results, and use the table below to determine if the
difference between the test results is reasonable or significantly different. If the
comparison between the test results indicates a significant difference, notify the
contractor. Then both the resident engineer and contractor should examine and
investigate the cause of test result differences.
In QCQA, the verification process using the t-value is a means of comparing groups of
test results. While only the asphalt binder content and individual gradations are
subjected to verification, it is reasonable to assume that the same process (equations
and tcrit values) can be used to compare the contractors quality control compaction
results to Caltrans density core results or for other test comparisons. Although this
process is somewhat cumbersome, it is statistically sound. However, a drawback with
this process is that the statistics might define the two populations (quality control
results compared to acceptance results) as unverified; yet both groups might be within
the specification boundaries. Therefore, some other measure of comparison to fall
back on is necessary. The specifications for QCQA allow the contractor to continue to
produce and place hot mix asphalt if the average of the quality control and acceptance
test results are in specification and if the difference between these averages is less than
or equal to 1.0 percent for any grading or 0.1 percent for asphalt binder content.
The resident engineer may use the QCQA t-test statistical verification equations and tcrit
values to compare the contractor quality control test results and acceptance test results.
The t-test is shown in Section 39-4.03B [39-4.04B], Verification Sampling and
Testing, of the Standard Specifications. If the results of the statistical verification
show that the contractors test results are unverified, use the averages column in the
table below as the measure of comparison to fall back on. If the test results are
significant different, notify the contractor. Then both the resident engineer and
contractor should examine and investigate what is causing the test result differences.
For QCQA, standard, or disputes in method projects, use the reasonable testing
difference values in Table 4-39.1, Precision Index, to evaluate whether a significant
testing difference exists.

Table 4-39.1. Precision Index
California Reasonable Testing Differences
Quality Characteristic
Test Single Results Averages
Sand equivalent 217 6 2
Stabilometer value 366 10 4

Theoretical maximum specific
309 0.05 0.02
gravity (see Note 1)
Percentage of maximum specific 3%
gravity (see Note 1) (see Note 2) 1%
2% (see Note 3)
(see Note 4)
Design air voids content (see Note 1) 367 2.8% 4.5
379 0.3% 0.1%
Asphalt binder content
382 0.5% 0.2%
Aggregate gradation 202
3/4 or 1/2 3% 1%
3/8 3% 1%
No. 4 3% 1%
No. 8 3% 1%
No. 30 3% 1%
No. 200 3% 1%
NOTES:
1. Examine the CT 309 values also. Determine whether resolution of CT 309 is necessary and sufficient to
resolve issues with % MTD or design air void content.
2. Comparing one core to the average of QC test results within the same 250 tons.
3. Comparing the average of Caltrans cores to the average of QC test results for the same volume of hot mix
asphalt or the same area.
4. Comparing the average of three of Caltrans cores in 750 tons to the average of QC test results for the same
750 tons of hot mix asphalt.

The resident engineer obtains certificates of compliance for each delivery of asphalt
binder (attach bill of lading), crumb rubber modifier, tack coat, and fog seal.
Keep track of total quantity of material delivered and ensure that inspectors have
obtained an adequate number of certificates of compliance to cover the quantity of
material received.
In addition, perform the following contract administration reviews for certificates of
compliance:
Refer to the Certification Program for Suppliers of Asphalt to determine what
information must be shown on the certificate of compliance for asphalt binders.
Obtain Buy America certification for each shipment of crumb rubber modifier.
Ensure that asphalt binder contract administration requirements are met by following
Section 4-92, Asphalts, of this manual.
4-3904D Quality Control Quality Assurance Process
For the QCQA process, follow these additional contract administration requirements:
Ensure the contractor is complying with the accepted quality control plan.

Ensure contractors compliance with the quality control testing requirements by
reviewing the daily submittal of Forms CEM-3501, Hot Mix Asphalt Production
Report; CEM-3502, Hot Mix Asphalt Placement Report; and CEM-3804, Hot
Mix Asphalt Inspection and Testing Summary, for each day of paving.
Use the statistical evaluation program, HMA Pay, to verify that the contractors
quality control tests for aggregate gradation and asphalt binder content can be used
as acceptance tests.
Ensure quality hot mix asphalt by determining that:
1. A lots composite quality factor is greater than or equal to 0.90. Refer to
Section 39-404B [39-4.05B], Statistical Evaluation, Determination of Quality
Factors and Acceptance, of the Standard Specifications.
2. The individual quality factors for gradations for the number 200 sieve, asphalt
content, and compaction are greater than or equal to 0.90.
3. The individual quality factors for the largest sieve and the number 8 sieve are
greater than or equal to 0.75.
4. The individual quality factor for percent of maximum theoretical density,
using the test results from the cores taken by the engineer, is greater than or
equal to 0.90.
If any of these conditions is not met, terminate the lot and adjust payment.

For details of measurement and payment, review Section 39-6 [39-5], Payment, of Measurement and
the Standard Specifications. Payment
For guidelines on how to weigh hot mix asphalt, refer to Section 3-902E, Weighing
Equipment and Procedures, of this manual.
For measuring asphalts, liquid asphalts, and asphaltic emulsions used as tack coat, refer
to Section 4-92, Asphalts; Section 4-93, Liquid Asphalts; and Section 4-94,
Asphaltic Emulsions, of this manual.
4-3905A Quality Control Quality Assurance Process Payment Adjustment
Process a change order to allow for payment increase or decrease based on monthly
calculated payment adjustment.
Make QCQA payment adjustments on the next monthly estimate when a lot (20
sublots) is accepted. If the next lot consists of fewer than eight sublots, these sublots
must be added to the previous lot for QCQA payment adjustment.
4-3905B Standard Process Payment Adjustment for Core Density

Determine if a deduction is required for cores outside specification limits for the
percent of maximum theoretical density. Use the table, Reduced Payment Factors for
Percent of Maximum Theoretical Density, in Section 39-2.03, Acceptance Criteria,
of the Standard Specifications. The core density (compaction) deduction should be
taken on the next monthly estimate as an administrative deduction.

4-3905C Compensation Adjustment for Price Index Fluctuation
For compensation adjustments for price index fluctuation for asphalt binder, perform
the following:
Process a change order to allow for payment increases or decreases.
Calculate the amount of asphalt used monthly in hot mix asphalt and tack coat.
Calculate a paving asphalt adjustment if the California Statewide Paving Asphalt
Price Index for the current month has fluctuated by more than the specified amount
in the same index for the month in which the bid opening for the project occurred.
Include the asphalt payment adjustment on the monthly estimate.
4-3905D Payment After Dispute Resolution for Independent Third Parties
If applicable, when the dispute resolution process determines the contractors test
results are correct, Caltrans pays the independent third party testing costs and adjusts
the contract time. The resident engineer adjusts payment and contract time according to
Section 8-1.07 [8-1.09], Delays, of the Standard Specifications and processes a
change order to allow for payment and adjustment.
4-3905E Compensation and Contract Time for Delays
When failing to comply with the specified times to return test results to the contractor,
the resident engineer must adjust payment and contract time under Section 8-1.07
[8-1.09] of the Standard Specifications:
Within 20 days of sampling for job mix formula verification.
Within 3 days of rubberized hot mix asphalt production sampling for job mix
formula verification.
Within 3 days of sampling for production startup evaluation.
Make compensation and contract time adjustments only when work completion is
delayed.
4-3906 4-3906 References and Resources
References and The following lists of references and resources provide construction personnel with
Resources additional sources of information.
4-3906A References
California Test Methods, METS:
http://www.dot.ca.gov/hq/esc/ctms/index.html
Certification Program for Suppliers of Asphalt, METS:
http://www.dot.ca.gov/hq/esc/Translab/ofpm/pdf/COC_Guidelines.pdf
CEM forms, Division of Construction:
Independent Assurance Manual, Procedures for Accreditation of Laboratories and
Qualification of Testers, METS:
http://www.dot.ca.gov/hq/esc/Translab/ofpm/IA_reports/IAP.htm
Lab Procedures and Engineering Testing Services, Department of Transportation:

Maintenance Technical Advisory Guide (MTAG), Office of Pavement
Preservation, Division of Maintenance:
http://www.dot.ca.gov/hq/maint/MTA_Guide.htm
Materials Plant Quality Program, Division of Construction:
http://www.dot.ca.gov/hq/maint/MTA_Guide.htm
Construction of Quality Hot Mix Asphalt Pavements, Asphalt Institute.
Quality Control Manual for Hot Mix Asphalt, Division of Construction:
http://www.dot.ca.gov/hq/construc/publications/qcqaman1.pdf
Standard Specifications, Department of Transportation:

http://www.dot.ca.gov/hq/esc/oe/construction_standards.html
Tack Coat Guidelines, Division of Construction:
4-3906B Resources
Use available experts within your district or region to resolve issues and obtain
additional information about hot mix asphalt production and placement. Contact the
construction engineer and Division of Construction coordinator for issues about
contract administration related to hot mix asphalt specifications. Contact the district
materials engineer for issues about materials and the district independent assurance
coordinator for issues concerning testing.
When questions about Section 39, Hot Mix Asphalt, of the Standard Specifications
or related special provisions cannot be addressed by district or region experts, or the
construction engineer refers the resident engineer to the Division of Construction or
Engineering Services for assistance, contact the following:
For materials or testing issues:
Chief, Office of Roadway Materials Testing
Materials Engineering & Testing Services and Geotechnical Services
State of California, Department of Transportation
For quality control quality assurance issues:
District QCQA Coordinator
For contract administration, measurement or payment issues:
Chief, Office of Construction Engineering
Division of Construction
State of California, Department of Transportation

Section 40 Concrete Pavement

4-4001 General
4-4002A General
4-4002B Submittals
4-4002C Training
4-4002D Concrete Field Qualification and Pavement Test Strip
4-4003A Prepaving
4-4003B Paving
4-4003C Finishing Pavement
4-4003D Post-Paving
4-4004A Measurement of Pavement Thickness
4-4004A (1) Location of Primary Cores
4-4004A (2) Location of Secondary Cores
4-4004A (3) Thickness Variation
4-4004B Calculation of Deductions in Payment to the Contractor for Deficient Thickness
4-4004B (1) When None of the Primary Cores are Deficient in Thickness by More Than 0.05
Foot
4-4004B (2) When One or More of the Primary Cores are Deficient in Thickness by More
Than 0.05 Foot
4-4004B (3) Contractors Requests for Additional Thickness Measurements
4-4004C Handling of Skips in the Original Days Pour and Secondary Areas to Be Removed and
Replaced
4-4004D Handling Deficient Areas Not Cored
4-4004E Administration
4-4004F Other Payment Items

Concrete Pavement 4-40.i
Section 40 Concrete Pavement Concrete
Pavement
4-4001 General 4-4001

This section covers concrete pavement including: General
Preparation of concrete pavement subgrade
Production of the concrete
Concrete pavement equipment requirements
Placing, finishing, and curing of the concrete pavement
Construction of joints
Protection of the pavement
Performing concrete pavement crack treatment
Plant inspection specialists and testing personnel usually perform inspection and testing
duties at the concrete batch plant. However, in addition to onsite inspection, mix design
and plant inspection are part of the resident engineers responsibility. Good
communication between plant and inspection specialists and assistant resident
engineers is essential. Inspectors and assistants must inform the resident engineer of
test results in a timely manner.
This section covers mostly onsite inspection duties. For information on producing and
transporting concrete, see Section 4-90, Concrete, of this manual.
Before Work
4-4002A General
Begins
Review the plans and specifications to determine the requirements for concrete
pavement, including submittals, quality control and assurance, materials,
construction, and payment provisions.
Coordinate and hold a prepaving conference with the specified contractor's
personnel prior to paving activities, including any test strips. Discuss the
contractor's methods for performing each element of the work.
Decide if crossings will be necessary for the convenience of public traffic and
whether rapid strength concrete (RSC) should be used for such crossings. Advise
the contractor accordingly.
When long hauls are involved, review the contractors proposed placement method
to ensure that adequate time will be available.
Discuss pavement areas to receive safety edge with the contractor and construction
methods to be utilized.
For concrete pavement widenings placed adjacent to existing pavements, ensure
the existing pavement lane or shoulder is ground before new concrete is placed.

Concrete Pavement 4-40.1
New concrete pavement must match the ground existing surfaces and meet
specified smoothness requirements.
Arrange for plant inspection and testing personnel to be present at the plant before
startup.
4-4002B Submittals
Verify that Form CEM-3101, "Notice of Materials to be Used," includes concrete
pavement materials. Refer to Section 6-202, Responsibilities for Acceptance of
information.
Review the contractor's proposed concrete mix design for conformance with
specification requirements. The contractor's mix design submittal is to include a
copy of their American Association of State Highway and Transportation Officials
(AASHTO) accreditation for their laboratory determining the mix proportions and
laboratory test reports including modulus of rupture information. Refer to Section
4-90 of this manual for information on concrete mix designs. Assistance with the
concrete mix design review may be obtained from the district materials engineer.
Obtain the contractor's quality control plan that details the methods the contractor
will use to ensure the quality of the work. Review the quality control plan for
conformance with specification requirements. Ensure that the quality control plan
has met or exceeded the quality control testing requirements specified in the
contract. If requested by the contractor or desired by the resident engineer, hold a
meeting to discuss the quality control plan which addresses each element affecting
pavement quality including those specified in Section 40-1.01D(4), Quality
Control Plan, of the Standard Specifications. Pay extra attention to the
contractor's plan for ensuring proper placement of contraction joints, dowel bars,
and tie bars. The district materials engineer may be available to provide subject
matter expertise at these meetings.
Obtain certificates of compliance when tie bars, threaded tie bar splice couplers,
dowel bars, tie bar baskets, dowel bar baskets, chemical adhesive for drilling and
bonding tie bars and dowel bars, silicone joint sealant, asphalt rubber joint sealant,
preformed compression seal, backer rods (including the manufacturer's statement
of compatibility with the sealant to be used), joint filler material, and epoxy
powder coating items are to be used in concrete pavement.
For jointed plain concrete pavements, ensure the early age crack mitigation system
information is provided a minimum of 24 hours in advance of each paving shift.
Obtain calibration documentation and operational guidelines for frequency
measuring devices for concrete consolidation vibrators.
For cold weather conditions, obtain contractor's plan for protecting concrete
pavement.
Obtain the name of the contractor's independent third-party air content testing
laboratory when the project is located in a freeze-thaw area.
Obtain manufacturer's recommendations and instructions for storage and
installation when threaded tie bar splice couplers, chemical adhesive for drilling

4-40.2 Concrete Pavement
and bonding tie bars and dowel bars, silicone liquid sealant, asphalt rubber liquid
sealant, preformed compression seals, and joint filler material items are to be used
in concrete pavement.
For concrete pavement crack treatment, ensure the following:
1. High molecular weight methacrylate samples are submitted well in advance of
the work.
2. Where sealant is to be removed, the contractor has submitted the proposed
removal plan in conformance with the specifications.
3. Submittal of a public safety plan, a placement plan, and material safety data
sheets in conformance with the specifications.
4. Depending on the location of the work, additional requirements may apply to
the public safety plan including an airborne emissions monitoring plan
prepared by a certified industrial hygienist.
5. A representative test area is constructed and acceptable results are obtained
prior to starting crack treatment.
6. Project specific requirements are discussed with the contractor in advance to
avoid surprises and disagreements.
For compression seals, obtain the manufacturer's data sheet used to develop the
recommended preformed compression seal based on the joint seal dimensions.
4-4002C Training
Ensure that just-in-time-training is conducted in conformance with contract
provisions.
Ensure that joint sealant and compression seal installation training is delivered to
contractor and Caltrans personnel prior to installation of joint sealant or
compression seals.
4-4002D Concrete Field Qualification and Pavement Test Strip
Ensure that field qualification of proposed mix proportions is performed by an
ACI-certified Concrete Laboratory Technician, Grade 1. Obtain copies of
certifications for project records. Review concrete field qualification information
for conformance with contract requirements.
For continuously reinforced concrete pavement, verify that the contractor performs
coefficient of thermal expansion sampling, specimen fabrication, and testing as
specified.
For projects with concrete pavement volumes exceeding 2000 cubic yards, ensure
a test strip is constructed for evaluating compliance with specification acceptance
criteria including smoothness, dowel bar and tie bar alignment, thickness, and final
finishing. Test strips not meeting requirements are rejected. Additional test strips
are required if the contractor changes the intended method of placement or
concrete mix proportions or where a test strip has been rejected. Ensure
arrangements are made to evaluate the test strip within 3 business days of
placement.

During the Course of
4-4003A Prepaving
Work
Before the start of paving, check the accuracy of the final grade stakes.
Inspect the subgrade to ensure compliance with the specified tolerances for
compaction and elevation. Ensure that any low areas are identified in a way that
will result in placing additional concrete as specified. Such additional thickness is
considered paid for as part of the lower layer and must not be included when
calculating pavement thickness and payment (refer to the specifications for
cement-treated base, lean concrete base, and treated permeable bases). Note these
areas in daily reports with stationing and offset information.
To maintain the concrete pavement at the thickness specified, the contractor may
adjust the planned finished grade provided two conditions are met:
1. All lower layers have been constructed to at least the minimum required
elevations.
2. Such adjustments do not result in abrupt changes in grade or adversely affect
smoothness. General practice is to limit any such adjustment so that the
planned finished grade does not change more than 0.04 foot in 60 feet
longitudinally.
When slip-form pavers are used, inspect the grade on which the paver will ride to
determine if the grade is smooth enough to prevent abrupt vertical changes in the
finished surface. When a wire controls the grade and alignment of the paver, check
the wire for any obvious variations. Ensure that the wire is tensioned sufficiently to
prevent measurable sag between supporting stakes. If you anticipate any problems,
advise the contractor. Keep in mind that the contractor is responsible for the
thickness and smoothness of the pavement.
Identify where the contractor will post quality control charts.
Ensure any specified bond breaker material, curing seal, or other required
treatment has been applied and maintained on the underlying material in
conformance with contract requirements. These materials may also be helpful for
determining pavement thicknesses when examining pavement cores.
Examine the equipment or tools to be used. When obvious inadequacies exist,
advise the contractor and record the details in the daily report. Do the following in
examining equipment or tools:
1. For side-form construction:
a. Examine the forms to ensure specified attributes, including those for
composition, weight, dimensions, and rigidity. Ensure that the forms are
cleaned and oiled before each use.
b. Ensure that installation of the forms complies with specifications. Order
any necessary corrective work before the placement of concrete.
c. Inspect the paving equipment for specification compliance.
2. For slip-form construction, examine the paver for the specified attributes.
3. Regardless of which method of construction is used, ensure that the contractor
uses proper consolidation techniques that produce uniform concrete without

segregation. Where vibrators are used, ensure they are operated in
conformance with contract requirements.
4. To ensure compliance with the requirements for protecting pavement,
examine all equipment that will bear on previously completed pavement.
Ensure a sufficient water supply has been developed for the work.
Before concrete placement, ensure that the subgrade is uniformly moist, but free
from standing or flowing water.
When required, ensure that tie bars and dowels are on hand and conform to
specifications.
Ensure that equipment for constructing joints is onsite and that it conforms to
specifications.
Ascertain the curing method the contractor proposes to use. When curing
compound will be used, discuss the labeling and packaging requirements for
acceptance of the compound with the contractor. Obtain a certificate of
compliance, including required test results, for each batch of curing compound.
Ensure that equipment and materials meeting the requirements of Section
90-1.03B(3), Curing Compound Method, or Section 90-1.03B(4), Waterproof
Membrane Method, of the Standard Specifications are onsite.
If paving or finishing operations will extend beyond daylight hours, ensure that
adequate lighting facilities are on the project before paving begins.
4-4003B Paving
Maintain good communication between field personnel inspecting the placing
portion of the paving operation and plant inspection personnel, so that problems
related to mixing or hauling may be addressed and corrected effectively.
Refer to Section 4-90, Concrete, of this manual for a discussion of transporting
concrete and receiving load tickets at the delivery point.
Observe the concrete as it is placed for improper proportions or inadequate mixing.
In the daily report, record the reasons for any concrete rejection and the
approximate amount involved.
At the start of each days work, ensure that the specified date stamp is used to mark
the new pavement.
Ensure acceptance testing is performed on concrete pavement in accordance with
Section 40-1.01D(13)(a), General of the Standard Specifications and Section 6-
1, Sample Types and Frequencies, of this manual for the identified quality
characteristics.
For California Test 523, Method of Test for Flexural Strength of Concrete, select
a location to store concrete beams. A good location is one convenient to a water
source and removed from any traffic. Require the contractor to supply sufficient
sand or earth for burying the beams. Arrange for the contractor also to supply labor
for assistance with transporting and burying the beams. Note the safety precautions
in the test method.
Ensure sufficient beam samples are molded for modulus of rupture acceptance
testing based on lot size and age strength requirements. Make additional sets of

beams to determine acceptable flexural strength when pavement crossings will be
open to public traffic or to job traffic earlier than normally permitted. Ensure
fabricated beams are properly handled, cured, and transported prior to testing.
Where air entraining admixtures are required, perform verification testing and use
quality control testing for acceptance for air content of concrete pavement. Follow
the contractual procedure specified in Section 40-1.01D(13)(f), Required Use of
Air-Entraining Admixtures, of the Standard Specifications.
Review control chart information and ensure the contractor is following their
quality control plan including action and suspension limits.
Obtain updated quality control charts on each day of paving.
For continuously reinforced concrete pavements, verify that the contractor
performs coefficient of thermal expansion sampling and specimen fabrication, and
submits specimens as specified.
Ensure that the contractor furnishes the required tachometer. Also, be sure the
contractor does the vibrating at the locations and in the frequencies and amplitudes
specified. Be alert for inoperative units, and ensure they are replaced immediately.
Observe the operation of equipment that bears on existing pavements to ensure that
no cracking or other damage occurs. If damage occurs, order immediate corrective
action.
Ensure that dowels and tie bars are not displaced during the pour.
When joints are to be formed rather than sawed, be sure joint material is placed as
specified.
Ensure that the contractor constructs a transverse construction joint if the time
interval between two successive concrete loads is greater than the specification
allowance. Ensure such joints are constructed at permissible contraction joint
locations.
Encourage the contractor to construct the pavement so it meets requirements for
profile index, straightedge, and edge slump before final finishing.
Measure the pavements width at the beginning of and periodically after paving.
While the required width applies to both upper and lower surfaces, the bottom
width can be greater than specified to reduce edge slump.
Ensure that end anchors are constructed at all required locations and to the
dimensions shown on the plans. Be sure transverse contact joints are constructed
and tie bars and dowels are placed as shown on the plans. When required, ensure
that pressure relief joints are constructed as specified and shown on the plans.
4-4003C Finishing Pavement
Ensure that the contractor performs preliminary finishing according to
specifications and in a way that imparts the desired surface characteristics.
During concrete finishing observations, consider the following information:
1. Pavement can be durable with inadequate texture or be well textured and not
have enough durability to retain the texture.
2. Mixing water with surface mortar during finishing reduces surface durability.
This mixture may bleed water that has not evaporated that was added to the

surface to make finishing easier, or water that was added to prevent hairline
cracking and checking.
3. If any of the concrete visible during finishing is more dilute than the mortar of
the freshly placed concrete, too much water is being mixed into the surface.
Telltale signs of the unacceptable practice include the following:
a. Soupy mortar during finishing.
b. Excess laitance.
c. Small scallops in the slabs edge.
d. Areas still soft and wet in the finished surface while the surrounding area
has turned firm and lost its watery sheen.
4. Standing bleed water may appear on the surface under certain conditions
shortly after pavement is placed. To avoid mixing bleed water with surface
grout, complete preliminary finishing before bleeding progresses to this
degree.
5. Water applied for the convenience of finishing, not otherwise needed to
produce the specified product, is contrary to specifications regarding water use
for retempering.
Ensure that the contractor performs the final finishing as specified and in a way
that results in a finished surface with the desired characteristics.
When sufficient rain may fall to damage fresh pavement, stop pavement placement
or ensure that other steps are taken (such as placing a covering) to prevent damage.
Before texturing, ensure that the contractor rounds the pavement edges to specified
radii. Observe texturing for compliance with requirements. Ensure the contractor
performs initial texturing with a broom or burlap drag so as to produce striations
parallel to the centerline.
Ensure that burlap drags are used as specified and kept sufficiently clean to avoid
unsightly irregularities in the texture. Brooms used must also be kept sufficiently
clean to avoid significant irregularities. Final texturing must be done with spring-
steel tines that produce grooves parallel to the centerline. Grooves not straight and
parallel to the centerline are unacceptable. Ensure that the cross section of the steel
tines complies with specifications. Inspect the pavement surface to ensure that
grooves meet the specified depth.
Before and after the application of curing seal, ensure that the contractor keeps the
pavement surface moist as specified.
Ensure the contractor uses either the waterproof membrane method or curing
compound method specified in Section 90-1.03B, Curing Concrete, of the
Standard Specifications. During observations, also note the following:
1. Waterproof membrane:
a. Ensure the contractor sprays the concrete with a mist of water until the
concrete has set before placing the membrane.
b. Examine the waterproof membrane to see that it meets specifications. For
assistance, consult the district materials engineer.

c. Ensure that membrane material is placed and secured and that any
damaged sheeting is repaired as the specifications require. Make sure that
the contractor adheres to the specified curing period.
2. Curing compound:
a. Ensure that the contractor applies the curing compound uniformly at the
specified time. See that sawed cuts or other disturbed areas receive
additional curing compound. Your inspection should ensure the following
attributes for the compound:
(1) It is not contaminated, diluted, or altered before application.
(2) It is mixed thoroughly before application.
(3) It is applied when concrete surfaces are still visibly moist.
(4) The curing film remains unbroken for the specified duration of
curing.
b. Perform measurements and calculations for the curing seals application
rate. To determine the rate, you may use California Test 535,
Determining the Application Rates of Concrete Curing Compounds in
the Field. Record the measurements in the daily report.
Ensure concrete pavement joints are constructed in conformance with Section
40-1.03E, Joints of the Standard Specifications; the contractor's quality control
plan; and, when applicable, the contractor's early crack mitigation system.
Longitudinal and transverse contraction joints must be sawed before cracking
occurs and after the concrete is hard enough to saw without spalling, raveling, or
tearing. The contractor is responsible for determining the exact time of sawing.
Ensure that concrete debris, water residue, and paste are immediately removed
during saw cutting operations and that slurry from the sawing operation is
immediately washed from the joint and removed. Where spalling, raveling, and
tearing are observed, ensure the contractor performs repairs in conformance with
Section 40-1.03Q(2), Repair of Spalls, Raveling, and Tearing, of the Standard
Specifications.
Ensure concrete pavement temperature is maintained above 40F during the initial
72 hours after placement.
4-4003D Post-Paving
Identify where core locations are to be taken by the contractor to verify proper
placement of dowel bars and tie bars and proper concrete consolidation around
these bars. Verify specified tolerances have not been exceeded.
Visually examine concrete pavement surface once the cure period is complete.
Identify any partial depth cracks or working cracks (full-depth) within the
pavement slabs. If necessary, order the contractor to obtain concrete cores to
further evaluate. Ensure partial depth cracks are treated with a high molecular
weight methacrylate resin in accordance with Section 40-6, Concrete Pavement
Crack Treatment, of the Standard Specifications. Ensure working cracks within
0.5 foot of either side of a planned contraction joint are treated in accordance with
Section 40-1.03Q(3), Repair of Cracks, of the Standard Specifications.
Pavement slabs with working cracks more than 0.5 foot from a planned
contraction joint require the removal and replacement of slab or slab portions.

Measure the finished surface with a straightedge, especially at contact joints, to
determine compliance with specifications. The pavements final surface must
comply with both straightedge and profilograph requirements.
Observe the contractors pavement profiling operation. Ensure that the
profilograph is calibrated and that the contractor operates it in accordance with
California Test 526, Operation of California Profilograph and Evaluation of
Profiles. The profilograph operator must be qualified in accordance with Caltrans
Independent Assurance Manual. The contractor is responsible for controlling and
performing necessary intermediate steps to produce final profilograms indicating
the pavement surface is within the profile index specified. When corrective
grinding is performed, it must conform to Section 42-3, Grinding, of the
Standard Specifications. Read the final profilograms in a timely manner. Inform
the contractor if the profile index is acceptable or if further grinding is required.
Record details of the contractors profilograph operation, corrective measures, and
final results in the daily report. Ensure the contractor submits the final profilograms
to the specified email address.
With the district materials engineer, arrange to measure the coefficient of friction
(California Test 342, Surface Skid Resistance with the California Portable Skid
Tester). Do not open pavement to traffic unless the coefficient of friction has been
obtained.
Note the following for coefficient of friction:
1. Areas with uniform surface texture require testing only at representative
locations to ensure that the required coefficient of friction has been provided.
Test areas with visibly smoother texture as completely as necessary to ensure
compliance or delineate areas that must be corrected.
2. Tests made at temperatures below 40F will yield low results; therefore, do
not rely on such tests as indications of failure. However, you may use values
higher than the required minimum to indicate compliance even if you made
measurements below 40F.
3. To determine if the contractors method of texturing is capable of producing
the specified results, perform some tests as soon as possible after paving
begins. Note that tests performed before the concrete is 7 days old are not
valid for acceptance. Whenever early tests are performed, advise the
contractor that such areas are subject to retesting. If the contractor has used the
pavement for hauling or conducted an operation that could reduce the friction
factor from the one originally determined, retest such areas before opening
them to public traffic.
4. Areas not meeting coefficient of friction requirements must be corrected by
grooving or grinding in conformance with Section 42, Groove and Grind
Concrete, of the Standard Specifications. Retest the corrected sections as
necessary to verify the coefficient of friction value has been met.
After any required corrective grinding, determine locations where coring for
thickness will be performed by the contractor. Observe coring operations and
obtain drilled corings in properly identified plastic bags from the contractor. Use
cores to determine acceptance of concrete pavement thickness. For more details
about pavement thickness measurements, refer to Section 4-4004, Measurement

and Payment. Do not allow coring machines on fresh concrete while any danger
exists of damaging the concrete. Wait at least 72 hours as a minimum.
Ensure any required rumble strips are ground into the concrete pavement after the
minimum specified time and strength have been obtained. Ensure the completed
rumble strip conforms to the tolerances for alignment, spacing, depth, length, and
width. Ensure noise restrictions are met.
For concrete pavement crack treatment, ensure application takes place after any
corrective grinding. Ensure surface to be treated is properly cleaned and adjacent
areas such as pavement joints, drains, and openings are protected. Refer to Section
40-6.03, Construction, of the Standard Specifications for other placement
provisions.
Measurement and Using the dimensions shown on the plans, calculate the quantity of concrete pavement
Payment to be paid for. Use curve corrections to make sure that calculations account for curves
in alignment. Make deductions from contract payments for deficient pavement
thickness.
4-4004A Measurement of Pavement Thickness
Cores taken in each primary unit of pavement at the minimum specified rate and cores
in primary unit areas taken at the contractors request are referred to as primary
cores.
Primary cores do not include cores taken for secondary thickness measurements. These
cores and those taken to determine the limits of secondary units are referred to as
secondary cores.
Before coring begins in primary units, designate areas where coring is excluded. Limit
excluded areas to the following:
Dig-out spots in the subgrade.
Thickened slabs at bridge approaches.
End anchors.
Local areas where authorized modifications to the planned pavement thickness
have been permitted.
Do not exclude portions of the primary unit where equipment had difficulty or where
unauthorized deviations from planned pavement thickness occurred.
4-4004A (1) Location of Primary Cores
Do the following to locate primary cores:
For each pavement thickness on each day's paving, determine the net area, in
square yards, of pavement placed, excluding the area of structures and other areas
on which pavement is not placed during that day. The resulting measurement is the
area of the primary unit. Divide the area of the primary unit by 1200 square yards
and take the next highest whole number. The resulting number is the number of
primary cores to be taken, unless the contractor requests additional ones.
Divide the net length of the primary unit by the number of primary cores to be
taken in that unit. The resulting distance is the primary coring interval.

Locate the first core in any primary unit by starting at either end of the unit (preferably
proceeding in the direction of increasing stations), and select a lane at random. Select
any factor from the longitudinal factors shown in Table 4-40.1, Calculation Factors to
Locate Cores, and multiply the factor by the primary coring interval. The result is the
distance from the beginning of the primary unit to the first core. (Any random method
of selecting the longitudinal location of the first core is within the intent of the
specification.) Determine the lateral location of the first core by selecting a value from
the lateral column shown in Table 4-40.1 and measuring that distance from the right-
hand edge (when looking ahead) of the lane selected.
Table 4-40.1. Calculation Factors to Locate Cores

Longitudinal (Factor) Lateral (Feet)
0.6 6
0.1 10
0.2 2
0.9 9
0.5 5
0.7 7
0.4 4
0.8 8
0.3 3
In turn, locate the remaining primary cores in the lanes. Space them uniformly,
from the first core in the unit, at longitudinal intervals equal in length to the
primary coring interval for the unit. Then locate them laterally within each lane as
used for the first core by applying successive values from the lateral factors in
Table 4-40.1. All values in the table are to be used successively for each primary
unit throughout the project after the value for the first core in the unit is selected at
random. The location of each core should be spotted on the pavement within
pacing accuracy longitudinally and within about 1 foot laterally.
4-4004A (2) Location of Secondary Cores
To determine the limits of secondary units, locate cores in approximately the center of
each adjacent panel.
4-4004A (3) Thickness Variation
For all cores, determine the pavement thickness variation by subtracting the specified
thickness of pavement from the thickness determined by core measurements. Record
excess thickness by using a plus sign and deficient thickness by using a minus sign.

4-4004B Calculation of Deductions in Payment to the Contractor for Deficient
Thickness
Take these steps when calculating deductions based on deficient thickness:
4-4004B (1) When None of the Primary Cores are Deficient in Thickness by More
Than 0.05 Foot
When no primary cores are deficient in thickness by more than 0.05 foot, make an
adjustment as follows:
To determine the average thickness deficiency, if any, for the primary unit, average
the thickness variations of all primary cores. Record this value to the nearest 0.01
foot. If the average thickness deficiency is less than 0.01 foot, make no deficiency
adjustment. If the average thickness deficiency is more than 0.01 foot, continue
with the steps below.
To obtain the deficiency adjustment in dollars per square yard, use the table in
Section 40-1.04, Payment, of the Standard Specifications. The average thickness
value is to be rounded to the nearest hundredth of a foot for averages from 0.01
foot to 0.05 foot when using the pay adjustment table.
To obtain the total amount of payment to deduct for the primary unit, multiply the
deficiency adjustment by the total area of the primary unit in square yards.
4-4004B (2) When One or More of the Primary Cores are Deficient in Thickness by
More Than 0.05 Foot
When one or more cores are deficient in thickness by more than 0.05 foot, determine
the limits of the deficiency by taking a secondary core in adjacent panels. Continue
taking a secondary core in adjacent panels, expanding as necessary, until the deficient
area is bounded by panels with deficient thickness of 0.05 foot or less. The bounded
area is referred to as a secondary unit. Reject the secondary unit area for
noncompliance pursuant to Section 5-1.30, Noncompliant and Unauthorized Work,
of the Standard Specifications. Exclude the secondary unit areas from payment and
deduction calculations. In the calculation to determine average thickness of the primary
unit, use the average thickness of all secondary cores outside the secondary unit to
replace the thickness of the initial primary core within that secondary unit.
To determine the primary unit deduction, multiply the primary unit area, excluding any
secondary unit areas, by the appropriate factor (if any) in the table titled Pay
Adjustments for Deficient Thickness within Section 40-1.04, Payment, of the
To determine the total deduction, add the deductions for primary units and the cost of
all secondary cores, including those taken outside secondary unit areas.
Below is an example illustrating the procedure for measuring the pavement for
thickness and calculating deductions for thickness deficiencies. The procedures and the
dollar figures used for deductions from payments to the contractor used in the example
are based on Section 40-1.01D(13)(e), Concrete Pavement Thickness, and Section
40-1.04, Payment, of the Standard Specifications.
Assume the following:
The contractor paved two lanes (1 and 4) from Station 10+00 to Station
46+10. An equipment crossing and a bridge within the limits of the days run
caused skips in the length paved totaling 460 feet (from Station 21+20 to

Station 25+80). The actual length paved was 6300 feet (3150 feet x 2 lanes).
The total area paved on this date was 8400 square yards.
The engineer calculated the number of cores required for thickness measurements
in the primary unit (8400/1200 = 7) and the core interval (6300/7 = 900). To
determine the location of the first core, the engineer chose the outside lane (4), at
random and used the seventh set of numbers at random, from Table 4-40.1,
Calculation Factors to Locate Cores. The first core was taken at a longitudinal
distance of 360 feet from the beginning and at a lateral distance of 4 feet from the
right edge of the lane. Subsequent cores were taken at a core interval of 900 feet,
excluding skip areas, proceeding from lane 4 to lane 1. Figure 4-40.1, Primary
Cores, illustrates the primary unit and the locations of all the primary cores.
Figure 4-40.1. Primary Cores
Equipment
18+10
31+70
40+70
Begin
End
Crossing and
Bridge 900 ft
10 ft Primary Core Interval 9 ft
New Concrete Pavement Lane Lane 1
2 ft
Existing Concrete Pavement Lane Lane 2
Existing Concrete Pavement Lane Lane 3
4 ft New Concrete Pavement Lane 8 ft Lane 4 6 ft

360 ft 900 ft 3 ft
Primary Core Interval
10+00
13+60
21+20
25+80
27+20
36+20
45+20
46+10
a. Length of primary unit = 6300 ft {[(4610-1000) - (2580-2120)]*2}
b. Number of cores = Area/Core Frequency = (6300 ft x 12 ft x 1 sqyd/ 9 sf) / (1200 sqyd/core) = 7 cores
c. Primary core interval = 6300 ft / 7 cores = 900 ft/core
d. Location of the first primary core:
In this example the outside lane (4) is chosen (at random), and the seventh set of numbers (at
random) from Table 4-40.1 is used. The first core is taken at a longitudinal distance from the
beginning of 360 ft (0.4 x 900 ft). The first core is taken 4 ft from the right edge of the lane.

The core thickness variations for the respective numbered cores were determined
as follows:
Core Number Stationing and Lane Core Offset Thickness Variation
1. Sta. 13+60 Lane 4 4 ft off right edge -0.03 ft
2. Sta. 27+20 Lane 4 8 ft off right edge +0.02 ft
3. Sta. 36+20 Lane 4 3 ft off right edge +0.03 ft (use +0.02 ft)
6. Sta 31+70 Lane 1 2 ft off right edge -0.00 ft
7. Sta 40+70 Lane 1 9 ft off right edge -0.07 ft
Core 3 is more than 0.02 foot greater than the specified thickness, so + 0.02 foot
was used in the calculation to determine thickness deficiency in the primary unit in
accordance with Section 40-1.01D(13)(e), Concrete Pavement Thickness, of the
Core 7 was deficient by more than 0.05 foot. Because of this deficiency, the next
step was to determine the dimensions of the secondary unit from secondary
thickness measurements.
To determine the limits of the secondary unit, the resident engineer ordered secondary
thickness measurements in the panels adjacent to the panel where Core 7 was taken.
Subsequent thickness measurements were in panels adjacent to panels with thickness
deficiencies of more than 0.05 foot. This process continued until the secondary unit
was bounded by panels in which the secondary measurements were deficient in
thickness by 0.05 foot, or less. Cores in each of these panels were taken in the center of
the panel.
Figure 4-40.2, Secondary Cores, illustrates the thicknesses of the secondary cores
taken.
Figure 4-40.2. Secondary Cores
40+70
14 ft 15 ft 12 ft 13 ft 14 ft 15 ft Slab Length
Lane 1
7a-3 7a-2 7a-1 7 7b-1 7b-2 Core Number

0.04 ft 0.06 ft 0.07 ft 0.07 ft 0.06 ft 0.05 ft Thickness

Core Number Thickness Variation
7a-1 -0.07 ft
7a-2 -0.06 ft
7a-3 -0.04 ft
7b-1 -0.06 ft
7b-2 -0.05 ft
The panels in the secondary unit area represented by cores 7, 7a-1, 7a-2 and 7b-1 were
measured and found to be 54 feet in length and represent 72 square yards.
The engineer averaged thickness variations of the secondary thickness measurements
outside the secondary unit area. The resulting value was used in the calculation in lieu
of the thickness variation for Core 7 to determine the average thickness deficiency of
the primary unit area. The core thickness variations in the panels surrounding the
secondary unit are tabulated below.
Core Number Thickness Variation
7a-3 -0.4 ft
7b-2 -0.5 ft
The average of the thickness variations in the above table is -0.045 feet. This average
was rounded to -0.05 foot, and used for the thickness variation for Core 7 in the
primary unit.
Using -0.05 foot for the Core 7 thickness deficiency, the engineer calculated the
average thickness deficiency (cores 1 through 7) for the primary area to be -0.016 foot.
This average was rounded to -0.02 foot and used for the thickness deficiency for the
primary unit.
The remaining area of the primary unit, after the area of the secondary unit was
subtracted, was as follows:
8400 - 72 = 8328 square yards.
The deduction from payment to the contractor for thickness deficiency in the primary
area in accordance with Section 40-1.04, Payment, of the Standard Specifications
was calculated as follows:
8328 square yards x $2.30/square yard = $19,154.00
The secondary unit area was later removed, reworked, and replaced. A single core was
then taken to determine thickness variation and found to be -0.01 foot. A deduction
was then taken on the remedied secondary unit as follows:
72 square yards x $0.90/square yard = $64.80

In addition to the deductions for pavement thickness deficiencies in the primary and
secondary units, a deduction from payment to the contractor was made for the cost of
all secondary thickness measurements. The cost of secondary thickness measurements
was the cost of cores 7a-1 through 7a-3, 7b-1 through 7b-2, and 7c-1 (core taken after
replacement of secondary unit).
4-4004B (3) Contractors Requests for Additional Thickness Measurements
If, after the primary coring is performed, the contractor requests additional thickness
measurements in any primary unit, treat the request as a request for doubling the
frequency of coring in the primary unit area. Locate the additional cores in a manner
similar to that used for locating the primary cores. This approach will halve the interval
distance between primary cores. To calculate the deficiency adjustment, do not
separately consider additional cores that are deficient in thickness by no more than 0.05
foot. Instead, include these cores with the original primary cores. If additional cores are
deficient in thickness by more than 0.05 foot, determine the limits of the secondary
areas.
Do not grant permission to a request from the contractor for selective coring. However,
if the contractor requests additional thickness measurements before the performance of
any of the primary coring, you may shorten the length of the coring interval for the
primary unit accordingly. For example, the contractor may request a rate of one core
for each 600 feet of traffic lane rather than one core for each 900 feet. The request will
have the effect of increasing, not necessarily doubling, the number of cores.
Deduct from the payment to the contractor the cost of additional thickness
measurements that resulted from the contractors request.
If a contractor requests more than one round of additional cores, consult with the
construction field coordinator before granting permission.
4-4004C Handling of Skips in the Original Days Pour and Secondary Areas to Be
Removed and Replaced
Skips (such as gaps left for traffic or equipment crossing, short distances between
adjacent bridges, and secondary areas to be removed and replaced) are ultimately
poured at a later date. The net area of such pavement placed in any one day technically
becomes a primary unit area and, as such, is subject to the specifications regarding
thickness measurements. Use judgment regarding which of these areas warrant
thickness coring. In general, any area excluded from final coring should be small, and
you must have other measurements to confirm that the thickness of the pavement is not
deficient.
4-4004D Handling Deficient Areas Not Cored
When you have specific knowledge of areas deficient in thickness and you have
records of the extent of such deficiency, exclude these areas from the random coring.
Make the deficiency adjustment on the average thickness deficiency in the same
manner as for areas that have been cored.
4-4004E Administration
Notify the contractor in writing of the date and place where coring will be performed.
Follow up orally, if necessary, to be certain the contractor knows when and where
coring will take place.

After measuring and recording pavement thickness, retain the cores until final
agreement is reached on payment for the concrete pavement, usually after the
contractor returns the proposed final estimate.
The personnel who measure core thickness prepare the coring records, which include
information about core location and measured thickness. The original records and one
copy are given to the resident engineer, who retains the original and forwards the copy
to the contractor. Personnel from the district materials laboratory will keep one copy;
another copy goes to METS in Sacramento.
Use Form TL-3096, Pavement Core Record, which must include sketches showing
the location of the cores. Separate reports should be prepared and identified for
secondary area measurements. These reports will help determine the cost to the
contractor for secondary coring and provide a clear record of secondary areas. Follow
the same distribution of copies described in the previous paragraph for primary unit
reports.
4-4004F Other Payment Items
Coring for determining acceptance of dowel bars and tie bar placement is to be
conducted in a similar manner as that of thickness, except use revised lot sizes based on
the specified frequencies. If dowel or tie bars are placed outside the specified tolerances
or cores show air voids around the bars, obtain additional cores to determine the limits
of unacceptable work. Determine the areas that will require removal. If authorized as
specified in Section 40-1.01D(13)(g), Dowel Bar and Tie Bar Placement, of the
Standard Specifications, apply deduction in payment on represented areas that are
allowed to remain in place using amounts specified in Section 40-1.04, Payment, of
the Standard Specifications. Note that the adjusted areas to be used include the slab
dimensions adjacent to the joint identified.
Certain areas may also receive multiple payment deductions (i.e. thickness, dowel bars,
or tie bars/reinforcement deductions). These are to be applied to the representative area
and will be added to the other deductions.

Section 41 Concrete Pavement Repair

4-4101 General
4-4102A General
4-4102B Pavement Subsealing or Pavement Jacking
4-4102C Crack Existing Concrete Pavement
4-4102D Dowel Bar Retrofit
4-4102E Individual Slab Replacement with Rapid Strength Concrete
4-4103A Pavement Subsealing
4-4103B Pavement Jacking
4-4103C Repair Spalled Joints
4-4103D Sealing Concrete Pavement Joints
4-4103E Crack Existing Concrete Pavement
4-4103F Pavement Transition Taper
4-4103G Dowel Bar Retrofit

Concrete Pavement Repair 4-41.i
Concrete
Section 41 Concrete Pavement Repair Pavement
Repair
4-4101 General 4-4101

Multiple strategies are used for repair of concrete pavements. The following common General
types of concrete pavement repair are covered in this section:
Pavement subsealing consists of filling voids under the pavement without
disturbing the elevation of the finished surface by drilling holes through the
pavement and underlying base, cleaning the holes, injecting grout, and filling holes
with mortar.
Pavement jacking consists of filling voids present under the pavement and raising
the pavement's finished surface to a desired elevation by drilling holes through the
pavement, cleaning the holes, injecting grout through the holes, grinding or
replacing concrete pavement raised too high, and filling holes with mortar or
concrete.
Repair spalled joints consists of removing unsound or damaged concrete, filling
the area with fast-setting grout or polyester grout, and replacing existing sealed
joints at spalled locations.
Sealing concrete pavement joints consists of constructing or replacing sealed joints
in concrete pavement at existing transverse and longitudinal contraction joints with
silicone or asphalt rubber liquid sealant.
Crack existing concrete pavement consists of cracking and seating pavement to
form discrete segments of pavement and includes cleaning loose debris and filling
joints, cracks, and spalls.
Pavement transition taper may consist of removal of existing concrete pavement,
placement of temporary HMA, and construction of pavement transition tapers with
replacement concrete.
Dowel bar retrofit consists of placing dowel bars at transverse joints in existing
concrete pavement.
Individual slab replacement with rapid strength concrete consists of removing
existing pavement, and possibly the underlying base, and constructing concrete
pavement, and possibly the underlying base, using rapid strength concrete.
The contract will describe which concrete pavement repairs are to be performed.
Additional background information concerning concrete repairs may be found
within the Maintenance Technical Advisory Guide (MTAG), Volume II - Rigid
Pavement Preservation, Second Edition at the following website:
http://www.dot.ca.gov/hq/maint/roadway.htm

Concrete Pavement Repair 4-41.1
Before Work Begins
4-4102A General
Review the contract plans and specifications for all contract requirements,
including those covering traffic handling, equipment, and materials to be used.
Verify that the plan to control water pollution is approved and in place.
materials to be used. Refer to Section 6-202, Responsibilities for Acceptance of
information.
Review the contractors proposal for materials to be used and for the required data
from an authorized laboratory.
Verify that the materials the contractor plans to use comply with Section 41
[41-1.02] of the Standard Specifications. Where specified, ensure that the proposed
products are on the current authorized material list.
Require certificates of compliance for fly ash, admixtures, cement, joint sealant,
dowel bars, chemical adhesive, compression seal, backer rods, joint filler materials,
and epoxy powder coating.
Require manufacturer recommendations and instructions for materials as specified.
Inspect packaged fly ash, cement, or combined fly ash and cement to determine
that these materials are labeled as required in the specifications. For proper
labeling, also collect and review shipping invoices for fly ash and cement delivered
in bulk.
Examine the contractors equipment to determine that it meets specified
requirements.
Discuss traffic handling with the contractor, and review the contractors plan for
lane closures. See Sections 4-12, Construction Area Traffic Control Devices,
and 2-2, Traffic, of this manual for a discussion of traffic handling devices and
lane closure procedures.
Check the existing condition of the pavement, and revise areas to receive concrete
repair as needed.
Check for the presence of traffic loop detectors.
Verify that the atmospheric and subgrade temperatures are above the specified
minimums and that weather conditions are suitable before beginning concrete
repairs.
4-4102B Pavement Subsealing or Pavement Jacking
Check the plans for the pattern and location of injection holes.
Check the contractors actual layout of injection hole locations to see that it
conforms to the planned pattern.
Establish vertical control for monitoring pavement grades during subsealing or
jacking operations.

4-41.2 Concrete Pavement Repair
4-4102C Crack Existing Concrete Pavement
Verify the contractor's procedure for cracking pavement through a test section and
visually inspecting concrete cores for conformance with specification requirements.
4-4102D Dowel Bar Retrofit
Discuss dowel bar retrofit methods at the preinstallation conference with personnel
who perform the work. Ensure that a training class on dowel bar placement techniques
is attended by appropriate personnel or that the contractor has provided written
verification of prior acceptable work experience and training involving the retrofit of
existing concrete pavement with dowel bars. Ensure the dowel bar retrofit in the
required test strip is acceptable prior to beginning production work. Before slot cutting,
survey the existing traffic striping, pavement markings, and pavement markers and
determine where delineation repairs will be required.
For individual slab replacement with rapid strength concrete, ensure the following:
Manufacturer recommendations and instructions are submitted for storage and
installation of specified materials.
A plan for protecting pavement during cold weather is submitted.
Samples of cement from each proposed lot and proposed admixtures are
submitted.
Submittal of mix design(s) for rapid strength concrete including opening age,
aggregate gradations, proportions of constituents, maximum time allowance
between batching and placing, range of ambient temperatures over which mix
design is effective, final set time, and any special requirements such as water
temperature. Note that each mix design has a specified maximum ambient
temperature range that may result in multiple mix designs for a single project.
Modulus of rupture development data is required for each mix design and must
include the following minimum age tests: 1 hour before opening age, opening age,
1 hour after opening age; and 24 hours, 7 days, and 28 days after placement.
Methods of performing each item of the work are discussed with the specified
personnel at the prepaving conference. The purpose of the prepaving conference is
to familiarize personnel with the project's specifications. Items to be discussed
include process for production, transportation, placement, replacing pavement,
contingency plan, sampling, and testing.
Successful performance of trial slabs for each mix design. Ensure the contractor is
capable of constructing slab replacement in compliance with the specifications
within the specified time periods, including delivery, placement, finishing, and
curing times, and under similar atmospheric and temperature conditions expected
during replacement operations. Additional time for pavement removal, base
removal, base replacement, bond breaker, and dowel bar installation as required,
must be factored into specified time periods. Trial slabs are not to be placed on the
roadway or within the project limits. During trial slab construction, obtain a split
sample of aggregate from the contractor for grading, cleanness value, and sand
equivalent testing. Ensure the contractor fabricates test beams in accordance with
specification requirements for determining early age and 7-day modulus of rupture
values. Verify the contractor's method for curing beams for early age testing.

Verify the contractor's means to monitor and record internal temperatures of trial
slabs and early age beams. Reject trial slabs not meeting early age and 7-day
modulus of rupture requirements. Require the contractor dispose of trial slabs.
Contingency plan equipment, materials and personnel for temporary roadway
pavement are present at the job site during individual slab replacement operations.
For projects with larger individual slab replacement quantities, the special
provisions may include additional requirements covering materials, construction,
and payment. Be sure to review these requirements well in advance of the intended
work.

4-4103A Pavement Subsealing
Work
Do the following during the course of work:
Verify that the colloidal mixer operates within the specified rpm.
Verify that the pump can sustain the specified gauge pressure.
Verify that the washing device meets the specified number of jets and that the
contractor operates it as the specifications require.
Perform California Test 541, Flow of Grout Mixtures (Flow Cone Method), to
ensure that the efflux time is within the required range during grouting operations.
Monitor the slab for movement during subsealing.
Monitor grout mixing so that grout not used within the specified time is disposed
of properly.
4-4103B Pavement Jacking
Verify that the colloidal mixer operates within the specified rpm.
Verify that the pump can sustain the specified gauge pressure.
Verify that the washing device meets the specified number of jets and that the
contractor operates it as the specifications require.
Perform California Test 541, Flow of Grout Mixtures (Flow Cone Method), to
be sure the efflux time is within the required range during grouting operations.
Monitor the slab for movement during subsealing. Observe and monitor the
contractor's string lines during jacking to determine when the slab has been raised
to the established grade.
Monitor grout mixing so that grout not used within the specified time is disposed
of properly.
Ensure grinding of slabs conforms to Section 42, Groove and Grind Pavement,
4-4103C Repair Spalled Joints
Verify that concrete removal is preceded by sawcutting at the required depth along
the rectangular areas to be removed. Ensure that any contractor-damaged concrete

outside the designated limits of repair is repaired at the contractor's cost and note
these areas and quantities in the daily reports.
Verify that exposed concrete surfaces are cleaned with equipment conforming to
specification requirements.
Prior to grout placement, observe joint form board installation and ensure any
bonding agent is mixed in accordance with manufacturer instructions and applied
to concrete surfaces.
Ensure grout is mixed, placed, cured, and protected in accordance with
Ensure removed or damaged joint sealant is repaired at spall locations in
accordance with Section 41-5, "Sealing Concrete Pavement Joint," of the Standard
Specifications. Section 41-5.03C requirements do not apply. Refer to Section
4-4103D, "Sealing Concrete Pavement Joints," for additional guidance.
4-4103D Sealing Concrete Pavement Joints
Ensure removal of existing joint sealant material does not damage the existing
sealant reservoir or pavement.
Where joint sealant reservoirs are constructed, ensure concrete residue from
sawing operations is collected, contained, and disposed of properly.
Prior to backer rod installation, ensure sealant reservoir is free of debris, dried,
sandblasted, air blasted, and vacuumed in accordance with the specifications.
Ensure backer rod installation does not leave a residue or film on the reservoir
walls that will later receive sealant.
Ensure sealant is prepared and installed in accordance with manufacturer
instructions and specification requirements.
Prior to opening to traffic, ensure the sealant is tack free and firm enough to
prevent embedding of roadway debris into the sealant.
4-4103E Crack Existing Concrete Pavement
Ensure contractor's equipment and methods for cracking and seating concrete
pavement meet specification requirements.
Ensure cracked pavement segments conform to specified nominal dimensions.
Ensure uncontrolled methods for cracking pavement are not used.
Ensure that authorized equipment and procedures for cracking pavement are
producing desired results through the contractor's pavement cores and visual
inspection in accordance with specified frequencies. Require additional test
sections and cores if results are not achieved or equipment or procedures are
changed.
When existing concrete pavement is covered with asphalt concrete of 0.10-foot or
less, specifications provide a method for verifying desired results through use of an
inspection strip involving the removal and disposal of the asphalt concrete
surfacing.

Prior to opening cracked concrete pavement to traffic, ensure the pavement is
swept of loose debris. Ensure public traffic is allowed on newly cracked pavement
or on the first layer of hot mix asphalt (HMA) for no more than 15 days.
Ensure cracked concrete pavement is seated in accordance with seating
specification for equipment and procedures. Once seated, verify that loose debris
from joints and cracks has been cleaned using compressed air.
Ensure all joints, cracks, and spalls exceeding specified dimensions receive an
application of tack coat and are filled and compacted HMA prior to either opening
to traffic or applying tack coat for first layer of HMA.
Ensure seated segments of cracked concrete pavement receive the first layer of
HMA within 24 hours of seating.
4-4103F Pavement Transition Taper
Verify that removal operations do not damage concrete pavement to remain in
place and do not create flying debris.
Ensure that replacement concrete complies with concrete for individual slab
replacement in Section 41-9, "Individual Slab Replacement with Rapid Strength
Concrete," of the Standard Specifications.
Requirements concerning temporary HMA are discussed in the specifications.
4-4103G Dowel Bar Retrofit
Ensure fast-setting grout and joint sealants are stored and installed in accordance
with manufacturer recommendations and instructions.
Ensure saw cut equipment conforms to requirements in the specifications and that
saw cuts meet specified tolerances. Verify that concrete debris, water residue, and
paste are immediately removed during saw cutting operations.
Prior to concrete removal operations, verify that the contractor has sufficient
temporary backfill material on hand in accordance with the specifications.
Ensure concrete removal operations do not damage concrete pavement to remain
in place. Verify that contractor's removal equipment does not exceed the class
specified.
Ensure the Contractor has scheduled work shifts so removal of concrete for dowel
bar slots, placement of dowel bars, and placement of fast-setting grout with
required cure time will occur prior to opening to traffic. Use of temporary backfill
material is a back-up plan if anticipated production is not achieved. Subsequent
work shift operations should be adjusted in consideration of actual production
rates.
Ensure dowel bar slots are constructed and cleaned in accordance with
Verify transverse joints are sealed with caulking filler material meeting
specifications.

Ensure dowel bars are clean prior to application of dowel bar lubricant. Ensure
proper clearance is provided between the dowel bar and pavement surface and
placement tolerances are maintained. Verify that expansion caps have been placed
on dowel bars and will provide at least the minimum specified joint movement at
each end of the bar.
To ensure proper performance of the dowel bars, pay particular attention to the
foam core insert, which, when properly installed, helps isolate adjacent slabs.
Leakage or displacement of the foam core insert during placement of fast-setting
grout may damage concrete pavement and shorten design life. Likewise, dowel bar
support chairs must securely hold dowel bars during placement and consolidation
of fast-setting grout or future problems may arise.
Ensure fast-setting grout is mixed in accordance with manufacturer instructions.
Mixing portions of prepackaged components is not allowed. Where dual-
component magnesium phosphate is used, water is not to be added. Ensure
containers and tools are appropriate for mixing fast-setting grout.
Prior to placement of fast-setting grout, verify minimum surface temperatures of
areas to receive grout and surface conditions (for example, dry or damp) are
appropriate for the type of grout being used. When the contractor has proposed
methods to heat surfaces, ensure minimum temperatures are obtained immediately
prior to grout placement.
Grout is to be placed while fresh and immediately consolidated with a small
handheld vibrator that thoroughly consolidates the grout. Retempering of the grout
is not allowed. Finishing tools for grout should be dried thoroughly prior to use.
Finishing of the grout within the dowel bar slots should result in a slightly rounded
surface of 3/32 to 5/32 inch above the existing concrete surface. Verify that grout
areas are cured under Section 90-1.03B(3), "Curing Compound Method," of the
Once dowel bar slot grout has cured but prior to 30 days from initial saw cutting,
ensure that retrofit pavement lanes are ground to comply with smoothness and
finishing specifications. Pavement grinding is to be performed prior to any sawing
and sealing of the transverse joints within the retrofit lanes.
Joint sealing of transverse joints includes removing existing sealant, shaping
sealant reservoir by sawcutting the transverse joint, repairing minor spalling,
cleaning joint, installing backer rod, installing sealant, and curing. Consult the
specification for these requirements.
The contractor must perform random cores to ensure proper alignment of dowel
bar ends. Consult the specification for these requirements. If cores indicate dowel
bars were installed incorrectly, stop dowel bar retrofit activities until the contractor
has demonstrated that the problem causing the improper positioning has been
corrected. Ensure that dowel bars identified as damaged or misaligned are
replaced.
Ensure that pavement delineation removed or damaged due to dowel bar retrofit is
repaired in accordance with the specifications.

4-4103H Individual Slab Replacement With Rapid Strength Concrete
Verify that contingency plan equipment, materials, and personnel for temporary
roadway pavement structure are present at the job site.
Where saw cutting is performed in separate work shifts than concrete removal,
ensure no more than 2 business days expire prior to concrete removal. Saw cutting
parallel or diagonal to the travelled way is only allowed during the work shift when
concrete removal will take place. Prior to concrete removal, dowel bars and tie
bars must be sawn. Ensure concrete pavement is not impacted within 18 inches of
pavement remaining in place. Verify that pavement and base to be removed does
not damage pavement or base remaining in place. Ensure removed materials are
disposed of by contractor. Verify contractor prepares the finished surface of the
remaining material in accordance with the specification requirements and to the
established grade. Any over-excavated areas are to be filled with base replacement
material, in the same operation as the base replacement, at the contractor's cost.
Examine base replacement layer to verify smooth surface, free of voids, porous
areas, and projections such as mortar ridges.
Prior to placing bond breaker, ensure any foreign or loose materials are removed
from the base surface. Ensure bond breaker is placed in accordance with
Ensure installation of dowel bars at transverse construction joints conforms to
specification requirements and manufacturer instructions. Dowel bars must be
supported during the chemical adhesive minimum cure time.
Where rapid strength concrete will be placed against existing concrete, ensure joint
filler is placed along the existing transverse and longitudinal joint faces and
extending to the full depth, in accordance with the specifications. Depending on
existing transverse joint spacing in adjacent lanes, additional transverse contraction
joints may require construction as specified.
Coordinate inspection of rapid strength concrete with plant inspection personnel.
Ensure lines of communication are maintained between the plant and the field so
contingencies can be used appropriately. Rapid strength concrete must conform to
Section 90-3 of the Standard Specifications.
Spreading, compacting, shaping, and protecting of rapid strength concrete must
conform to specified requirements.
Sample and fabricate beam specimens to determine modulus of rupture at opening
age and 7 days. Cure fabricated beams for contract acceptance and payment
determination. The modulus of rupture value is determined under California Test
524 by testing three beam specimens for each age. No single test represents more
than that day's production or 130 cubic yards, whichever is less.
Ensure that rapid strength concrete surface is finished in accordance with
specification requirements. Visually inspect final texturing of concrete pavement
for compliance with coefficient of friction requirements. Schedule coefficient of
friction testing on questionable areas. Where friction requirements have not been
met, the contractor must groove or grind the pavement in accordance with Section
42 of the Standard Specifications. Check concrete pavement smoothness using a
12-foot straightedge placed parallel with and perpendicular to the centerline in

accordance with the specifications. Ensure the contractor corrects pavement
surfaces out of compliance with smoothness requirements.
When needed, ensure temporary roadway pavement structure is placed,
maintained, removed, and disposed of in accordance with specification
requirements.
Measure areas of concrete pavement repair. Deduct any areas that were repaired due to Measurement and
contractor's damage. Payment
For subsealing/jacking, count the number of holes drilled. Verify that the holes to be
paid for are only those holes shown on the plans or those ordered to be drilled.
Count bags of packaged fly ash and cement to determine pay quantities for grout
(subsealing/jacking). During counting, ensure that duplication or omission does not
occur. Collect weigh tickets for materials delivered in bulk, and remember to deduct
quantities of materials not used or wasted.
For sealing concrete pavement joints, measure the actual length of joints installed for
seal/replace concrete pavement joint quantity.
For crack existing concrete pavement, measure the full width and length of pavement
cracked and seated for payment. Do not deduct areas in existing pavement where
cracked segments are observed.
For pavement transition tapers, payment is measured from dimensions shown. No
additional compensation is made when temporary HMA is used.
For dowel bar retrofit, measure the number of dowel bar retrofits performed
acceptably. Do not pay for those dowel bar retrofits that show damage or misalignment
of dowel bars. Unless otherwise specified, all work within the dowel bar retrofit
specification is fully compensated within the dowel bar retrofit pay item. Payment for
the 4-hour training class as part of the preinstallation conference is change order work
except if payment is made by force account; no markups are allowed.
For individual slab replacement, payment is based on field measurements. Drill and
bond dowel bars are not included in payment for individual slab replacement. Specified
pay factor adjustments are applicable for low modulus of rupture of rapid strength
concrete. In accordance with the pay factor adjustment, rapid strength concrete not
meeting modulus of rupture minimums is to be replaced at the contractor's expense.

Section 42
Section 42 Groove and Grind Pavement Groove and
Grind Pavement
4-4201 General 4-4201
Maintenance Technical Advisory Guide (MTAG), Volume II - Rigid Pavement General
Preservation, Second Edition, discusses groove and grind strategies for rehabilitation
of existing rigid pavements, and is available at the following website:
http://www.dot.ca.gov/hq/maint/roadway.htm
Grooving is usually performed on:
Existing pavements to improve drainage of water at the pavement surface.
New and existing pavements to improve skid resistance.
Grinding is usually performed to improve the ride quality of new or existing
pavements.
Review the contract plans and specifications.
Begins
Discuss traffic handling with the contractor and review the contractors plan for
lane closures. For a discussion of traffic handling devices and lane closure
procedures, see Section 4-12, Temporary Traffic Control, and Section 2-2,
Traffic, of this manual.
Ensure the contractors equipment meets specified requirements.
Before the grooving or grinding operation, inspect and locate any existing detector
loops on either new or existing pavement to prevent damage to the detector loops
sealant. If detector loops are not visible, consult with the district traffic unit.
Check local noise ordinances and review specified noise requirements.
In areas to be grooved and ground, verify that yellow stripe and pavement
markings do not contain lead. For instructions regarding this issue, see Section
4-15, Existing Facilities, of this manual.
Verify that the required water pollution control plan is approved and in place.
The contract may show locations for on-site drying of concrete grooving and
grinding residue before disposal. Verify that temporary storage materials for this
purpose conform to WM-8, Concrete Waste Management, in the Construction Site
Best Management Practices (BMPs) Manual or Section 13-9.02, "Materials," of
The contract or materials information handout may identify locations within the
right-of-way for final disposal of concrete grinding and grooving residue. The
resident engineer must verify that a Regional Water Quality Control Board

Groove and Grind Pavement 4-42.1
(RWQCB) permit or approval is included in the materials information handout or
resident engineer file. If an RWQCB permit or approval has not been included,
contact your environmental-construction liaison for assistance in obtaining these
documents. Refer to the contract special provisions to obtain information about
offsite disposal facilities for concrete grooving and grinding residue.
When the contract documents do not allow final disposal of grooving and grinding
residue within the right-of-way, obtain from the contractor the name and location
of the disposal facility that will receive the concrete grooving and grinding
residues, in accordance with Sections 42-1 [7.1.13], "General," and 5-1.20B(4),
"Contractor-Property Owner Agreement," of the Standard Specifications. Obtain a
copy of the facilitys RWQCB or other applicable agency permit; the RWQCB's
or other agency's written approval; or applicable local, state, or federal agency
permits if located outside California. Also ensure the following:
1. Verify that the disposal facility is permitted to accept concrete residue, by the
California Environmental Protection Agency (Cal/EPA). Oral confirmation
from the facility operator and documentation in the resident engineers daily
report are sufficient verification of the permit status of commercial disposal
facilities on this list.
2. When the contractor chooses to use a noncommercial offsite disposal facility,
the contractor must provide a copy of the Cal/EPA permit for disposal of the
liquid concrete residue.
3. When the contractor chooses a disposal site that is located outside of
California, the contractor must provide a copy of the permit issued by the state
agency having jurisdiction over the site to the resident engineer. The permit
must be provided before disposal.
4-4203A Grooving and Grinding Operations
Work
The following apply to both grooving and grinding operations:
Observe the operation to ensure that equipment and noise levels comply with
specifications.
Ensure that the handling of residue and dust from the operation meets
specifications.
Ensure that the grooved or ground widths meet specifications.
Ensure that a vacuum device picks up the concrete residue and that the residue
does not flow across the pavement or enter storm drain inlets.
For projects that temporarily store concrete residue in washout facilities, ensure
that the plastic liner seams are installed in accordance with manufacturer
requirements. Regularly inspect the liners during installation and operations to
ensure that they are free of holes, tears, or other defects that will compromise the
impermeability of the liner. Inspect washout facilities to ensure that adequate
holding capacity and minimum freeboard are maintained.
When the operation is complete, and offsite disposal is specified, obtain from the
contractor, final proof of delivery of the residue to the off-site disposal facility.

4-42.2 Groove and Grind Pavement
4-4203B Grooving
When grooving is specified:
At the beginning of the work shift, check behind the grooving machine to ensure
that all the blades are cutting grooves to the specified depth.
Record the locations of omitted grooves. When specified, require the cutting of
omitted grooves.
4-4203C Grinding
When grinding is specified:
As work progresses, check the ground pavements with the specified straightedge.
Determine if any abnormally depressed areas must be excluded from testing with
the profilograph and the 12-foot straightedge. Measure these areas to ensure they
do not exceed the specified percentage of the total ground area.
In accordance with California Test 526, Operation of California Profilograph and
Evaluation of Profiles, measure ground concrete pavements for a profile index.
Ensure ground areas on structures, approach slabs, and 50 feet of approach
pavement meet the smoothness and cover requirements in Section 51-1.01D(4)(b)
[51-1.17], Surface Smoothness, of the Standard Specifications.
In accordance with California Test 342, Surface Skid Resistance with the
California Portable Skid Tester, determine the coefficient of friction for surfaces
that have been ground.
Measure both grooving and grinding by the area grooved or ground. As the work Measurement and
progresses, make transverse measurements to ensure the grooved or ground areas meet Payment
the widths specified. You may compute lengths by measuring the distance to start and
stop locations from known stations and by computing the length grooved or ground
from the stationing. Include curve corrections in the calculations.
Where grinding has begun on an area that is then replaced by concrete pavement, do
not pay for the original grinding area. Instead, measure the area of replaced concrete
pavement and pay under the item for grind existing concrete pavement. Do not pay for
grinding replacement concrete pavement or for additional grinding to comply with
smoothness requirements.

Groove and Grind Pavement 4-42.3
Section 46 Ground Anchors and Soil Nails
Section 47 Earth Retaining Systems
Section 48 Temporary Structures

For guidance on these 2010 Standard Specifications sections, refer to Structure
Constructions Bridge Construction Records and Procedures manual.

4-46, 47, 48.1
Section 49 Piling Section 49

Piling
4-4901 General 4-4901
Section 49, Piling, of the Standard Specifications includes specifications for cast-in- General
place concrete, steel, timber, and precast prestressed concrete piling. Other materials
for piling may be shown on the plans or required in the special provisions. For detailed
information regarding piling, see Section 130, Foundations, of the Office of Structure
Constructions (OSCs) Bridge Construction Records and Procedures:
http://www.dot.ca.gov/hq/esc/construction/manuals/OSCCompleteManuals/BCRP
Vol2.pdf
and OSCs Foundation Manual:
http://www.dot.ca.gov/hq/esc/construction/manuals/OSCCompleteManuals/Found
ation.pdf

Begins
Review the project plans with the contractor to determine the locations where
piling will be installed adjacent to traffic lanes open to the public. Require the
contractor to submit for authorization a work plan for those locations where the
distance from the pile driving area to the nearest traffic lane open to the public is
less than the length of piles to be handled or installed. Review and authorize the
plan before allowing the contractor to start piling operations adjacent to traffic
lanes open to the public.
At the start of a project, do a field review of locations where piling is to be
installed, and check for overhead obstructions and underground utilities that the
project plans may not have addressed. Early identification of conflicts can avoid
lengthy and costly project delays.
Verify that Form CEM-3101, Notice of Materials to Be Used includes piling
information.
For instructions on preparing pile records to be kept during piling operations,
review Bridge Construction Memo 3-7.0, Pile Records, of Bridge Construction
Records and Procedures.
Piling operations are dangerous. The OSC Foundation Manual contains safety During the Course
information for various types of piling operations. In addition, the OSC Code of Safe of Work
Practices contains guidelines to follow for various piling operations. Before the

Piling 4-49.1
contractors operations begin, review both sources of information and the contractors
work plan, if required, in a tailgate safety meeting.
Record drilling and driving information required in Bridge Construction Memo 3-7.0,
Pile Records. At the completion of the piling operation, forward the piling
information collected to the OSC office in Sacramento.
Measurement and For furnish piling bid items, measure by the foot the longest side from the tip of the pile
Payment to the plane of pile cutoff. Driven piles include an added item for driving each pile.
Record information about drilling, driving, and measurements in accordance with
Bridge Construction Memo 3-7.0, Pile Records.

4-49.2 Piling
Section 50
Section 50 Prestressing Concrete Prestressing
Concrete
4-5001 General 4-5001
Section 50, Prestressing Concrete, of the Standard Specifications includes General
specifications for prestressing precast or cast-in-place concrete by tensioning
prestressing steel. For detailed information regarding prestressed concrete, see the
Office of Structure Constructions (OSCs) Section 160, Prestressed Concrete, of
Bridge Construction Records and Procedures:
http://www.dot.ca.gov/hq/esc/construction/manuals/OSCCompleteManuals/
BCRPVol2.pdf
and OSCs Prestress Manual:
http://www.dot.ca.gov/hq/esc/construction/manuals/OSCCompleteManuals/P
restressManual_Rev1.pdf

To comply with Section 5-1.23 [5-1.02], Submittals, of the Standard Specifications, Before Work Begins
the contractor must submit for authorization the shop drawings of the proposed
prestressing system. The shop drawings are submitted directly to the Office of
Structure Design documents unit, as specified in Section 50, Prestressing Concrete,
of the Standard Specifications. The review of the working drawings is a coordinated
effort between the Office of Structure Design and the OSC. The Office of Structure
Design has the primary responsibility for authorizing the shop drawings.
Verify the receipt and proper distribution of Form CEM-3101, Notice of
Materials to Be Used, which includes prestressing materials. Refer to
Materials and Products, of this manual for additional information.
Review the OSC Prestress Manual for instructions on prestressing records to keep
during prestressing operations.
Before the contractors operations begin, review both sources of information in a
tailgate safety meeting.

Prestressing operations are dangerous. The OSC Prestress Manual contains safety During the Course of
information for prestressing operations. The OSC Code of Safe Practices, found on the Work
OSC website, contains safety guidelines for prestressing operations.
After completing the work for each structure, the contractor must electronically submit
corrected as-built drawings to the resident engineer for transmittal to the Office of

Prestressing Concrete 4-50.1
Structure Design documents unit. Remind the contractor that final contract acceptance
will not occur until the corrected as-built drawings have been submitted.

Measurement and The contract price for furnishing precast members includes payment for prestressing
Payment precast concrete members. Prestressing cast-in-place concrete is paid for on the basis of
a lump sum price. For guidelines for making monthly progress payments for
prestressing cast-in-place concrete, see Bridge Construction Memo 6-4.0, Partial
Payments, of Bridge Construction Records and Procedures.

4-50.2 Prestressing Concrete
Section 51 Concrete Structures

4-5101 General
4-5103A Placing Concrete
4-5103B Concrete Placed Under Water
4-5103C Minor Structures
4-5103D Forms
4-5103E Joints and Bearings
4-5103F Drains in Walls
4-5103G Surface Finishing

Concrete Structures 4-51.i
Section 51
Section 51 Concrete Structures Concrete
Structures
4-5101 General 4-5101
This section covers items related to constructing concrete structures. Concrete General
structures include concrete bridges, structure approach slabs, culverts, headwalls,
endwalls, drainage inlets, retaining walls, and other concrete structures shown on the
plans.
Many specified requirements for concrete structures apply only to bridges and major
structures and are covered in detail in the Office of Structure Constructions (OSCs)
Bridge Construction Records and Procedures manual. Additional reference material
can be found in OSCs Foundation Manual, Prestress Manual, and Bridge Deck
Construction Manual.
Section 3-703, Public Safety, of this manual contains guidelines for work that
temporarily impairs horizontal and vertical bridge clearance.
Begins
Review the plans and specifications. Determine the cementitious material content
and compressive strength of the concrete to be used. Review Section 4-90,
Concrete, of this manual, which covers the mix design review, authorization,
and production of concrete.
Review and discuss with the contractor plans for placing concrete in each of a
structures parts. Before allowing the work to commence, discuss any obvious
shortages of workers, equipment, or material that may prevent the completion of
the structures parts without interruption in the placing of concrete. Also discuss
and evaluate project specific conditions for safely placing concrete, such as
avoiding overhead lines.
Determine what tests will be taken and the frequency and location of such testing,
and assign the duties accordingly. For guidelines, refer to Chapter 6, Sampling
and Testing, of this manual.
Once work begins, take the steps listed for inspecting the following items: During the Course
of Work
Placing of concrete
Concrete placed under water
Minor structures
Forms

Concrete Structures 4-51.1
Joints and bearings
Drains in walls
Surface finishing
4-5103A Placing Concrete
During the placement of concrete, do the following:
Check for any movement or deformation of forms that may exceed the specified
tolerance. If the movement or deformation exceeds the specified tolerances, take
appropriate action. This action may include halting concrete placement to install
additional bracing or changing the rate or sequence of concrete placement to
achieve the required lines and grade.
Ensure the contractor follows the specified order of placing. Also, ensure that
concrete for horizontal members or sections is not placed until the concrete in the
supporting vertical members or sections has been consolidated and subsidence has
occurred.
Through observation, ensure that concrete is placed without causing segregation.
Also, ensure that high-frequency internal vibrators consolidate the concrete when
specified. The method used to vibrate concrete directly affects the structures
strength. Ensure minimum contact between the vibrator and reinforcing steel.
Concrete must be vibrated to the point where mortar and water flush to the surface;
vibration beyond this point is not necessary or desirable. Insufficient vibration, on
the other hand, will leave rock pockets (voids).
Determining when subsidence has occurred will require judgment based on your
experience with various concrete mixes. In general, subsidence has occurred when
bleed water at the surface has disappeared.
4-5103B Concrete Placed Under Water
Ensure the contractor meets all specifications related to Section 51-1.03D(3) [51-1.10],
Concrete Placed Under Water, of the Standard Specifications. Unless otherwise
provided for in the special provisions, only concrete designated as seal course
concrete is to be placed under water.
4-5103C Minor Structures
Ensure that paving or surfacing has been completed immediately adjacent to a structure
before the structure has been constructed to final grade.
4-5103D Forms
When using concrete forms, do the following:
Ensure the forms are located properly. To detect any major discrepancy, include
both spot-checking from the control stakes and also general observation
independent of the stakes.
For proper dimensions, measure inside the forms.
Ensure forms are mortar tight.
When specified, ensure the use of form oil.
Ensure that all materials required to be embedded in concrete, such as
reinforcement and miscellaneous metal, are in place and secured properly. For

4-51.2 Concrete Structures
details, refer to Section 4-52, Reinforcement, and Section 4-75, Miscellaneous
Metal, of this manual.
Decide whether forms are sufficiently rigid to prevent undulations that exceed the
specified values. If corrective measures are necessary, advise the contractor
accordingly, and note the circumstances in the daily report.
Check the forms for exposed surfaces to ensure the surfaces are faced with form
panels as specified. Where required, ensure the use of triangular fillets.
Ensure form bolts and fasteners are the types specified.
Before concrete placement, ensure the removal from the forms of dirt, chips,
sawdust, and other foreign materials. Also, ensure the contractor dewaters the
forms and does any necessary pumping as specified and in accordance with the
contracts environmental provisions.
Before concrete placement, inform the contractor of any corrective action required.
Note such action in the daily report.
Ensure forms are removed in the specified manner. When forms are removed
before the end of the specified curing period, require proper curing of the concrete.
4-5103E Joints and Bearings
For specific requirements for joints and bearings, review the contract plans and
specifications. For bridges and major structures, also refer to the OSCs Bridge
Construction Records and Procedures manual.
Ensure that joints are constructed as specified. Also, verify they are constructed in a
way that ensures they will function as intended. The following are some of the
important items to check:
Verify material has been inspected at the source and is properly identified for
shipment. When required, ensure the material is sampled and tested in accordance
with Chapter 6, Sampling and Testing, of this manual.
When an open joint is required, ensure the reinforcement does not extend across
the joint.
Ensure sheet packing, preformed pads, or board fillers are held in place as
specified.
During concrete placement, check that expansion joint armor is placed and firmly
held in position.
Verify bearing devices are placed as specified and measure concrete bearing areas
to ensure placement falls within specified tolerances.
Before additional concrete placement, ensure horizontal construction joints are
cleaned as specified. Also, ensure that expansion joint filler or bond-breaking
compound is placed where required. Note such observations in the daily report.
If an emergency makes a construction joint necessary, decide on the construction
details of this joint and direct the contractor during its construction.
Check the placement of any dowels to ensure the contractor cleans the holes before
grouting or bonding and places the grout or bonding material and dowels as
specified.

Concrete Structures 4-51.3
When mortar is used, ensure the contractor proportions it as required and places it
as specified, including the curing requirements.
Ensure water stops are installed as specified and where shown on the plans. During
concrete placement, make sufficient observations to ensure the water stops are not
materially shifted out of position or shape.
4-5103F Drains in Walls
Ensure that drain holes and weep holes are constructed as specified. Examine the
excavation and consider other factors that could contribute to the buildup of hydrostatic
pressure. When necessary, order additional drain holes or weep holes.
4-5103G Surface Finishing
Ensure the various concrete surfaces comply with the specifications. Ensure that the
required finishing work is performed before structures are backfilled and that the
appropriate finish is applied to all surfaces. For additional information, refer to the
Measurement and Take the following steps:
Payment
In conformance with the dimensions shown on the plans, measure the quantity of
concrete in structures by the cubic yard unless the quantities are designated as final
pay quantities.
Keep records of rejected concrete loads, and provide the reasons (preferably
including test data) for such actions. Also keep records of any significant amounts
of concrete placed outside of areas or limits for which payment is to be made.

4-51.4 Concrete Structures
Section 52 Reinforcement Section 52

Reinforcement
4-5201 General 4-5201
Items used for reinforcement include bars, welded wire fabrics, and wires. For details General
about reinforcement, refer to the Office of Structure Constructions (OSCs) Bridge
Construction Records and Procedures manual at:

The Office of Materials Engineering and Testing Services (METS) is responsible for Before Work
monitoring reinforcement materials at the source of supply. The fabricator will provide Begins
a certificate of compliance with shipments of reinforcement delivered to the job site.
Refer to the contract specifications and Section 3-606, Certificates of Compliance, of
this manual regarding Buy America requirements. Section 6-2.05 [6-1.08], Buy
America, of the Standard Specifications covers the use of foreign materials.
During this preliminary inspection, also take the following steps:
Verify that Form CEM-3101, Notice of Materials to Be Used, includes
reinforcement materials. Refer to Section 6-202, Responsibilities for Acceptance
of Manufactured or Fabricated Materials and Products, of this manual for
For each lot of material delivered to the project, require the contractor to conform
to Section 6-3.05E [6-1.07], Certificates of Compliance, of the Standard
Specifications by providing Form TL-6046, Fabricators Certificate of
Compliance. Form TL-6046 can be obtained from METS.
Inspect hook details to ensure they conform to specifications. Refer to the OSCs
Bridge Construction Records and Procedures manual, Volume II, Section 165, for
hook details (which conform to the building code requirements of the American
Concrete Institute). Also, examine the bars to detect damage from bending, for
example, kinks or cracking of the steel on the surfaces of the hooks.
Check the steel for general cleanness, ensuring it does not have loose mill scale,
excessive rust, or other deleterious coatings. Decide whether such coatings will
destroy or reduce bonding. If cleaning is necessary, advise the contractor.
Check some of the ends of larger bars to detect any evidence of piping. (Piping
is a cavity in the core of a bar.) Also check for such rolling defects as scabs, seams,
and laminations.
As specified in Section 52-2.02 [52-1.02B], Epoxy-Coated Reinforcement, of
the Standard Specifications, require repair or replacement of damaged epoxy-
coated, bar reinforcing steel.

Reinforcement 4-52.1
Note the following:
1. The contractor may substitute welded wire fabric for reinforcing bars in
certain concrete work shown in the Standard Specifications. The Bridge
Construction Records and Procedures manual, Volume II, Section 165,
contains information that may be used to determine equivalent areas of the
steel.
2. Steel lists are required only if specifically requested by the engineer. It is
Caltrans policy to not request such lists except for specific reasons, as
described in Section 52 [52-1.03], Reinforcement, of the Standard
Specifications.
3. Steel lists are not to be requested for the convenience of assistant resident
engineers in checking items such as sizes, dimensions, locations, clearances,
and coverages. The contract plans and specifications serve this purpose.
4. Before allowing butt welding to splice bar reinforcing steel, refer to the
contract documents and the Bridge Construction Records and Procedures
manual, Volume II, Section 180.
5. Before allowing mechanical splicing of bar reinforcing steel, refer to the
contract documents and the Bridge Construction Records and Procedures
manual, Volume II, Section 165.
During the Course During the course of work, take the following steps:
of Work
Examine the rolled-in grade marks to ensure the contractor is using the specified
grade of reinforcing steel for the given structure. Refer to the Bridge Construction
Records and Procedures manual, Volume II, Section 165, for information about
identifying marks on American-made bar reinforcing steel.
Ensure the placing of the reinforcement in the forms conforms to the plans and
specifications.
Ensure that all reinforcement is securely wired at intersections and securely held in
place and that bundle bars are tied at proper intervals. Also, ensure that the
reinforcement is placed in the forms in a way that will not require the contractor to
add or adjust bars during the placing of concrete.
On cast-in-place, prestressed, post-tensioned structures, it may be necessary to
adjust or relocate reinforcement to conform to the prestressing system the
contractor selected. It may also be necessary to place additional steel. These details
are shown on contractor drawings that Caltrans reviews and authorizes. Use the
authorized prestressing details to ensure that, when placing concrete, the contractor
provides the required clearances to various items, including the tendons and
anchorages. In particular, ensure the proper placement of grillages at end
anchorages.
When the contractor uses mesh reinforcement, check that it is rolled flat and held
firmly in place during placement of concrete or shotcrete.
After the contractor places the reinforcement, ensure it is free of any coating (such
as form oil, dust, or dirt) that would destroy or reduce bonding.

4-52.2 Reinforcement
To protect epoxy-coated reinforcing steel against sunlight, salt spray, and weather,
ensure the contractor uses a secure covering. The contractor must repair any visible
damage to the coating as specified, in accordance with the manufacturers
recommended patching material.
Note the following:
1. Vibrators used to consolidate concrete containing epoxy-coated reinforcing
steel must have a resilient covering to prevent damage to the epoxy coating.
2. Prefabricated epoxy-coated reinforcing steel (purple or gray in color) is cut to
size and bent to shape before the coating is applied. Prefabricated epoxy-
coated reinforcement must not be bent or rebent after coating application.
3. Epoxy-coated reinforcement (green in color) is more flexible. It is applied to
straight rebar, which is subsequently cut and bent to shape.
Until the engineer approves the proper submittals, do not permit welding of
any type on reinforcing steel. Refer to the Bridge Construction Records and
Procedures manual, Volume II, Section 180, for guidelines.
Bar reinforcing steel is spliced by lapping bars, by butt welding bars, or by
using mechanical couplers. Mesh reinforcement, reinforcing wire, or plain
bars are generally spliced by lapping. Inspect all lapped splices to ensure the
minimum lengths of lap and stagger distances conform to the plans and
specifications. Note that the size of a bar and the grade of steel will
determine the length of lap required. Ensure the laps are securely wired to
maintain the alignment of the bars. Lap splices of mesh reinforcement must
be tied securely with wire to prevent distortion of the mesh.
Verify that all mechanical butt splices, butt welds, and lap welds on epoxy-
coated reinforcing steel are protected from corrosion with an authorized
corrosion protection system. The METS list of authorized coverings to
protect against corrosion is at:
The corrosion protective system must be used in accordance with manufacturer
and Caltrans requirements. Ensure the cover is installed as a continuous piece with
sufficient diameter and length to achieve an adequate seal and bond length. The
cover must be free of dirt, grease, sharp edges, tears, or pinholes. After the cover is
heated as specified, ensure it extends a minimum of 2 inches onto the epoxy-
coated reinforcing steel.
Refer to appropriate sections of the special provisions and Standard Specifications for Measurement and
the basis of measurement and payment. If payment is on a unit basis, you may need to Payment
keep records of reinforcement that is placed in the structure. Also, calculate any
changes that result in increases or decreases in quantities of reinforcement.

Reinforcement 4-52.3
Section 53 Shotcrete Section 53

Shotcrete
4-5301 General 4-5301
Shotcrete is concrete pneumatically projected onto a surface. Shotcrete may be used for General
lining ditches and channels, paving slopes, and constructing warped sections. If
allowed by the special provisions, shotcrete may also be used for structural
applications.
Begins
Review the contract to determine the areas and conditions in which shotcrete is to
be used. Determine whether the contractor intends to use shotcrete as allowed by
the special provisions or by Section 51-1.03B [51-1.11], Methods and
Equipment; Section 53, Shotcrete; Section 72-5 [72-4.01], Concrete Slope
Protection, Gutter Lining, Ditch Lining, and Channel Lining; or Section 72-11
[72-6.01], Slope Paving, of the Standard Specifications. Verify that Form CEM-
3101, Notice of Materials to Be Used includes cement and aggregate. Refer to
The following instructions are for nonstructural and structural applications of shotcrete: During the Course
of Work
Examine the foundation that will receive the shotcrete to ensure the foundation is
evenly graded and free of high areas that would cause a thinner layer of shotcrete
than required. Also, at the time the shotcrete is placed, ensure the foundation is
firm and moist as specified. Note such observations in the daily report.
Ensure the reinforcement is placed and firmly held in position as specified. Check
joints, side forms, shooting strips, and where used, the position of ground or
gauging wires.
Obtain certificates of compliance and samples of cementitious material and
aggregate, and test them for all specified attributes. Ship the samples to the district
materials unit for testing at the frequency shown in Section 6-1, Sample Types
and Frequencies, of this manual. For testing aggregate, the district establishes the
frequency, which can vary depending on the particular operation. Sufficient tests
are to be run to ensure substantial compliance.
Ensure the contractor proportions the specified amount of cementitious material
and aggregate.
To support payment for the work, take measurements and keep records.
Limit the placing of shotcrete to the specified lifts.

Shotcrete 4-53.1
Periodically check the working pressures of the equipment to ensure they meet
specifications.
Ensure the contractor uses clean reused rebound material in the specified amount.
For placing dry-mix shotcrete, ensure the materials are used within 45 minutes of
mixing the cementitious material with the aggregate.
For placing wet-mix shotcrete, ensure the materials are used within 90 minutes of
mixing.
Through observation, ensure a reasonably smooth and uniform finished surface for
the type of work involved. Require low spots or depressions to be brought up to
proper grade.
Ensure the shotcrete is cured by one of the specified methods. When curing
compound is used, ensure the specified application rate.
Ensure the shotcrete is protected as specified.
Follow these instructions for structural shotcrete applications:
For locations where shotcrete can be used, refer to the special provisions and plans.
Ensure the contractor abides by all the elements of the following prequalification
process for structural shotcrete:
1. Ensure the nozzle persons experience conforms to the requirements for
applying shotcrete in the intended location.
2. Ensure the contractor sets up and shoots a preconstruction test panel that
contains rebar and any other obstructions that are identical to the most heavily
reinforced section to be shot.
3. Ensure the contractor takes and tests the cores as necessary or required.
4. After the time specified in the special provisions, ensure the contractor
demolishes the preconstruction panel, and verify that a dense homogeneous
mass completely encases the reinforcement.
Ensure the proper mix is delivered by checking the delivery ticket of the first truck
and by also checking the delivery tickets periodically throughout the day.
Ensure that the nozzle person and the blowpipe operator work together and that the
nozzle person does not get ahead of the blowpipe operator.
Ensure the finishers rake away any loose material the blowpipe could not remove.
Watch vertical surfaces to ensure no slough-off occurs because of mix that is too
wet. Reference any areas that do slough-off so they can be carefully sounded later.
Any wet mix that does slough off should be removed and then reshot.
The nozzle person should make the extra effort to ensure complete encasement of
the reinforcement. On double mats of reinforcement, this extra effort will require
placing the nozzle through the front mat of the reinforcement and shooting from
the sides of large bars to properly place the concrete behind the bars.
To verify that shotcrete fully encases the reinforcement, occasionally rake out
areas of congested reinforcement. Look for rock or sand pockets.
Verify the shotcrete is homogeneous and the compressive strength adequate by
taking random production cores from the completed work, as specified in the

4-53.2 Shotcrete
contract. To lay the cores out, follow the latest policies of the Office of Structure
Construction.
Verify that the surface finish matches the one demonstrated in the preconstruction
panel.
During the shotcrete application, ensure the contractor meets all the applicable
safety standards and uses the proper safety equipment.
Discuss with the structure representative or the area construction manager any
proposal to use shotcrete at a location not indicated in the contract plans and
special provisions.
Measure shotcrete by the cubic yard, computed from the actual area placed and the Measurement and
theoretical thickness shown in the plans. The special provisions may allow you to Payment
modify the measurement method.
Keep records of rejected shotcrete loads, and provide the reasons (preferably including
test data) for such actions. Also, keep records of any significant amounts of concrete
placed outside of pay limits.

Shotcrete 4-53.3
Section 54 Waterproofing Section 54

Waterproofing
4-5401 General 4-5401
Waterproofing consists of sealing concrete surfaces to prevent the passage of water. General
Dampproofing consists of treating concrete surfaces to retard the passage or absorption
of water or water vapor. Section 54, Waterproofing, of the Standard Specifications,
provides for asphalt membrane waterproofing, dampproofing, and preformed
membrane waterproofing. Other types of waterproofing may be specified in the special
provisions.
Before work starts, do the following: Before Work
Begins
waterproofing materials. Refer to Section 6-202, Responsibilities for Acceptance
of Manufactured or Fabricated Materials and Products of this manual for
Upon delivery of the waterproofing materials, note whether they are identified by
marks or inspection tags.
You may accept preformed membrane sheets on the basis of a certificate of
compliance. Complete Form CEM-4102, Material Inspected and Released on
Job.
During the course of work, do the following: During the Course
of Work
Sample waterproofing materials in accordance with Section 6-1, Sample Types
and Frequencies, of this manual.
Ensure the contractor prepares surfaces to be waterproofed or dampproofed as
specified.
For applying primer or asphalt, ensure weather conditions meet the specifications.
Ensure the temperature of waterproofing asphalt is within the specified range.
Inspect the operation to ensure the contractor applies asphalt membrane
waterproofing, dampproofing, and preformed membrane waterproofing as
specified.
Field-measure areas covered by asphalt membrane waterproofing, dampproofing, and Measurement and
preformed membrane waterproofing unless the quantities are designated as final pay Payment
quantities.

Waterproofing 4-54.1
Section 55 Steel Structures Section 55

Steel Structures
4-5501 General 4-5501
Section 55, Steel Structures, of the Standard Specifications includes specifications General
for constructing steel structures. For additional information regarding steel structures,
see Section 170, Structural Steel, and Section 180, Welding, of the Office of
Structure Constructions (OSCs) Bridge Construction Records and Procedures
manual, available at:
The contractor must submit for authorization the shop drawings for structural steel in Before Work
accordance with Section 5-1.23 [5-1.02], Submittals, of the Standard Specifications. Begins
The shop drawings are submitted directly to the Office of Structure Design documents
unit. The review of the shop drawings is a coordinated effort between the Office of
Structure Design, Office of Materials Engineering and Testing Services (METS), and
OSC. The Office of Structure Design has the primary responsibility for authorizing the
shop drawings.
If any welding must be performed, the contractor must submit a quality control plan for
the work. For guidelines in authorizing the submittal, refer to Section 180, Welding,
of the Bridge Construction Records and Procedures manual.
Verify that Form CEM-3101, Notice of Materials to Be Used, includes structural
steel materials. Refer to Section 6-202, Responsibilities for Acceptance of
information.
During the work, take the following steps: During the Course
of Work
Verify that METS has inspected and released structural steel and fastener
assemblies by retrieving Form TL-0624, Inspection Release Tag, as the
assemblies are delivered to the site and by matching the assemblies to Form
TL-0029, Report of Inspection of Material.
Ensure the contractor performs installation tension tests and rotational capacity
tests on all lots of fastener assemblies before installation. To keep track of the
location of fastener assembly placement and to protect the assemblies from the
weather, ensure the contractor stores the fastener assemblies in their original
containers and out of the elements.
Witness the contractors verification of minimum tension as required by the
specifications. Record the data in the project files.

Steel Structures 4-55.1
For guidelines on welded connections, refer to Section 180, Welding, of the
Bridge Construction Records and Procedures manual.
After the completion of the work for each structure, the contractor must submit
corrected shop drawings to the resident engineer for transmittal to the Office of
Structure Design documents unit. Remind the contractor that final acceptance of
the contract will not occur until the corrected drawings have been submitted.

Measurement and Refer to the appropriate sections of the special provisions and Standard Specifications
Payment for the basis of measurement and payment.

4-55.2 Steel Structures
Section 56 Signs
4-5601 General
4-5603A Overhead Sign Structures
4-5603B Roadside Signs

Signs 4-56.i
Section 56 Signs Section 56

Signs
4-5601 General 4-5601
Signs and sign structures are of various types, from simple roadside signs to General
complicated sign bridges containing changeable message signs. The resident engineer
must apply the correct inspection to ensure the contractor installs signs and sign
structures to function properly.
The Office of Structure Construction (OSC) is responsible for reviewing and
authorizing all overhead sign structure shop drawings on contracts administered by
Caltrans. District construction engineers will contact the local structure construction
area manager or senior bridge engineer before the preconstruction meeting to arrange
for the review of the overhead sign structure shop drawings submitted by the
contractor. Structure construction personnel review shop drawings for standard
overhead sign structures and coordinate, when needed, with the appropriate structure
design engineer for review of shop drawings for non-standard overhead sign structures.
The Division of Engineering Services provides technical support to structure
construction personnel upon request. Send a copy of the shop drawings to Structure
Policy and Innovation if technical assistance is needed. The Overhead Sign Structures
Guide provides guidance for reviewing shop drawings and is available at:
http://onramp.dot.ca.gov/hq/oscnet/sc_manuals/
To review the shop drawings of changeable message signs, refer to Section 168-3.0,
Shop Plan Review for Changeable Message Sign (CMS) Structures, of Volume II in

Begins
Review the plans and specifications to determine the types of signs to be installed
and any special requirements included in the contract. Obtain and review as-built
drawings for the structures to be modified.
Verify that Form CEM-3101, Notice of Materials to Be Used, includes signs.
Refer to Section 6-202, Responsibilities for Acceptance of Manufactured or
Fabricated Materials and Products, of this manual for additional information.
If required, before the manufacturers furnish the materials, obtain from the Office
of Materials Engineering and Testing Services (METS) an approval of foreign
manufacturers. Refer to Section 6-2.05C [6-1.08], Steel and Iron Materials
(23 CFR 635.410), of the Standard Specifications, which covers the use of
foreign materials.

Signs 4-56.1
Refer to the contract specifications and Section 3-606, Certificates of
Compliance, of this manual regarding provisions of the Buy America
requirements.
Obtain shop drawings, including, but not limited to, anchor bolt layouts, shop
details, erection plans, and equipment lists for sign structures as required by the
contract. With the assistance of the structure representative, review these shop
drawings and authorize them if they comply with the contract. After review (and
correction if necessary), return one set of the shop drawings to the contractor with
the following statement: The plans are authorized pursuant to Section 5-1.23
[5-1.02], Submittals, of the Standard Specifications.
Do a field review of all sign locations, and check for possible conflicts with other
structures, electrical and irrigation lines, and underground and overhead utilities.
Verify that existing structures to be modified agree with as-built drawings. Ensure
adequate horizontal and vertical sight distance. Trees or other landscape features
may need to be trimmed or removed to obtain adequate sight distance. Advise the
contractor of any changes and, if necessary, prepare change orders. In addition,
because relocating signs can impair or nullify their effectiveness, consult with the
district traffic unit whenever changes must be made or the effectiveness of any
signage is questionable.
After control stakes have been placed, ensure the markings have the following:
1. The correct span lengths.
2. The correct elevation of footing pedestals (usually 3 inches above the finished
grade or the top of curbs).
3. The minimum vertical clearance shown on the plans.
4. The required cover over the tops of footings.
To ensure incorporation into the work during shop fabrication, verify that the
structure representative has given the source inspector any changes that revise
materials, specifications, or structural design. Normally, METS is notified of any
changes through the receipt of a copy of the change order. However, allow
sufficient lead time for the normal distribution of change orders. If changes are
underway based on a prior authorization, the resident engineer (through the
structure representative) may need to send the revised specifications or drawings
directly to METS in advance of the approved change order. Resident engineers
should call METS to confirm receipt of the changes.
Review the contract for any requirements for Department-furnished material.
Resident engineers must ensure that Department-furnished sign materials have
been ordered and will be ready for timely delivery. Make a physical inspection and
inventory to confirm that all Department-furnished sign materials are delivered in
good condition. After delivery, the contractor is responsible for any damage to
Department-furnished materials.

4-56.2 Signs
Inspect both overhead sign structures and roadside signs. During the Course
of Work
4-5603A Overhead Sign Structures
Sign structures often involve many details that are critical to the structures
permanence. Maintaining sign structures is expensive. Attention to detail during
construction can mitigate future problems.
The resident engineer has final responsibility for ensuring that signs and sign structures
are constructed in accordance with the contract. The resident engineer also has final
responsibility for making any changes that are necessary to serve the public as the
designer intended. To perform the required duties properly, the resident engineer must
obtain the relevant technical data. For overhead signs and bridge-mounted signs, copies
of Section 168-1.0, Bolted Connections for Overhead Sign Structures, and Section
170, Structural Steel, of Volume II of the Bridge Construction Records and
Procedures manual will provide the information.
Construction inspectors should check the following items or perform the following
duties:
Upon delivery, check the materials identification marks or inspection tags (using
Form TL-0624, Inspection Release Tag,) and match these marks and tags
against those listed in Form TL-0029, Report of Inspection of Material. (Refer to
Section 6-2, Acceptance of Manufactured or Fabricated Materials and Products,
of this manual for more explanation.) METS will check items for compliance with
specifications. These items can also be checked at the source during fabrication.
This check will include determining the adequacy of workmanship for activities
such as welding, painting, and galvanizing and also ensuring the use of the proper
materials. For changeable message signs, METS will also ensure that all control
components are connected and operating properly before release to the job site.
Require the repair of any minor damage to galvanizing or coatings, as specified in
Section 75-1.05, Galvanizing, of the Standard Specifications.
Determine that METS has inspected and approved anchorage devices for bridge-
mounted signs. Ensure that anchorage devices are installed as recommended by the
manufacturer, as shown on the plans, and as specified. For more information on
anchorage devices, refer to Section 135, Miscellaneous Construction Materials,
Volume II of the Bridge Construction Records and Procedures manual.
Ensure the proper type of bolts in field connections. Observe the installation of
high-strength bolts to ensure the correct method and sequence for tightening. Refer
to Section 170, Structural Steel, Volume II of the Bridge Construction Records
and Procedures manual for the specifications of the American Society for Testing
and Materials for high-strength bolts.
METS inspects welding at the fabrication plant. If welding will be performed at
the job site, contact METS for assistance. Also, at the job site, visually check for
any obvious defects. During sign erection, ensure a proper fit between the post and
the sign frame. Also, verify the provision of the proper minimum clearances.
Ensure that the surface finishes of all metal parts of sign structures meet
specifications. Inspect portions of the work completed in the field.

Signs 4-56.3
Ensure through observation that sign panels and fastening hardware comply with
specifications. Ensure that exposed portions of fastening hardware on the panel
faces have been finished as specified.
Ensure that the construction of footing pedestals complies with specifications. It is
particularly critical that the contractor correctly position and align anchor bolts for
sign bridges.
To ensure the minimum horizontal and vertical clearances, verify that the location
and elevation of the footing pedestals are correct.
Ensure the contractor performs electrical work according to the specifications.
Ensure the contractor performs field painting, including touch-up, according to the
specifications.
Examine sign panels for compliance with specified workmanship.
Whenever an installation exceeds the scope of knowledge of available personnel,
request assistance from, or consult with, other units. For instance, you may call
upon mechanical and electrical engineers from the Office of Structure Design for
assistance with changeable message signs.
Ensure sign panels over lanes and lane arrows are correctly centered over the
appropriate lanes.
Report any temporary or permanent changes to horizontal and vertical clearances
to the Transportation Permits Branch in accordance with Section 3-703A,
Temporary Clearance and Bridge Permit Rating Changes, of this manual.
Ensure adherence to the public safety requirements of the special provisions
regarding permanent obstacles that are temporarily unprotected.
4-5603B Roadside Signs
Do the following for these types of signs:
Form TL-0624, Inspection Release Tag) and match these marks and tags against
those listed in Form TL-0029, Report of Inspection of Material. (Refer to
of this manual for more explanation.) METS will check items for compliance with
specifications. These items can also be checked at the source during fabrication.
Note the type of preservative used to treat wood posts.
Ensure postholes are located so that the signs will have the correct horizontal
clearance and will not be obstructed by other objects. Also, verify that holes are
excavated to the full depth and backfilled as specified.
Ensure the provision of minimum vertical clearances to the bottom of the sign
panels, as required by the Standard Plans.
If posts are cut or drilled in the field, ensure the contractor treats exposed areas as
specified.
Ensure that the attaching of signs to posts complies with requirements.
You may request the assistance of the district traffic unit. Such assistance may
include a field review of sign staking, and day and night observation of completed
signage. Include in the daily report notes on assistance received and changes made.

4-56.4 Signs
For details of measurement and payment, review contract specifications. Make any Measurement and
necessary measurements and counts. Payment
Refer to Section 6-3.05B, Source Inspection Expense Deductions, of the
Standard Specifications, for information about standard deductions taken for
Caltrans doing inspection or testing at material sources.

Signs 4-56.5
Section 57
Section 57 Wood and Plastic Lumber Structures Wood and
Plastic Lumber
Structures
4-5701 General 4-5701
Section 57, Wood and Plastic Lumber Structures, of the Standard Specifications, General
includes specifications for constructing wood and plastic lumber structures in
conformance with the plans and specifications.
The work covered in this section also includes treating wood materials to prevent decay
from moisture, bacteria, or insects. Piling, poles, posts, and lumber requiring
preservative treatment are specified in the Standard Specifications in the following
sections:
Section 49, Piling
Section 56, Signs
Section 57, Wood and Plastic Lumber Structures
Section 80, Fences
Section 83, Railings and Barriers
Section 86, Electrical Systems
Begins
Verify that Form CEM-3101, Notice of Materials to Be Used, includes lumber
Manufactured or Fabricated Materials and Products of this manual for additional
information.
Occasionally, lead times to procure hardware and wood materials requiring
preservative treatment can be longer than a contractor anticipates. Early in the
project, determine when materials will arrive at the job site.
Upon delivery of treated wood materials, note whether they are identified by
marks or inspection tags. Inspection and release of treated wood materials by the
Office of Materials Engineering and Testing Services (METS) will ensure that
specified preservative treatment meets specifications.
If the wood or plastic lumber structure requires painting, review Section 4-59,
Painting, and Section 4-91, Paint, of this manual.
Inspect the material in accordance with Table 6-2.1, Inspection of Fabricated and
Manufactured Materials, in Section 6-2, Acceptance of Manufactured or
Fabricated Materials and Products, of this manual.

Wood and Plastic Lumber Structures 4-57.1
During the Course of During the work, take the following steps:
Work
To verify that METS has inspected and released the materials to be used, retrieve
Form TL-0624, Inspection Release Tag, as the materials are delivered to the job
site, and match the materials to Form TL-0029, Report of Inspection of Material.
In accordance with Table 6-2.2, Inspection of Fabricated and Manufactured
Materials, of this manual, visually inspect the lumber materials.
Ensure the lumber materials and hardware conform to the plans and specifications.
Ensure that any damage during handling and installation does not reduce the
preservative treatments effectiveness. No further inspection of the treatment is
needed.
Measurement and For the basis of measurement and payment, refer to appropriate sections of the special
Payment provisions and Standard Specifications.
The payment for preservative treatment is included in the contract prices paid for the
various wood materials that are treated.

4-57.2 Wood and Plastic Lumber Structures
Section 58 Sound Walls Section 58
Sound Walls
4-5801 General 4-5801
This section covers items related to constructing sound walls. Sound wall types include General
masonry block, precast concrete panels, and alternative sound wall systems.
Specifications for constructing sound walls are covered in Section 58, Sound Walls,
Although this section has guidance specific to constructing sound walls, also use
applicable guidance from the following and other relevant sections in this manual:
Section 4-15, Existing Facilities
Section 4-16, Clearing and Grubbing
Section 4-21, Erosion Control
Section 4-48, Temporary Structures
Section 4-49, Piling
Section 4-51, Concrete Structures
Section 4-52, Reinforcement
Begins
Review the plans and specifications covering sound walls. Ensure that all required
submittals are provided by the contractor and processed as specified. Ensure that
all specified preconstruction sampling, testing, and inspection are performed.
Determine the compressive strength requirements of materials such as masonry
block and grout.
Review and discuss with the contractor plans for placing sound wall components.
Before allowing the work to commence, discuss any obvious shortages of workers,
equipment, or material that may prevent completion of the sound walls. Also
discuss and evaluate project specific conditions for safely placing sound wall
components, such as the handling of public traffic and avoiding conflicts with
utilities.
Verify that Form CEM-3101, Notice of Materials to Be Used, includes sound
wall materials. Refer to Section 6-202, Responsibilities for Acceptance of
information.
For masonry block sound walls, ensure that the contractor has a certified special
inspector and authorized laboratory to do required sampling, testing, and
inspection. The special inspector must be an International Code Council certified
structural masonry special inspector. The special inspector must perform the

Sound Walls 4-58.1
inspections required in Section 1704.5, "Masonry Construction," of the 2007
California Building Code (CBC). The authorized laboratory must be capable of
performing the preconstruction testing. Review results of preconstruction testing of
prepackaged mortar and grout strength before work begins.
Verify that aesthetic requirements described in the plans and specifications are
adhered to. For example, concrete masonry units must have a uniform color and
texture, and must be supplied from a single source and a single manufacturer.
Mortar ingredients, such as cement, lime, and aggregate, must have a uniform
quality, including color, and must be supplied from a single source, producer, or
manufacturer. If there are questions regarding proposed materials, colors, patterns,
or designs complying with aesthetic requirements, contact the district landscape
architect.
Upon delivery of sound wall materials, note whether they are identified by
inspection tags. Inspection and release of sound wall materials by Materials
Engineering and Testing Services will ensure that materials intended for use in the
work meet specifications.
Inspect the material in accordance with Table 6-2.1, Inspection of Fabricated and
Manufactured Materials, in Section 6-2, Acceptance of Manufactured or
Fabricated Materials and Products, of this manual.
Verify and document that planned sound wall width, length, and height are correct
for the field conditions, and that the foundation will be uniform.
Verify that all environmental permit conditions will be met, and that erosion and
sediment control devices are installed before excavation begins.
During the Course of Before placement of bedding and forms, check foundation and grades for
Work conformance with the plans and specifications. If the foundation is questionable,
contact the district materials engineer.
Inspect and document any pile driving or drilling operations. Verify that proper
splicing methods are being used.
Before placement of concrete, check and document line, grade, elevation,
dimensions, condition of forms, bracing, ties, and location of reinforcement.
Ensure concrete is placed in accordance with the plans and specifications. Ensure
uniform backfill compaction.
For masonry block sound walls, ensure that the special inspector is performing the
inspections required in Section 1704.5, "Masonry Construction," of the 2007 CBC.
The special inspector must perform the specified quality control work inspection
and preparation of daily reports.
Ensure that construction of sound walls and sound wall barriers conforms to
contract documents and authorized shop drawings.
Verify and document alignment, height, and spacing of posts and panels. If any
sound wall settlement or misalignment occurs during or after construction, ensure
that the defect is corrected. Section 6-3.06, Guarantee, of the Standard
Specifications covers requirements regarding the repair or replacement of defective
work after construction contract acceptance.

4-58.2 Sound Walls
Refer to appropriate sections of the special provisions and Standard Specifications for Measurement and
the basis of measurement and payment. Depending on the unit basis for payment, you Payment
may need to keep records of the installation of sound wall components, such as piles
and reinforcement. Also, calculate any changes that result in increases or decreases in
quantities.

Sound Walls 4-58.3
Section 59 Painting Section 59

Painting
4-5901 General 4-5901
Section 59, Painting, of the Standard Specifications includes specifications for General
painting. For additional information regarding painting steel structures, see Section
155, Paint, of the Office of Structure Constructions Bridge Construction Records
and Procedures manual.

Review Section 4-91, Paint, and Section 6-2, Acceptance of Manufactured or Before Work
Fabricated Materials and Products, of this manual. Begins
of Work
To verify the Office of Materials Engineering and Testing Services has inspected
and released the paint to be used, retrieve Form TL-0624, Inspection Release
Tag, as the paint is delivered to the site and match the paint to Form TL-0029,
Report of Inspection of Material.
Ensure that surfaces have been prepared as the specifications require. If blast
cleaning is required for structural steel, ensure the contractor obtains the surface
profiles as required by Section 59-10.01D(4), Field Quality Control, of the
Allow application of paint only to thoroughly dry surfaces and only during periods
of favorable weather.
For structural steel, ensure that each application of paint and each coat of paint are
of the proper thickness. Frequently check difficult to reach areas for coverage.
For the basis of measurement and payment, refer to the appropriate sections of the Measurement and
special provisions and Standard Specifications. Payment

Painting 4-59.1
Culvert and
Section 61 Culvert and Drainage Pipe Joints Drainage Pipe
Joints
4-6101 General 4-6101
Section 61, Culvert and Drainage Pipe Joints, of the Standard Specifications General
provides an opportunity for the contractor to choose alternate types of joint systems or
couplers used with culvert and drainage pipe that are specified in the following sections
of the Standard Specifications:
Section 64, Plastic Pipe
Section 65, Concrete Pipe
Section 66, Corrugated Metal Pipe
Section 69, Overside Drains
When joint systems and couplers conforming to the provisions in Section 61 are
selected, the contractor must provide test results or a mathematical analysis of the joint
materials.
Begins
pipe joint materials. Refer to Section 6-202, Responsibilities for Acceptance
of Manufactured or Fabricated Materials and Products, of this manual for
Upon delivery of the materials for pipe joints and couplers, note whether the
materials are identified by marks or inspection tags.
Ensure that the Office of Materials Engineering and Testing Services
(METS) has inspected and released the pipe joint and coupling material.
If the contractor has chosen to supply material specified in Section 61,
Culvert and Drainage Pipe Joints, of the Standard Specifications, and the
material has been released, METS will have received all paperwork including
certificates of compliance, test results, and mathematical analysis.
Review contract requirements for designated culverts and drainage structures
that will require field leakage testing. Where field leakage testing is shown,
ensure the contractor submits test procedure, leakage calculations for
exfiltration and infiltration tests, and repair procedures for sections that fail
testing.
Various sections of this manual describe the procedures for inspecting the types During the Course
of culvert and drainage pipe identified in this section. Ensure that the correct of Work

Culvert and Drainage Pipe Joints 4-61.1
types of joints or couplers are used and any required field leakage testing for
watertightness is performed as specified.
Measurement and The payment for pipe joints and couplers is normally included in the contract prices
Payment paid for the various types and sizes of culvert and drainage pipe.
Refer to Section 61-1.04, "Payment," of the Standard Specifications for information on
payment of culvert and drainage pipe joints.

4-61.2 Culvert and Drainage Pipe Joints
Section 62
Section 62 Alternative Culverts Alternative
Culverts
4-6201 General 4-6201

Section 62, Alternative Culverts, of the Standard Specifications provides general General
specifications for constructing alternative culverts, alternative slotted pipe, and
temporary culverts; and for placing concrete backfill for pipe trenches. Section 62-1,
"General," of the Standard Specifications provides the contractor the opportunity to
choose between several different kinds of culverts to be installed or constructed.
Alternative culverts may include the following:
High density polyethylene or polyvinyl chloride pipe compliant with Section 64,
"Plastic Pipe," of the Standard Specifications.
Reinforced concrete pipe and pipe arches compliant with Section 65, "Concrete
Pipe," of the Standard Specifications.
Reinforced concrete box culverts and arch culverts compliant with Section 51,
"Concrete Structures," of the Standard Specifications.
Corrugated steel or corrugated aluminum pipe and pipe arches compliant with
Section 66, "Corrugated Metal Pipe," of the Standard Specifications.
Structural steel or structural aluminum plate pipe, arches, and pipe arches
compliant with Section 67, "Structural Plate Culverts," of the Standard
Specifications.
The contract plans show the locations and alternative types of culverts. When
alternative culverts are specified, the Bid Item List will designate contract items as
alternative culverts for each size and type of culvert.
Section 62-2, "Alternative Slotted Pipe," of the Standard Specifications includes
specifications for constructing alternative slotted pipe. Slotted pipes may include the
following:
Slotted plastic pipe compliant with Section 64-2, "Slotted Plastic Pipe," of the
Slotted corrugated steel pipe compliant with Section 66-2, "Slotted Corrugated
Steel Pipe," of the Standard Specifications.
Section 62-3, "Temporary Culverts," of the Standard Specifications includes
specifications for constructing temporary culverts.
Section 62-4, "Concrete Backfill for Pipe Trenches," of the Standard Specifications
includes specifications for placing concrete backfill in pipe trenches.

Alternative Culverts 4-62.1
Before Work Begins Before work begins, do the following:
Review the special provisions and contract plans to determine the different types of
culvert that may be used and the locations where alternative culverts may be
installed.
Review the special provisions and contract plans to determine the different types of
slotted pipe that may be used and the locations where alternative slotted pipe may
be installed.
materials the contractor chose for alternative culverts or alternative slotted pipe.
Also note the following:
The contractor must obtain the engineer's authorization for the strength and
capacity of temporary culverts before installation.
Concrete backfill for pipe trenches must comply with specifications for minor
concrete, except the concrete must contain at least 380 pounds of cementitious
material per cubic yard. Rapid strength concrete (RSC) may be used instead of
minor concrete for concrete backfill. When RSC is to be used as concrete backfill,
a submittal including the concrete mix design and test data from an authorized
laboratory must be submitted at least 10 days prior to excavation of the pipe trench.
Refer to specifications for RSC material requirements. The laboratory must specify
the cure time required for the concrete mix to attain 500 psi compressive strength
when tested under California Test 521.
During the Course of For guidelines for inspecting each chosen type of culvert and slotted pipe, refer to the
Work appropriate section in Chapter 4, Construction Details, of this manual.
Temporary culvert is to be removed and disposed of when it is no longer required for
the work. A removed, undamaged, temporary culvert may be installed in the
permanent work if it complies with specifications for the permanent culvert and it is
new when installed as a temporary culvert on the project.
Refer to Section 62-4.03, "Construction," of the Standard Specifications, for concrete
backfill items to review during the course of the work.
Measurement and Once a type of culvert has been selected, apply the specifications for pipe and pipe
Payment arches, including measurement and payment provisions, specific to that type of culvert.
To measure the various types of pipe selected, follow the guidelines in this manual. For
reinforced concrete box and arch culverts paid for as alternative culvert, Section 62,
Alternative Culverts, of the Standard Specifications specifies the measurement
method.
Once a slotted pipe type has been selected, apply the payment provisions specific to
that kind of pipe.

4-62.2 Alternative Culverts
Refer to Section 62-3.04, "Payment," of the Standard Specifications for payment of
temporary culverts and pipe reducers.
Concrete backfill payment for pipe trenches is made under Section 62-4.04,
"Payment," of the Standard Specifications.

Alternative Culverts 4-62.3
Section 64 Plastic Pipe Section 64

Plastic Pipe
4-6401 General 4-6401
Section 64, "Plastic Pipe," of the Standard Specifications contains specifications for General
fabricating and constructing plastic pipe and slotted plastic pipe. Plastic pipe must be
either Type C or Type S corrugated polyethylene pipe, or corrugated polyvinyl chloride
(PVC) pipe with smooth interior. Slotted plastic pipe must be polyethylene.
Well before work begins, review the plans and specifications and inspect the sites of all Before Work
planned installations. Reviewing these items sufficiently in advance helps prevent Begins
scheduling conflicts and errors in ordering materials.
During the preliminary review and inspections, the resident engineers and assistant
resident engineers should also do the following:
Identify any unsolved drainage problems.
Make any plan changes necessary to fit field conditions.
Determine the locations and lengths of the pipes.
Once the previous step is accomplished, if necessary, give the contractor a revised
pipe list. The list should include any pipes added or altered by a change order.
Verify that Form CEM-3101, Notice of Materials to Be Used, includes plastic
pipe and plastic slotted pipe. Refer to Section 6-202, Responsibilities for
manual for additional information.
Obtain a certificate of compliance for plastic pipe, including the average pipe
stiffness, resin material cell classification, and date of manufacture. For corrugated
polyethylene pipe, the contractor must also provide a manufacturer's copy of plant
audits and test results from the National Transportation Product Evaluation
Program for the current cycle of testing for each pipe diameter furnished.
If rapid strength concrete is to be used as concrete backfill for slotted plastic pipe,
obtain the concrete mix design and test data in advance of excavation of the trench
in conformance with specification requirements.
During work operations, the resident engineers and assistant resident engineers should During the Course
do the following: of Work
Ensure the contractor constructs embankments as specified before any structure
excavation.
Before pipe installation, ensure that excavations and any required bedding are as
shown in the Standard Plans and meet the specifications.

Plastic Pipe 4-64.1
Verify the final acceptability of the pipes following the guidelines in Section 6-2,
manual. The following problems with pipe are unacceptable:
1. Pipe walls with cracks, holes, blisters, voids, foreign inclusions, or other
defects affecting the pipe wall integrity or visible to the naked eye.
2. Pipes or fittings with abrasions or scratches deeper than 10 percent of the
wall thickness.
3. Gaskets that are cracked or split.
4. Rough surfaces, ridges, fractures, cracks, or imperfections at joint
surfaces where gaskets will bear.
During the onsite storage of PVC pipes, verify that pipes are protected from long-
term exposure to sunlight, or brittleness may result. Ensure that pipes are protected
from any kind of damage throughout all operations.
Verify that pipes of the specified size, type, and class are placed in the proper
locations.
Verify pipe joints are installed as specified.
Require methods of handling and storage that will not damage the pipes.
When atmospheric temperature is 40F or less, ensure PVC installation methods
using mechanical assistance do not damage pipes.
Ensure that backfill work complies with the details on the contract plans, Standard
Plans, or both. Refer to Section 4-19, Earthwork, of this manual for additional
instructions on excavation and backfill.
Pay particular attention to pipe joint requirements including any specified testing
for watertightness.
Before construction loads are allowed over culverts, require that culverts meet the
minimum fill conditions as shown on Standard Plan Sheet D88.
Continue to periodically inspect pipes as work progresses. A critical time to inspect
is after the completion of the grading and before the start of base and surfacing.
During the final phases of the project, make another inspection, primarily to find
any pipes that need cleaning.

Measurement and Refer to Sections 64-1.04, "Payment," and 64-2.04, "Payment," of the Standard
Payment Specifications for payment information for plastic pipe and slotted plastic pipe,
respectively.

4-64.2 Plastic Pipe
Section 65 Concrete Pipe

4-6501 General
4-6504A Case I
4-6504B Case II
4-6504C Case III

Concrete Pipe 4-65.i
Section 65 Concrete Pipe Section 65

Concrete Pipe
4-6501 General 4-6501
Concrete pipe is used for culverts, siphons, drains, and conduits. Section 65-2 [65], General
Concrete Pipe, of the Standard Specifications, includes specifications for circular
reinforced concrete pipe, oval-shaped reinforced concrete pipe, and reinforced concrete
pipe arch. Section 65-3, "Nonreinforced Concrete Pipe," of the Standard
Specifications, is reserved for specifications for fabricating and constructing
nonreinforced concrete pipe. The resident engineer and assistant resident engineers
responsible for inspecting reinforced concrete pipe need to be familiar with the
specifications and Standard Plans that provide for determining the physical
characteristics of the pipe. The specifications provide options to the contractor for
selecting the class of pipe and earthwork required for installing the pipe. The Office of
Materials Engineering and Testing Services (METS) personnel will test and inspect the
pipe during manufacturing, but the resident engineer and assistant resident engineers
must ensure that the correct combination of class of pipe and earthwork methods are
used in each location.
Well before work begins, review the plans and specifications and inspect the sites of all Before Work
planned installations. Reviewing these items sufficiently in advance helps prevent Begins
scheduling conflicts and errors in ordering materials. During the preliminary review
and inspections, the resident engineers and assistant resident engineers should also do
the following:
Review the Materials Information from METS and ensure that the special
provisions cover any special requirements.
Note any unsolved drainage problems, and make any necessary changes by change
order.
As soon as final locations and lengths are determined, give the contractor a revised
pipe list, including those pipes added or altered by change order.
Verify that Form CEM-3101, Notice of Materials to Be Used, includes concrete
pipe of the type and class specified. Refer to Section 6-202, Responsibilities for
manual for additional information. Note that use of direct design method circular
reinforced concrete pipe or nonreinforced pipe is permitted under those conditions
enumerated in the specifications.
During work operations, the resident engineer and assistant resident engineers should During the Course of
do the following: Work

Concrete Pipe 4-65.1
Once the pipe arrives at the job site, check the identification tags or marks to
ensure a METS inspector has inspected the pipe at the source of origin.
Determine the final acceptability of the pipe using the guidelines in Section 6-2,
manual. Sections of pipe that have met the requirements of the three-edge bearing
test may be used in the work. Cracks resulting from the three-edge bearing test are
not a reason for rejecting the pipe. Small numbers of hairline cracks and minor
chips are not so serious as to require rejecting pipe, either. However, the following
problems are not acceptable: pipe with cracks through the wall; exposed
reinforcing steel; or damaged bells, spigots, or joint grooves.
For culverts that have been installed and backfilled, cracks should not exceed
1/100 inch in width in severely corrosive environments (that is, environments
consisting of a pH of 5.5 or less, seawater, or water containing vegetal or animal
wastes or chloride concentration greater than 500 ppm). Conversely, for culverts
installed in a noncorrosive environment (that is, environments consisting of a pH
greater than 5.5, water containing animal or vegetal wastes or chlorides
concentration less than 500 ppm), cracks of up to 1/8 inch in width in the installed
pipe are acceptable if they are not excessive in number. Note the requirements in
the specifications for marking pipe. Ensure that pipe of the specified size, type, and
class is installed at the proper locations.
Before structure excavation, require that embankments be constructed as specified.
Before installing pipe, determine the acceptability of excavations and any required
bedding, as described in the specifications and as shown in the Standard Plans.
Excavation must occur for each bell to avoid shear cracking.
Require methods of handling that will not damage the pipe.
At the contractors option and expense, the contractor can use extra strong pipe to
withstand the pressures of jacking. Ensure any voids resulting from jacking are
filled.
Elliptically reinforced pipe must be placed so the minor axis is vertical. Note the
locations of indicators, painted stripes, or lift holes to ensure proper placement.
Before the contractor places the backfill, ensure lift holes are plugged.
Ensure pipes are placed with belled ends upstream. Where possible, pipes should
be laid on the upgrade. Progress on the upgrade facilitates tight joints, particularly
for pipes on steep grades. However, extending existing pipes downstream will
require laying pipe on the downgrade or will require a special connecting structure.
Joints must have smooth, uniform interior surfaces. Unless otherwise required,
joints must be sealed completely with cement mortar, rubber gaskets, or resilient
materials. Reject gaskets that have cracks or splits.
Check the aggregate and the proportioning of cement mortar. The mortar must be
used within 30 minutes after the addition of water. Permit the use of admixtures to
improve workability, and determine the amounts to be added.
Ensure rubber gaskets are stored in a cool place away from sunlight. If lubrication
is required before installation, require the contractor to follow the manufacturers
instructions.

4-65.2 Concrete Pipe
Ensure resilient materials are tested before use. During sealing with liquid
materials, ensure molds or runners retain the liquid materials. Liquid sealers must
be placed continuously and agitated until the joint is completely filled.
Review backfill details on the contract plans, Standard Plans, or both. Determine
that the class of reinforced concrete pipe and method of backfill selected by the
contractor meet these details. Refer to Section 4-19, Earthwork, of this manual
for additional instructions on excavation and backfill.
Backfill may be done while the mortar in joints is plastic. However, after the
mortar sets, do not permit backfill until 16 hours after sealing. Further, because
free water may not contact the pipeline until seals containing portland cement have
aged 24 hours, no backfill may be placed during this period if it must be watered in
place. Require backfilling in a manner that will not damage seals, whether by
direct impact or through displacement of joints. Imported structure backfill should
be checked for pH and resistivity levels to verify that the service life of the pipe
will not decrease. The limits of concrete backfill, when required, will be shown on
the plans. Concrete backfill is paid for as a separate item. The contractor may use
slurry cement backfill for backfilling culverts. When either concrete backfill or
slurry cement backfill is used, observe carefully and ensure the pipe is not
displaced or floated by uneven or too rapid placement. For rapid strength concrete
or rapid strength slurry cement backfill, allow only nonchloride admixtures to
accelerate the setting time.
After the backfill of pressure pipes or siphons to 2 feet over the crown, witness the
specified hydrostatic tests. Require the repair of all obvious leaks and leak
reductions to the maximum permitted. Refer to Section 65-2.01D(2), "Field
Testing of Siphon and Pressure Pipe," of the Standard Specifications.
Require that minimum cover for construction loads, as shown in the Standard
Plans, be placed over reinforced concrete pipe culverts.
Insist that pipes be protected from damage during continuing operations.
Periodically inspect pipes as work progresses. A particularly critical time to inspect
comes after the completion of the grading plane and before the start of base and
surfacing. During the final phases of the project, make another inspection,
primarily to find any pipes that need cleaning.
The length of pipe to be paid for is the slope length designated by the engineer. This Measurement and
slope length is the length shown on the plans, plus or minus any changes the engineer Payment
makes, or the length as determined from the surveyors staking notes. If pipe is cut to
fit a structure or a slope, the pay length is the length necessary to be placed before
cutting, rounded up to the nearest 2-foot increment. If the contractor forms the pipe out
from a structure, the formed distance is also part of the length of the pipe necessary
before cutting. If the pipe joins a structure at a skew, the length of pipe necessary to be
placed before cutting is the longer side of the pipe. Pipe bends, wyes, tees, and other
branches must be field measured in accordance with the specifications. The following
are examples for measuring culvert pipe when the length to be paid for is the slope
length designated by the engineer.

4-6504A Case I
PIPE PLACEMENT CUT OR UNCUT PIPE PAYMENT METHOD
Pipe between two Cut Pay to the nearest 2-foot

structures (inside face increment equal to or longer
to inside face of two than the pipe necessary
drop inlets) before cutting
Example 1:
The length along centerline between the two faces and additional length required
due to skew = 62.33 ft
Individual lengths of pipe placed total 60.08 ft, plus additional length made up in
joints and by forming out from one structure.
Pipe is cut due to skew at the other structure.
Therefore:
Pay for 64 ft
Example 2:
Centerline length between inside faces not on a skew = 60.75 ft
Lengths of pipe placed total 64.25 ft
Therefore:
Pay for 62 ft
4-6504B Case II
Pipe between two
Uncut Pay the designated length.
structures.
Example:
Slope length along centerline of the pipe between the two inside faces = 145.5 ft
Individual lengths of pipe placed total 144 ft, plus additional length made up in joints
or forming out from one structure, or both.
Therefore:
Pay for 145.5 ft

4-65.4 Concrete Pipe
4-6504C Case III
Pipe placed from toe of fill Uncut Pay the slope length the
to toe of fill. engineer designates.
Example:
Designated length = 145 ft
Laid pipe = 146 ft, with the additional length due to the gain in joints.
One end is allowed to extend the additional distance beyond the toe of fill.
Therefore:
Pay for 145 ft
Under the following circumstances, you may use field measurements in lieu of
calculations or you may supplement calculations:
1. A pipe runs between two structures. After verifying that the structures are
constructed as shown on the plans, you can determine designated length from a
field measurement along the centerline of the pipe between the two inside faces. If
the pipe is cut, make appropriate adjustments to the field measurement.
2. After verifying that a pipe is properly staked, you may use field measurements
between stakes referenced to the ends of the pipe to determine the length
designated by the engineer. If you use a field measurement to determine pay
lengths, include on the quantity sheet an explanation of how the field measurement
relates to the length designated by the engineer.

Section 66 Corrugated Metal Pipe Corrugated
Metal Pipe
4-6601 General 4-6601

Corrugated metal pipe, designated by pipe diameter or dimension, type, and metal General
thickness, includes both steel and aluminum pipe. The Standard Plans specify the
requirements and other details for coupling bands.
The resident engineer should take the following preliminary steps: Before Work
Begins
Review plans and specifications.
Inspect the job site for the locations of all proposed installations.
Modify plans when necessary to fit field conditions. Prepare change orders for
major changes from approved plans; for example, additions, deletions, or changes
in type or size of pipe. When structures are staked, adjustments may be made in
location or length of cross drains or side drains, as necessary without requiring a
change order.
After determining final locations and lengths, give the contractor a revised pipe
list, including those pipes added or altered by change order.
fabricated materials. Refer to Section 6-202, Responsibilities for Acceptance of
information.
During the work, do the following: During the Course
of Work
Upon delivery of the pipe, note whether it is identified by marks or inspection tags
(Form TL-0624, Inspection Release Tag.) Check the pipe for any possible
damage sustained after inspection at the source. Require the repair of minor
damage to coatings or galvanizing. If satisfactory repair cannot be achieved,
require the contractor to remove this unacceptable pipe from the project. If the pipe
is properly identified as inspected, project personnel normally do not need
certificates of compliance or mill test reports. An inspector from the Office of
Materials Engineering and Testing Services (METS) will have already obtained
these documents.
Before excavating pipe, require that embankments be constructed as specified.
Refer to Sheet A-62F of the Standard Plans for excavation and backfill
requirements.
For instructions about inspecting backfill, see Section 4-19, Earthwork, of this
manual. Corrugated metal pipe can be displaced or damaged during backfill.
Therefore, insist on precautions to prevent damage.

Corrugated Metal Pipe 4-66.1
For slotted corrugated steel pipe, ensure installation is not begun until after paving
has been completed on traffic lanes adjacent to the pipe. Ensure materials are
prevented from entering pipe slots during backfilling and paving activities.
For information about concrete backfill and slurry cement backfill, see Section
4-65, Concrete Pipe, of this manual.
Be particularly alert to ensure the required type and thickness of pipe at each
location. To avoid galvanic corrosion, prohibit the combination of steel and
aluminum in any installation.
Note whether the ends of pipe have been reinforced where required. Where pipe
terminates at a structure, require the end of the pipe to be flush with the face or
interior surface.
Ensure circumferential joints and side seams are positioned as required. Especially
note whether spaces between lengths of pipe permit a correct fit by couplers. For
helically corrugated pipe, corrugations must be matched across field joints with
proper space maintained between lengths of pipe. Angles, lugs, or other
projections on couplers must be positioned about halfway between the crown and
the side of the pipe. Before permitting backfill, couplers must be snug and tight.
Before joint materials for culvert and drainage pipe arrive at the site, a METS
inspector will inspect and test the material as necessary.
When siphons or watertight joints are installed, witness the required field leakage
and hydrostatic tests.
As shown on Sheet D88 in the Standard Plans, ensure minimum fill conditions are
met for construction loads on culverts.
Throughout the progress of the work, inspect installed pipes periodically. If you
discover any structural deficiencies, ensure the deficiencies are corrected before
the start of the base or surfacing operations, where pipes underlie pavements.
Before accepting the contract, or recommending a granting of relief from
maintenance, all pipes must be inspected and, if necessary, cleaned. The contractor
is responsible for cleaning pipes placed under contract.

Measurement and Refer to Section 66-1.04, "Payment," of the Standard Specifications for payment of
Payment corrugated metal pipe and pipe reducers.

4-66.2 Corrugated Metal Pipe
Section 67
Section 67 Structural Plate Culverts Structural Plate
Culverts
4-6701 General 4-6701
Specifications for fabricating and constructing structural plate culverts as pipe, arches, General
and pipe arches that are assembled in the field from structural steel or structural
aluminum plates are included in Section 67, Structural Plate Culverts, of the
Standard Specifications. The plans and specifications designate the number and
thickness of plates in each installation.
Begins
Sufficiently in advance of the contractors start of operations to prevent conflicts in
scheduling or errors in ordering materials, review the contract plans, Standard
Plans (sheets A62F, D88A, and B14-1, as appropriate), and specifications. Inspect
the site of each planned installation. Note any unsolved drainage problems.
As soon as final locations and lengths are determined, furnish the contractor a
revised pipe list.
fabricated materials. Refer to Section 6-202, Responsibilities for Acceptance of
information.
Before assembling the structural plates, ensure the receipt of the manufacturers
assembly instructions. Ensure the instructions conform to the plans and
specifications.
Once work begins, do the following: During the Course
of Work
Upon delivery, determine whether Form TL-0624, Inspection Tags, identifies
the pipe.
Also, upon delivery, note the condition of the pipe. Require the repair of minor
damage to galvanizing or bituminous coatings. Prohibit the repair of serious
damage, such as buckled, bent, cracked, or torn plates. Reject plates with damage
of this extent.
Double-check to ensure the proper type, size, and thickness of pipe at each
location.
If mastic for protective coating will be field applied, ensure an inspector from the
Office of Materials Engineering and Testing Services (METS) has inspected the
material.

Structural Plate Culverts 4-67.1
Normally, the METS inspector will have obtained the certificates of compliance or
mill test reports. If materials are properly identified as previously inspected, project
personnel do not need these documents.
Before structure excavation, require that embankments be constructed as specified.
Note the requirement on the plans for shaped bedding.
Require assembly according to the manufacturers instructions. The following
items must comply with instructions and specifications:
1. Sequence of placing plates
2. Longitudinal and circumferential joints and laps
3. Types and sizes of bolts and nuts to be used
4. Manner of bolt placement
5. Number of bolts to be placed before tightening
6. Bolt-tightening sequence and torques
7. Type of end treatment
Check maximum as well as minimum torque to ensure they comply with the
requirements in Section 67-2.03 [67-1.05], Construction, of the Standard
Specifications. During the checking of torque, insist on an adequate working
platform and safety devices to prevent injury in case of the shearing of a bolt or the
breaking or slipping of a torque wrench.
Refer to the Standard Plans for the design of required strutting and for the
minimum cover for construction loads. Require that minimum fill conditions, as
shown on the plans, are met for construction loads on culverts.
When bituminous coating is required, determine that all bolts on the outside of the
pipe are coated with mastic before backfill. When coating is field applied, require
the sealing of all joints before backfill.
Refer to Section 4-19, Earthwork, of this manual for instructions on inspecting
backfill. Refer to Section 4-65, Concrete Pipe, of this manual regarding slurry
cement backfill.
Throughout the progress of the work, periodically inspect installed pipes and
arches. If you discover any structural deficiencies, ensure these are corrected
before the start of base or surfacing, where pipes or arches underlie pavements.
Before you recommend acceptance of the contract or make a recommendation to
grant relief from maintenance, require the contractor to clean all pipes and arches if
necessary.
Measurement and Refer to Sections 67-2.04, "Payment," and 67-3.04, "Payment," for payment
Payment information on structural metal plate pipe and metal liner plate pipe, respectively.

4-67.2 Structural Plate Culverts
Section 68 Subsurface Drains

4-6801 General
4-6801A Underdrains
4-6801B Horizontal Drains
4-6801C Edge Drains
4-6801D Geocomposite Drain Systems
4-6802A Underdrains
4-6802C Edge Drains
4-6803A Underdrains
4-6803C Edge Drains

Subsurface Drains 4-68.i
Section 68
Section 68 Subsurface Drains Subsurface
Drains
4-6801 General 4-6801
This section covers four types of subsurface drains: underdrains, horizontal drains, General
edge drains, and geocomposite drain systems.
Subsurface drains remove groundwater from natural soils and formations. The drains
are intended to intercept groundwater or lower its level before it adversely impacts the
highway.
Be alert for indications of problem groundwater, particularly before clearing and during
grading. Swamps, bogs, springs, and areas of lush growth are possible indicators of
excess groundwater. Carefully inspect fill foundations before starting embankments.
As excavation progresses, personnel may encounter standing water or various aquifers
near slopes or at the grade.
If problem groundwater is found, it may be necessary to add subsurface drains.
For anything but minor investigation to determine subsurface conditions, request
assistance from the district materials engineer or the district geologist.
4-6801A Underdrains
Underdrains consist of perforated pipe placed in permeable material. Single
installations, in which a pipe and filter material are placed in a narrow trench, are used
at the following locations: along the toe of a cut slope; along an upstream (with respect
to groundwater) toe of fill; and across the roadbed at the lower end of a through cut.
Multiple installations of perforated pipe are used in permeable blankets and
stabilization trenches. Permeable blankets are placed over the width of a roadbed and
may be considered part of the structural section.
Permeable material is enclosed in filter fabric, which prevents the migration of fine
material into the permeable material.
Pipes that act to collect groundwater must be perforated or slotted; however, pipes that
discharge collected water should not be perforated or slotted.
When feasible, the contractor should locate underdrain systems below the invert of
adjacent storm water systems. When working in the presence of high groundwater
tables and highly erodible soils, consider using watertight joints in culverts.
Horizontal drains are made from 1-1/2-inch schedule 80 polyvinyl chloride (PVC)
pipes. Horizontal drains can be slotted, perforated, or plain. They are placed in holes
drilled into aquifers. Normally they are placed in cut slopes or under fills and their
purpose is to reduce the possibility of slides or slipouts.

Subsurface Drains 4-68.1
The extent of groundwater may be determined with exploratory, vertical wells. Where
the wells may be kept open, such wells serve as gauges to indicate changes in the
elevation of the water table. However, in many cases, it is obvious that groundwater
requires drainage by horizontal drains because of signs of distress or saturation at the
surface. Then, the exploration and installation of drains may occur concurrently. Each
newly installed drain adds information needed to solve the problem. For instance, the
extent of the aquifer may be discovered or the volume of flow will indicate whether
more, or fewer, drains are required.
4-6801C Edge Drains
Edge drains are installed beneath a paved shoulder, just out from the edge of the
concrete pavement. Slotted PVC pipe is placed within asphalt-treated or cement-treated
permeable material that is partially encapsulated in filter fabric. These drains remove
water from the structural section and prevent migration of fine material from the base
or subbase to the area beneath the slab.
Geocomposite drain systems are most commonly used as structure approach drainage
systems, which consist of geocomposite drain, filter fabric, plastic pipe, treated
permeable base, and drainage pads.
Before Work Begins During this preliminary inspection, take the following steps:
Ensure the contractor requests staking for control of line and grade.
fabricated materials. Refer to Section 6-2 Acceptance of Manufactured or
Fabricated Materials and Products, and Section 6-3, Field Tests, of this manual
for additional information.
Ensure the contractor has provided a certificate of compliance for each type of
subsurface drain. The certificate of compliance must cover the pipe, tubing,
fittings, and specified materials to be used. Generally, there will be no Form
TL-0624, "Inspection Release Tag," for these materials with the exception of
coatings or fasteners used with subsurface drains.
Ensure that permeable material is of the class required under the contract.
Double-check to ensure the use of the proper type and size of materials at each
location, and verify the planned quantities for solid and perforated pipe.
4-6802A Underdrains
Review the locations planned for underdrains to ensure that all areas requiring
underdrains have been identified.
Review Sheet D102 of the Standard Plans for underdrain details.
Determine the drain locations and sequence of placement based on plans,
exploration work, and observations during excavation. Determine the system by
which horizontal drains will be designated and marked, and provide the contractor
with this information.

4-68.2 Subsurface Drains
Plan the placement of collectors and outlets so they are positioned for public safety
and ease of maintenance operations.
Verify planned quantities.
4-6802C Edge Drains
See Section 4-29, Treated Permeable Bases, of this manual for guidelines for the
production of treated permeable material.
Verify planned quantities.
Review sheets D99A, D99B, D99C, and D99D in the Standard Plans for edge
drain details.
Obtain a certificate of compliance for geocomposite drain and accompanying flow
capability graph with authorized laboratory verification. Geocomposite drain
material must conform to Section 88-1.02C, "Geocomposite Wall Drain," of the
Standard Specifications unless otherwise specified.
Review project plan sheets for structure approach drainage details with
geocomposite drain systems. Project plan sheets may also identify "Weep Hole
and Geocomposite Drain" alternatives, which contractors may choose to use.
of Work
Subsurface drains are hidden from view for the most part, so ensure complete as-
built records are created. Pictures, plans, elevations, and complete descriptions will
enable efficient and more complete maintenance and repair.
Ensure the contractor conforms to the water pollution control plan in handling any
water discharged from subsurface drains.
4-6803A Underdrains
Immediately before placing the filter fabric, examine the condition of the trench.
Require the contractor to remove any loose material and also any sharp objects that
may damage the filter fabric.
Observe the placement of the filter fabric, and ensure that any tears or punctures
are repaired as specified.
Ensure that permeable material is of the class required under the contract.
In accordance with frequencies shown in Section 6-1, Sample Types and
Frequencies, of this manual, test the permeable material for all specified
attributes.
Initially, more frequent testing may be advisable if any indication exists that
segregation or contamination is occurring during handling and placing.
Require the contractor to place pipe in the manner specified in Section 68-2.03
[68-1.03], Construction, in the Standard Specifications.
Terminal cleanouts and intermediate risers are vulnerable to damage throughout
the contracts life. Before recommending contract acceptance, ensure they are in
good condition.

Require the contractor to determine the elevation of drilled holes at specified
intervals. Record these for inclusion in the permanent records.
Determine the length of nonperforated pipe to be placed at the drain mouths. Use
the minimum specified length when the aquifer extends to the surface. Require
outlet pipes to be connected to the collector system.
Require the space between the drilled hole and the pipe to be tightly plugged with
earth, as specified.
Keep a boring log of material types encountered during drilling; also keep a log of
production rates.
Each drain must be identified by a brass plate bearing an assigned number or other
label. Collect data about the drains location, outlet elevation, grade, lengths of
drilled hole and casing, plan of system, and flow. Furnish this data, including the
identification information, to the Office of Geotechnical Services in the Division of
Engineering Services.
For the most part, horizontal drains are hidden from view, so ensure complete as-
built records are created. Pictures, plans, elevations, and complete descriptions will
4-6803C Edge Drains
Inspect trench excavation for proper location, alignment, and cross-sectional
dimensions. Require the contractor to remove any loose material and also any
sharp objects that may damage the filter fabric during installation.
Observe the installation of the filter fabric. Require that it be free of wrinkles and
that any tears or punctures are repaired as specified.
Verify that the contractor meets the requirements for atmospheric temperature and
mix temperatures for cement-treated and asphalt-treated permeable materials.
Cement-treated permeable material delivered in truck mixers may have a tendency
to segregate at the end of the load. When the material is obviously segregated, do
not permit its use. An excess of fines and water can enter and plug the slotted pipe.
Moreover, an overly coarse aggregate grading may not bond and will be unstable.
Require that the curing of cement-treated permeable material meets specifications.
Require that edge drains, vents, and cleanout pipes be tested, as required by the
specifications, for obstructions. Animal guards, if required, should be positioned
immediately after the placement of the drains. Pipes may also be damaged by
asphalt-treated material that is too hot or may be plugged by excessive free mortar
in cement-treated permeable material. Observe all testing, and record that it was
done. Require the replacement of any pipe that the flushing nozzle cannot
penetrate.
For the most part, edge drains are hidden from view, so ensure complete as-built
records are created. Pictures, plans, elevations, and complete descriptions will

4-68.4 Subsurface Drains
Ensure that the geocomposite drain is installed with the filter fabric side facing the
embankment and oriented so that corrugations are placed perpendicular to the
drainage collection system.
Ensure that joints in the geocomposite drain have the required overlaps and
positioning is maintained throughout subsequent operations.
Ensure that exterior edges are wrapped with filter fabric to prevent soil migration
from these areas.
Require any tears or punctures in the fabric of the gecomposite drain be replaced
with new fabric or repaired as specified.
Measurement and payment must conform to the special provisions, Standard Measurement and
Specifications, or both. Payment
Underdrains, horizontal drains, edge drains, and geocomposite drains each have
different measurement and payment clauses.
For underdrains and edge drains, see Section 4-65, Concrete Pipe, in this manual for
a discussion of slope length designated by the engineer. Note that in Sections 68-2
[68-1] Underdrains, and 68-4 [68-3], Edge Drains, of the Standard Specifications
the actual length designated is to be paid for, and no provision exists for paying for
additional length due to cutoff.
As horizontal drain installation progresses, measure the length of drain placed so
that a final quantity can be determined.
Payment for geocomposite drains is included in related items of work unless
specifically excluded.

Section 69 Overside Drains Section 69

Overside Drains
4-6901 General 4-6901
Overside drains consist of various types of pipes, flumes, and lined ditches installed to General
remove surface water from highways or from benches in cut or fill slopes.
During this preliminary inspection, take the following steps: Before Work
Begins
Review the project with the maintenance superintendent to assess any problem
drainage areas.
Review sheets D87A, D87B, D87C, and D87D in the Standard Plans for
information on downdrains and overside drains.
fabricated materials. Refer to Section 6-2, Acceptance of Manufactured or
Fabricated Materials and Products, and Section 6-3, Field Tests, of this manual
Ensure the contractor has provided a certificate of compliance for steel, aluminum,
and plastic materials used in overside drains. Generally, there will be no Form
TL-0624, "Inspection Release Tag," for these materials with the exception of
coatings used with overside drains.
Check the condition of the materials to discover any damage possibly sustained
during shipping and handling. Require the repair of minor damage to coatings or
galvanizing. (See Section 66-1.02C [66-1.03], Protective Coatings, Linings, and
Pavings, and Section 75-1.05, Galvanizing, of the Standard Specifications.) If
satisfactory repair cannot be achieved, require unacceptable materials to be
removed from the project.
Inspectors from the Office of Materials Engineering and Testing Services (METS)
will inspect and test any coating materials.
Review any planned installations of metal beam guardrail. If overside drains are in
a metal beam guardrail area, consider using long span nested guard rail. (See the
Traffic Manual, Chapter 7-03.6, Guardrail Design Considerations and Figure
7.9, Long Span Nested Guardrail.)
Review plans and planned overside drain locations by verifying design with the
actual field surveys. Make any necessary changes and give the contractor a revised
list of lengths.
You can determine the exact location of overside drains, in an area where the grade
is flat, by having a water truck dump part of its load in the gutter and cutting the
dike where the water ponds.

Overside Drains 4-69.1
During the Course of During work, take the following steps:
Work
Determine that pipe sections have watertight joints and are properly installed.
As specified in Section 19 of the Standard Specifications, ensure the contractor
disposes of the surplus material resulting from excavation and performs the
backfill.
Ensure entrance areas are watertight.
Require fog sealing of all asphalt concrete spillways and downdrain entrance areas.

Measurement and Count entrance tapers, tapered inlets, reducers, slip joints, and anchor assemblies. The
Payment length of downdrain pipe and flume to be paid for is the length ordered by the engineer
with an adjustment when downdrain pipe is cut to fit a structure or slope. The length
ordered by the engineer is the length shown on the plans or any revised lengths the
resident engineer deems necessary to meet field conditions. In the lengths of pipe and
flume downdrains to be paid for, do not include lengths of tapered inlets and entrance
tapers (including tail pipe and slip joints).
For additional information, see the discussion on measuring pipe in Section 4-65,
Concrete Pipe, of this manual.

4-69.2 Overside Drains
Miscellaneous
Section 70 Miscellaneous Drainage Facilities
Drainage
Facilities
4-7001 General 4-7001
Items covered under this section are related to water drainage facilities, water General
transmission pipe lines, and casings for bridges.
Begins
Verify that Form CEM-3101, Notice of Materials to Be Used, includes drainage
facilities and appurtenances. Refer to Section 6-202, Responsibilities for
Acceptance of Manufactured or Fabricated Materials and Products of this manual
Before the contractor places orders, notify the contractor of any changes affecting
quantities of miscellaneous drainage facilities.
Once work begins, take the following steps: During the Course
of Work
Check all items as they are delivered to the job site to ensure that the Office of
Materials Engineering and Testing Services has released the materials for
shipment. Also, inspect the materials in accordance with Section 6-2, Acceptance
of Manufactured or Fabricated Materials and Products, of this manual. Pay
particular attention to precast concrete facilities and linings and coatings.
Throughout the life of the project, continue to observe and inspect these items for
any possible damage by the contractors operations.
Determine that the various components at each installation are properly matched.
Prohibit the combined use of aluminum and steel in the same installation except as
the specifications permit.
Observe and record the results of any pressure tests of welded steel pipes.
Before constructing pipe manholes or inlets to the final grade, require that new
pavement or surfacing be completed immediately adjacent to the structure.
No adjustment in length is made when pipe is cut to fit a structure. Measurement and
To properly measure and pay for the various items covered in this section, carefully
Payment
read the payment clauses in the Standard Specifications. Payment for excavation and
backfill is included in the payment for the type of miscellaneous drainage facility
work involved.

Miscellaneous Drainage Facilities 4-70.1
Section 72 Slope Protection

4-7201 General
4-7203A Rock Slope Protection
4-7203B Concreted-Rock Slope Protection
4-7203C Small-Rock Slope Protection
4-7203D Concrete Slope Protection
4-7203E Broken-Concrete Slope Protection
4-7203F Slope Paving
4-7203G Gabions
4-7203H Sacked-Concrete Slope Protection

Slope Protection 4-72.i
Section 72
Section 72 Slope Protection Slope Protection
4-7201 General 4-7201

Caltrans uses slope protection described in Section 72, Slope Protection, of the General
Standard Specifications. The following common types of slope protection are covered
under the heading During the Course of Work:
Rock slope protection
Concreted-rock slope protection
Small-rock slope protection
Concrete slope protection
Broken-concrete slope protection
Slope paving
Gabions
Sacked-concrete slope protection
Other protective devices are used in conjunction with highway construction, and when
used, they are included in the contracts special provisions.
If extensive slope protection problems are anticipated or encountered during
construction, refer these to the design engineer and the project manager, who may in
turn obtain the advice of the Caltrans Bank and Shore Protection Committee.
Resident engineers should be familiar with the material contained in the publication,
California Bank and Shore Rock Slope Protection Design, and Section 870, Channel
and Shore ProtectionErosion Control, of the Highway Design Manual.
Before construction of any type of slope protection, review the plans, Standard Before Work Begins
Specifications, special provisions, any pertinent preliminary test data, and the location
of the installation. Note any changes that may have occurred between the preliminary
design studies and the start of construction. Decide whether modifications are
necessary as a result of changed conditions. In making such a decision, observe the
following:
High water elevations
Direction of flow and angle of impingement at various water stages
Capability of adjacent soil types to resist erosion from wash and eddy currents
Type and security of trees or brush
Any springs or water courses that might affect the stability of the design
For the record, take pictures of existing conditions.

Slope Protection 4-72.1
materials for slope protection. Refer to Section 6-202, Responsibilities for
manual for additional information. Obtain initial samples and have them tested for
the specified attributes.
During the Course of Take the following steps when inspecting the work and materials for slope protection:
Work
For tests on rocks, submit representative pieces of the rock that will be used in the
work. The samples will be crushed in the laboratory to the sizes needed to perform
the tests.
Sample cement according to the procedure outlined in Material Accepted on the
Basis of a Certificate of Compliance, in Section 6-2, Acceptance of
Manufactured or Fabricated Materials and Products, of this manual.
Obtain samples of the concrete aggregate for initial and acceptance tests. Testing
must follow the frequencies shown in Section 6-1, Sample Types and
Where applicable, inspect the footing areas and foundations for evidence of
instability or areas where hydrostatic pressures may develop. Order corrective
work when necessary. The plans indicate the minimum depths of foundations.
When evidence exists that the foundation depth is inadequate, obtain both the
design and hydraulics engineers concurrence with a change order to deepen the
foundation. Of the various types of instability problems, foundation failures are the
most serious and most common.
Check to ensure that slopes and foundation areas are graded and compacted
to specified tolerances.
When changes are made, maintain records of details, depths, heights, and other
dimensions, and enter these on the as-built plans.
Ensure that rocks of the specified sizes and shapes are being used. You may check
the size of rock by roughly measuring the size and converting the volume to mass.
To better control the contractors selection of rocks for placing, ensure the
contractor paints tonnage on large rocks used in foundation construction.
Verify the types of measurements and records necessary to support payment for
the work. Keep such records up to date.
Ensure existing shrubs and trees are protected so that they continue to anchor the
surrounding soil. Erosion control is an important element of successful slope
protection.
In addition to the general functions discussed above, the following items apply to
specific types of slope protection.
4-7203A Rock Slope Protection
The Standard Specifications provide two methods of placement for this type of
protection: Method A and Method B. The contract will identify the designated method.
Method A is used where the stability of the rock slope protection is considerably
dependent on the manner in which the individual rocks are placed. To ensure the

4-72.2 Slope Protection
success of Method A, ensure that the bearing of rocks from one to the other follows
specifications and that the use of chinking rocks is limited to filling voids. When
placing rocks, the contractor should ensure each placed rock is stable and not
dependent on the one on top to hold it in place. Otherwise, placement could result in
what is known as rockers or unstable rocks. Also, ensure the contractor does not drop
rock into place; otherwise, cracking or breaking may occur.
Method B is not restrictive with respect to the placement of individual rocks.
When rock slope protection fabric is required for either method, ensure the contractor
places the fabric before placing the rock slope protection. Refer to Section 4-88,
Geosynthetics, of this manual for guidelines for inspecting and accepting rock slope
protection fabric. Close observation is required during rock placement to detect any
damage to the fabric.
4-7203B Concreted-Rock Slope Protection
The concreted-rock slope protection method is used where large rock is not
economically available in large quantities, yet a heavy, service type of protection is
required. Protection involves constructing a heavy mass of smaller rocks bound
together by concrete.
To provide the desired cleanliness, the contractor may need to sluice the rock or facing.
If the rock contains an excess of fines or inadequate voids, the desired results may be
impossible to obtain.
The specifications stress the desirability of a roughened surface finish. If excess
concrete remains on the surface, the finished product, when used in streams, will be too
smooth and, along the protection, velocities will increase beyond those intended during
design.
To compensate for the lack of flexibility in the completed structure, ensure an adequate
foundation lies below this type of protection.
At the terminals of protection, ensure the contractor is particularly careful to avoid
erosion and undercutting. The contractor must also ensure the construction of adequate
returns and keys at the ends.
For details about concrete production, review Section 4-90, Concrete, of this manual.
The method for placing rock will either be Method A or Method B, whichever the
contract designates, as discussed under Section 4-7203A, Rock Slope Protection,
earlier in this section.
Inspect the rock to ensure it has been cleaned of any adhering dirt and clay and is
moistened before concrete placement.
Ensure the contractor brushes the surface, exposes the rocks as specified, and cures the
work by one of the specified methods.
4-7203C Small-Rock Slope Protection
The small-rock slope protection method consists of excavating and backfilling the
footing trench, placing rock slope protection fabric as shown, and placing small rocks
on the slope.
The Standard Specifications provide three material gradations based on required rock
layer thicknesses. The contract will designate the required rock layer thickness for each
location.

Ensure that the contractor places the fabric before placing the rock slope protection.
Refer to Section 4-88, Geosynthetics, of this manual for guidelines on inspecting and
accepting rock slope protection fabric. Observe closely during rock placement to detect
any damage to the fabric.
Ensure the equipment used during spreading does not crack the rock.
4-7203D Concrete Slope Protection
The concrete slope protection method consists of paving the embankment with
portland cement concrete. The method is particularly adaptable to locations where
high-velocity flow is not detrimental, but desirable, and the hydraulic efficiency of
smooth surfaces is important.
Review Section 4-90, Concrete, of this manual for details about concrete production.
When shotcrete is to be used, review Section 4-53, Shotcrete, of this manual.
Check the area to be protected to ensure that the required expansion joints are in place.
Review the plans for the location and number of weep holes. Decide whether an
adequate number has been provided for the particular installation. If necessary, order
additional weep holes.
Ensure that the contractor performs concrete finishing as specified and that the slope
paving is cured by one of the specified methods.
4-7203E Broken-Concrete Slope Protection
Broken-concrete slope protection consists of placing broken concrete from job site
locations identified within the contract.
Before placement of the broken concrete, inspect the material and be sure the
reinforcement has been removed flush to the surface of concrete.
The method for placing rock will either be Method A or Method B, whichever the
contract designates, as discussed in Section 4-7203A, Rock Slope Protection.
4-7203F Slope Paving
Slope paving is a broader term that covers a variety of methods for paving slopes,
including colored slope paving, exposed aggregate slope paving, and slope paving with
concrete pavers. The contract will specify which type applies at each location. The
Standard Specifications and special provisions provide the requirements for slope
paving. Test panels may be specified for certain slope paving.
For details about concrete production, review Section 4-90, Concrete, of this manual.
When shotcrete is to be used, review Section 4-53, Shotcrete, of this manual.
When specified, ensure coloring is added to the concrete.
Ensure the timber spacers are of the required material and spaced as planned.
Observe construction to ensure the contractor does the placing, finishing, and curing as
specified.
When exposed aggregate slope paving is specified, ensure any concrete set retarders
are used in accordance with manufacturer instructions.
When slope paving with concrete pavers is specified, ensure the special provision
requirements are met.

4-72.4 Slope Protection
4-7203G Gabions
The gabion method consists of placing wire mesh box-shaped baskets filled onsite with
hard, durable rocks. The gabions are placed on filter fabric as detailed in the plans and
specifications.
At the start of gabion placement, require the contractor to verify the minimum unit
mass of the gabions to ensure it meets specifications. If you have any questions about
the consistency of the gabions, you may also order the mass to be verified during the
course of the work.
4- 7203H Sacked-Concrete Slope Protection
Sacked-concrete slope protection is used when a number of serious failures have
occurred. The failures are usually associated with the foundation or water getting
behind the slope protection and peeling off the protection.
At the terminals and intermediate points, the plans provide for the construction of
endwalls, cutoffs, and end returns. These devices are intended to prevent erosion
behind the protection, and depending on field conditions, may need to be extended.
When possible, the terminals of slope protection should be tied into existing,
undisturbed natural features that resist erosion, such as large boulders or rock outcrops.
The bond between the burlap-type sacks and the courses results from the exuding of
mortar through the sacks. Should the bond be inadequate, the contractor can strengthen
the bond by driving steel dowels or reinforcing bars through the courses as they are
constructed.
Stretchers are those sacks placed with their lengths parallel to the bank. Headers
are placed at right angles to stretchers. Verify that the sacks are placed in the manner
specified. Periodically measure the work to ensure that the face coverage is within
allowable tolerances.
Observe the curing operation to ensure that water is sprayed onto the slope protection
at the specified intervals and for the required length of time. Note such observations in
the daily report.
Finally, for measurement purposes, perform California Test 518, Unit Weight of
Fresh Concrete, to determine the unit weight of the concrete.
For details of measurement and payment, review the contract specifications. Make Measurement and
necessary measurements. Payment
For measuring concrete or shotcrete, refer to Section 4-90, Concrete, or Section 4-53,
Shotcrete, of this manual.

Section 73
Section 73 Concrete Curbs and Sidewalks Concrete Curbs
and Sidewalks
4-7301 General 4-7301

This section covers concrete curbs and sidewalks. For information on the production General
and transportation of portland cement concrete, see Section 4-90, Concrete, of this
manual.
For specifications about the construction of concrete curbs and sidewalks, see Section
73, Concrete Curbs and Sidewalks, of the Standard Specifications.
During this preliminary review, take the following steps: Before Work
Review the contract for details about the projects concrete curbs and sidewalks, Begins
and compare these details with conditions in the field. As appropriate, review
sheets A87A, A88A, and A88B of the Standard Plans.
Before constructing any curbs, gutters, or sidewalks other than those shown on the
plans, review the Highway Design Manual to determine the policy. Ensure the
curbs, gutters, or sidewalks:
1. Conform to the current policy of replacing existing facilities
2. Or, are necessary to comply with previous agreements
3. Or, are necessary to provide proper drainage
Discuss the construction operation with the contractor. Determine whether the
contractor has considered the publics convenience, a consideration required by
Section 7-1.03 [7-1.08], Public Convenience, of the Standard Specifications and
also by applicable sections of the special provisions. Advise the contractor of any
necessary modifications to the operation.
Make a general check of the layout as staked, including the location of gutter
depressions, curb ramps (wheelchair ramps), and driveways. Also review the
stakes for accuracy. Ensure grades will accommodate finished slope requirements.
If layout and grades will not meet requirements, process a change order to correct
the problem.
Ensure that an approved grading for the combined aggregate for minor concrete is
on file in the project records. Note that any testing of minor concrete is at the
resident engineers discretion. Normally, testing is not necessary for minor
concrete produced at a plant with a good history of producing concrete for Caltrans
work. For minor concrete from a source that has not been previously used on the
project, require the contractor to submit a certificate of compliance.

Concrete Curbs and Sidewalks 4-73.1
Examine the subgrade to ensure the following:
1. The subgrade has been constructed to the proper elevation and cross section.
As specified, require the contractor to check the subgrade with a template.
2. The foundation has been watered and compacted. When the subgrade is
constructed in a structural layer, the compaction required in such a layer
usually applies. When the subgrade is original ground outside of those areas
where 95 percent compaction is required, no specific compaction value is
required; however, to obtain a stable foundation, a watering and compacting
operation is required. Unless the contractor chooses to allow soft or spongy
areas to dry before placing concrete, order their removal.
3. The subgrade is wet immediately before placing concrete.
Ensure the contractor has implemented appropriate best management practices for
washing out concrete mixer trucks.
During the Course Once work begins, take these steps:
of Work
Examine the forms to ensure the following:
1. They are smooth on the side next to the concrete.
2. They have a true, smooth upper edge.
3. They are rigid enough to withstand the pressure of fresh concrete without
distortion. Order the replacement of forms that will not produce an end
product within specified tolerances.
4. They are coated with form oil as specified.
5. They have the specified full depth.
6. They are placed to the lines and grades shown on the control stakes. Also,
ensure the adjustment of any unsightly changes in vertical or horizontal
alignment. Adjustment from staked grades is sometimes necessary near joints
with existing curbs or sidewalks.
Ensure that gutters will drain. When new curbs are to be joined with existing
facilities, check the existing elevations against the planned grades.
Ensure that curb and sidewalk construction conforms to any construction staging
specified in the contract.
Finished appearance is important and is noticeable by the public. Existing edges of
pavement and sidewalks or existing pavement surfaces should not be used directly
to establish a grade line for curbs.
Ensure that all dowels and reinforcements are in place.
In fixed-form construction, the contractor may choose to use anchor bolts instead
of dowels. When the bolts are equivalent to the dowels, approve the use of the
bolts.
Ensure joints are sawed as specified.
For extruded-form construction, the contractor may choose to use an adhesive
instead of dowels. When this option is chosen, ensure the contractor cleans the

4-73.2 Concrete Curbs and Sidewalks
pavement as specified and uses the required adhesive. Inspect the slipform
machine to ensure it meets specifications.
Ensure the contractor does not place concrete on frozen or ice-coated material.
Inspect the placement of weakened plane and expansion joints to ensure they are
constructed as specified.
During the placement of minor concrete, check temperatures, mixing time, elapsed
time, number of revolutions, and penetration. Ensure that load slips, with the
required information, are delivered with each load of minor concrete.
Observe concrete as it is placed. In the daily report, record the reasons for rejecting
any concrete and the approximate amount rejected. Ensure the contractor does not
allow concrete to segregate while being placed and being compacted in the forms.
Stop the operation if the concrete requires patching with grout or mortar. Insist the
contractor correct the placing operation.
Before the forms are removed, ensure the contractor uses the required 10-foot float
to finish the surface.
Note whether the forms are being removed within the specified time limits. When
corrective measures are necessary, advise the contractor, and note such advice in
the daily report.
Ensure the finishing meets specifications, and measure the finished product to
ensure it conforms to the required tolerances.
Ensure the curing complies with one of the specified methods.
Ensure the contractor protects the concrete after placement according to the
specifications.
Ensure detectable warning surfaces are on the authorized material list and comply
with required color. Ensure prefabricated detectable warning surfaces are installed
according to manufacturer recommendations and obtain the 5-year manufacturer
warranty of replacement for defects.
Measure concrete curbs and sidewalks by the cubic yard from the dimensions shown Measurement and
on the plans or by longitudinal field measurement. Payment
To determine pay quantities for curb when minor concrete is paid for by the cubic yard,
you may use the table for curb quantity factors (cubic yards/foot) in the Standard
Plans.

Concrete Curbs and Sidewalks 4-73.3
Section 74 Pumping Equipment and Controls Pumping
Equipment and
Controls
4-7401 General 4-7401
Section 74, Pumping Equipment and Controls of the Standard Specifications General
includes specifications for furnishing and installing drainage pumping equipment and
pumping plant electrical equipment. For additional information regarding pumping
plant equipment, see Section 161, Pumping Plants, of the Bridge Construction
Records and Procedures Manual.
In accordance with Section 5-1.23 Submittals and Section 74-1.01C(2) [5-1.02], Before Work
Shop Drawings, of the Standard Specifications, the contractor must submit for Begins
review and approval shop drawings and a list of proposed materials directly to the
Office of Structure Design, documents unit. The Office of Structure Design and the
Office of Structure Construction have the primary responsibility for reviewing and
approving the shop drawings and materials list.
of Work
Verify that the equipment and materials installed by the contractor are the same as
those approved on the materials list.
Before the final acceptance of the work, the contractor must test the pumping plant
equipment. Notify the Office of Electrical, Mechanical, Water and Wastewater
Engineering of the upcoming tests so representatives from the office may be
present to witness the testing.
For the basis of measurement and payment, refer to the appropriate sections of the Measurement and
special provisions and Standard Specifications. Payment

Pumping Equipment and Controls 4-74.1
Section 75
Section 75 Miscellaneous Metal Miscellaneous
Metal
4-7501 General 4-7501
This section describes steps assistant resident engineers should follow when inspecting General
the installation of miscellaneous metal materials on the project. Miscellaneous metal
materials include miscellaneous iron and steel, miscellaneous bridge metal, and
pumping plant metal work.
Before the start of work, review the contract plans and note all the miscellaneous metal Before Work
materials to be installed on the project. Review these items sufficiently in advance to Begins
help prevent scheduling conflicts and errors in ordering materials. During the
preliminary review and inspections, the assistant resident engineer should also do the
following:
miscellaneous metal materials. Refer to Section 6-202, Responsibilities for
Acceptance of Manufactured or Fabricated Materials and Products of this manual
If required, obtain from Materials Engineering and Testing Services (METS)
approval of foreign manufacturers before the manufacturers furnish the materials.
Refer to Section 6-2.05C [6-1.08], Steel and Iron Materials (23 CFR 635.410),
of the Standard Specifications, which covers the use of foreign materials.
Form TL-0624, Inspection Release Tag) and match these marks and tags against
those listed in Form TL-0029, Report of Inspection of Material. Refer to Section
6-2, Acceptance of Manufactured or Fabricated Materials and Products, of this
manual for more explanation.
Require the repair of any minor damage to galvanizing or coatings, as specified in
Section 75-1.05, Galvanizing, of the Standard Specifications.
Refer to the contract specifications and Section 3-606, Certificates of
Compliance, of this manual regarding Buy America requirements.
During work operations, the assistant resident engineer should do the following: During the Course
of Work
Ensure that any welding of miscellaneous metal materials conforms to appropriate
American Welding Society (AWS) requirements or as specified in the contract
documents.
Ensure that pairs of frames and grates, and pairs of frames and covers, are match
marked.

Miscellaneous Metal 4-75.1
Ensure that deck drains and other grating openings are covered until final cleanup
of the deck.
Require testing of deck drains as specified.
Additional information about concrete anchorage devices and high strength bolts can
be found in the Office of Structure Constructions Bridge Construction Records and
Procedures manual in sections 135 and 170, respectively:

Measurement and Require scale weights for miscellaneous metal materials unless quantities are
Payment designated as final pay quantities. Make the specified deductions when materials are
inspected or tested at the source, per Section 6-3.05B [75-1.07], Source Inspection
Expense Deductions, of the Standard Specifications.

4-75.2 Miscellaneous Metal
Section 80 Fences Section 80

Fences
4-8001 General 4-8001
General
This section describes the work for constructing barbed wire fence, wire mesh fence,
and chain link fence. When a Type ESA temporary fence is specified, refer to Section
14-1.03, Type ESA Temporary Fence, of the Standard Specifications.
Review the plans, special provisions, and right-of-way agreements for any special Before Work
details. If it is necessary to revise, add, or delete fence on a contract, review the Begins
Highway Design Manual for the general policy on such actions and consult with the
project engineer. Also do the following:
Do not move, add, or delete gates or openings without first consulting the design
project engineer, the maintenance engineer, and other interested parties. If federal
funds are involved, ensure the Federal Highway Administration (FHWA)
approves any changes.
Be alert to the necessity of constructing fences to prevent livestock escaping from
adjacent properties (Section 15-2.04B [15-2.05B], Reconstruct Fences, of the
Standard Specifications).
Compare the planned location with actual field conditions to ensure that fences,
gates, openings, and other fencing items will serve as intended.
Fences should not obstruct flow in streams or drainage areas.
Fences may be constructed on top of retaining walls and wing walls. Wherever this
type of construction is necessary, check the location of postholes, and ensure
provision is made for future post installation.
Upon delivery of the materials to the job site, ensure that chain link fences with a
protective coating system have a certificate of compliance for the system. All other
fencing materials must be field inspected and released by the engineer. Complete
Form CEM-4102, Material Inspected and Released on Job.
Arrange for necessary control staking when the contractor has submitted the
required survey request.
During work operations, take the following steps: During the Course
of Work
Ensure that the areas where fence is to be placed have been graded and high points
that may interfere with the placement of wire or mesh have been leveled.
However, do not permit indiscriminate clearing where clearing and grubbing is
restricted to the slope line.

Fences 4-80.1
Observe the placing of fence posts. Also, measure the spacing of posts and
measure the depth of holes to ensure placement to proper depths. Note such
measurements in the daily report. Spacing should not exceed the spacing specified
or shown on the plans.
Observe the placement of corner posts and pull posts to ensure they are placed at
required locations and according to specified details. Also, ensure that the proper
type and number of brace posts and diagonal wires are used. The configuration of
the brace posts depends on the distance between the corner post and the next
corner, end, or pull post.
Decide on which side of the posts the contractor should place fabric when the side
is not specified. For barbed wire and wire mesh fence, the barbed wire or wire
mesh is placed on the property owners side of the posts, unless otherwise shown
on plans or in right-of-way agreements. For chain link fence, the fabric generally is
placed on the highway side of the posts. However, the wire or fabric may be
placed on either side, and it is recommended that the maintenance superintendent
be consulted for any preference.
Inspect the fastening of wire or fabric to ensure the use of specified materials and
methods.
Ensure fencing is snubbed or guyed at all grade depressions as specified.

Measurement and Keep records and make measurements of fence construction sufficient to support both
Payment partial and final payment. Pay only for completed lengths except for incidental work as
covered in Section 3-9, Payment, of this manual.
Consider using a tracking system to help prevent duplication or omissions of quantities.

4-80.2 Fences
Section 81 Monuments Section 81

Monuments
4-8101 General 4-8101
This section describes the work for constructing survey monuments. General

Begins
Upon delivery of the materials to the job site, material is field inspected and
released by the engineer. Complete Form CEM-4102, Material Inspected and
Released on Job.
Arrange for necessary control staking when the contractor has submitted the
required survey request. Control staking must be sufficient to set the disk to the
accuracy required in the specifications.
Check materials, dimensions, details, finish, and cure for compliance with During the Course
specifications. Many monuments that existed before construction must be preserved or of Work
reset. The surveys unit should perform any resetting. If previously undiscovered
monuments are found during construction, request the surveys unit to investigate and
handle or recommend action to be taken.
The contractor must pay for relocating monuments lost or damaged by the contractors Measurement and
operation. See Section 5-1.36 [7-1.11], Property and Facility Preservation, in the Payment

Monuments 4-81.1
Section 82
Section 82 Markers and Delineators Markers and
Delineators
4-8201 General 4-8201

This section describes the work for providing and installing markers and delineators at General
locations shown on the plans or where the engineer directs. Object markers are used to
mark obstructions within or adjacent to the roadbed, including paved shoulders.
Delineators are reflective devices installed in a series at the side of the roadway to
indicate the roadway alignment.
Begins
Review the marker and delineator lists shown on the plans, and inform the
contractor of any changes, preferably before material is ordered or information is
stenciled on the markers. The California Manual of Uniform Traffic Control
Devices (California MUTCD), Part 3, provides design details for markers and
delineators.
Verify that Form CEM-3101, Notice of Materials to Be Used, includes markers
and delineators. All materials listed on Form CEM-3101 must be on the authorized
materials list for signing and delineation materials. Refer to Section 6-202,
Responsibilities for Acceptance of Manufactured or Fabricated Materials and
Products, of this manual for additional information.
Examine markers and delineators to ensure they meet specification. Verify that
they match the materials shown on Form CEM-3101 and that a correctly prepared
certificate of compliance accompanies the material.
Provide the contractor with a list of post mile values to be stenciled on highway
post markers.
Order and obtain the Department-furnished material identified in the special
provisions.
Inspect the materials and method of installation according to the Standard During the Course
Specifications and special provisions. This inspection will include, but is not limited to, of Work
the following steps:
Ensure that the contractors layout work conforms to the plans.
Document and approve minor deviations from the plans.
Before the material is incorporated, inspect material either by collecting the
inspection tags or matching the material against information in the certificate of
compliance.

Markers and Delineators 4-82.1
Ensure that the contractor follows the method of placement specified in the
Standard Specifications and the special provisions.
During the installations of target plates, check that the contractor has used washers
and installed nuts and rivets properly.
After installation, check for any damage to the installed material; document any
rejections.
Do a night inspection to check and document the reflectivity of the installed
material. If you encounter any problems, notify the contractor immediately so the
contractor can make corrections.
Measurement and Count markers and delineators, and record the counts to support partial and final
Payment payments.

4-82.2 Markers and Delineators
Section 83 Railings and Barriers

4-8301 General
4-8303A Metal Beam Guard Railing and Thrie Beam Barrier
4-8303B Pipe Handrailing, Steel Bridge Railing, Cable Railing, Metal Railing (Tubular), and
Chain Link Railing
4-8303C Concrete Barriers and Railing

Railings and Barriers 4-83.i
Section 83
Section 83 Railings and Barriers Railings and
Barriers
4-8301 General 4-8301

Railings and barriers are used to reduce the severity of run-off-the-road accidents, to General
prevent out-of-control vehicles from crossing the median, and to decelerate errant
vehicles. Construction personnel involved in the installation of railings, barriers, and
other traffic safety systems should be familiar with Chapter 7, Traffic Safety
Systems, of the Traffic Manual. Chapter 7 is online at:
http://www.dot.ca.gov/hq/traffops/saferesr/Chapter-7-Traffic-Manual-1-2012.pdf
The following paragraphs discuss some of the details considered during design. The
discussion centers on metal beam guard railing but can be applied to other types of
railings and barriers.
The design for guardrail with end anchors contains many subtle details, the basis for
which may not be readily apparent. Pay special attention to all connection details.
Impact tests and automobile configurations show that the specified height of 29 to 30
inches is necessary to prevent errant vehicles from climbing over the guardrail. Spacing
posts 6 feet 3 inches apart provides resistance to guardrail deflection on impact and
lessens the tendency of the guardrail to form a pocket during impact.
A block spaces the guardrail out from the post. As a result, the contact area is moved
away from the post so that little possibility exists of a vehicle snagging on the post. The
block allows the guardrail to rise slightly on initial impact, reducing a vehicles
potential for rolling.
When timber shrinks, it introduces enough slack in the mounting bolts to allow the
timber blocks to rotate. Toenailing the blocks prevents this rotation.
When timber posts are used, do not allow use of washers on the rail face, so the bolts
will not pull through when a vehicle strikes the guardrail. Also, during installation, the
square hole in the plate washer will keep the carriage bolt from rotating.
The metal box spacer used at transitions to a concrete barrier or wall allows the
guardrail to approach the barrier on a straight line and minimizes the possibility of
vehicles snagging on the end.
Frequently, when lateral clearances are limited, the plans and special provisions specify
a proprietary end terminal system. When the terminal system is required, ensure the
system is installed in accordance with the manufacturers instructions.
Begins
Carefully review the required details, and ensure that construction conforms to
them. Review the locations in the field, and decide whether changes are necessary.

Railings and Barriers 4-83.1
If drainage inlets or other obstructions conflict with the planned locations for
guardrail posts, consider using long-span, nested guardrail. Refer to Chapter
7-03.6, Design Considerations, and Figure 7.9, Long Span Nested Guardrail,
of the Traffic Manual. Consult with the district traffic engineer for information. If
the contract does not provide for long-span, nested guardrail, a change order will
be necessary.
Verify the receipt and proper distribution of form CEM-3101, Notice of Materials
to be Used, which lists all fabricated materials. Examine the material as it arrives
on the project to ensure that it meets specifications. Refer to Table 6-2.1,
Inspection of Fabricated and Manufactured Materials, in this manual.
Look for the identification tags or markings that indicate the Office of Materials
Engineering and Testing Services (METS) previously inspected the materials. If
the materials are properly identified as inspected, project personnel do not need the
certificates of compliance or mill test reports. Normally, the METS inspector will
have obtained these documents.
Ensure that markers and delineators for railings and barriers are the correct type
and are covered by a certificate of compliance in accordance with the section titled
Prequalified and Tested Signing and Delineation Materials in the special
provisions.
Review the contractors stakes and layout work. Ascertain that offsets and flares
for guardrail will be installed as shown on the plans.
Ensure that all concrete mix designs have been approved before use.
Review all shop plans for metal railing on structures.
To avoid possible conflicts, verify scupper, side drain, pull box, and conduit
locations.
When connections to structures are required, coordinate with the Office of
Structure Construction. Also, when applicable, discuss the allocation of work with
them.
During the Course Once work begins, take the steps below for each type of railing and barrier:
of Work
4-8303A Metal Beam Guard Railing and Thrie Beam Barrier
Measure wood posts at the jobsite to ensure that they conform to specifications.
When required, ensure that bolt holes in treated posts are filled with grease. Note
this inspection in the daily report.
Ensure that the backfilling of postholes conforms to specifications. Posts should be
set to the full depth shown on the plans. When spread footings or other
underground obstructions interfere with placing at full depth, refer to the Standard
Plans for alternatives.
Periodically measure the spacing of posts.
Ensure that wood blocks for metal beam guard railing are toenailed to timber
posts.

4-83.2 Railings and Barriers
Ensure that rail elements are lapped so that the exposed ends will not face
approaching traffic. Check bolts for tightness and threaded rods for proper
trimming.
Measure the height of the guardrail and barrier above the ground or finished grade
to ensure that the height conforms to the plans.
Ensure that connections to bridge railings, retaining walls, abutments, or other flat
surfaces comply with specifications. When high-strength bolts are required, check
markings on the bolts to ensure that they match specifications. When necessary,
consult with district laboratory personnel about the proper markings.
Ensure that anchor assemblies are constructed as specified and the cable clips
installed in the proper direction and tightened to the required torque. When a
sample cable is required for testing, the METS inspector will normally have
obtained one with swaged fitting. If cable is properly identified as previously
inspected, project personnel do not need to obtain a sample.
When posts are installed in loose soil or near embankment edges, longer posts or
some design modifications may be necessary to ensure a barrier with adequate
strength. Refer to Sheets A77E 1-6 in the Standard Plans.
Immediately before placing concrete, ensure that holes for concrete anchors and
footings are excavated to the dimensions shown on the plans.
Ensure that anchor cables are tight enough to prevent any obvious slack in the
cable once the footing concrete has cured for the required period.
Ensure that the contractor directs the disposal of surplus material from excavation.
When traffic uses an adjacent lane, prohibit spoil piles or windrows of material
from remaining in front of guardrail or median barriers. Such material alters the
effective height of the railings and barriers.
Ensure that asphalt concrete dikes are positioned under the guardrail as shown on
the plans.
Bolts or threaded rods must be long enough so the nuts are completely threaded
onto the bolt. Ensure that no more than 1/2 inch of thread is exposed on the traffic
side of the guardrail as shown on the plans.
Ensure that the construction of flares conforms to the plans.
Keep adequate records and take sufficient measurements to support both partial
and final payment.
4-8303B Pipe Handrailing, Steel Bridge Railing, Cable Railing, Metal Railing
(Tubular), and Chain Link Railing
Ensure that materials and methods used in anchorage and connections conform to
the specifications and plans.
Ensure the contractor connects, stretches, and tightens cables, chain link fabric, and
tension wires as required.
Check railings for proper alignment, appearance, and workmanship.

Railings and Barriers 4-83.3
4-8303C Concrete Barriers and Railing
Prohibit the placement of concrete barriers or railing on new structures until the
falsework is released. The Office of Structure Construction will provide height
adjustments to compensate for camber and dead load deflections.
Review the specifications for closing temporary gaps in barriers during
construction. Determine that the contractor has planned this work before removing
existing barriers or constructing new barriers. Ensure that blunt ends exposed to
traffic are adequately protected. Refer to the Public Safety section in the special
provisions.
Ensure that forms comply with Section 51-1.05, Forms, of the Standard
Specifications. For additional guidelines, see Section 4-51, Concrete Structures,
of this manual.
When extrusion or slipform machines are used to construct concrete barriers,
inspect the grade on which the machine will ride to determine if the grade is
smooth enough to prevent foreseeable violations of specified tolerances. Check
guide wires for obvious variations or measurable sags between supporting stakes.
Ensure that the placing of bar reinforcing steel conforms to specified requirements
and the details on the plans. For guidelines, see Section 4-52, Reinforcement, of
this manual.
Review applicable specifications for producing, placing, finishing, and curing
portland cement concrete to be used in concrete railing and barriers. For
guidelines, refer to Sections 4-51, Concrete Structures, and 4-90, Concrete, of
this manual.
Require stripping the forms for Type 50 and Type 60 series barrier early enough so
the concrete surface may be given a light brush finish without resorting to
tempering with grout.
During the placing of extruded or slipform barriers, the design of the concrete and
placing method should require no hand finishing other than a light brush finish.
The surface of the traffic side of the concrete median barrier should be as smooth
as possible. Prohibit heavy brooming or other activity that will leave a roughly
textured finish.
Observe the abrasive blast finish applied to Type 50 and Type 60 series concrete
barriers. The surface should have a uniform appearance without heavy texturing.
Measurement and Measure railings, barriers, and terminal systems as specified and, where
Payment appropriate, to the limits shown on the plans. Also, count to determine the
number of cable anchor assemblies and connections to be paid for.

4-83.4 Railings and Barriers
Traffic Stripes
Section 84 Traffic Stripes and Pavement Markings
and Pavement
Markings
4-8401 General 4-8401
This work consists of applying painted and thermoplastic traffic stripes and pavement General
markings. The special provisions may also allow the contractor to substitute traffic
striping and pavement marking tape. The bid items, special provisions, and the contract
plans will indicate when and where the contractor must use paint or thermoplastic.
Before work begins, the resident engineer should discuss the operation with the Before Work
maintenance striping superintendent or supervisor. Ask if there are any particular Begins
striping or marking concerns or requests that should be addressed. In addition, the
resident engineer should take the following preliminary steps:
Discuss materials to be used with the contractor. If the contractor plans to use
solvent-borne or acetone-based paint, ensure its use conforms to the regulations of
the local agency for air pollution control.
Review striping and marking plans, standard details, and any special requirements.
Review existing field conditions. Consult with district traffic unit personnel if any
changes appear to be necessary.
Verify that Form CEM-3101, Notice of Materials to Be Used, includes striping
tape, paint, thermoplastic material, and glass beads. All materials listed on Form
CEM-3101 must be on the authorized materials list for signing and delineation
information.
Examine the material as it arrives on the project. Look for identification tags
indicating that personnel from the Office of Materials Engineering and Testing
Services previously inspected the material.
Read the manufacturers instructions for striping tape and thermoplastic materials.
When primer is required, determine the type the manufacturer recommends. Also
determine the application temperature range for the thermoplastic material.
Inspect the contractors equipment for specification compliance either in the
contractors or subcontractors yard or on another project. Examine the
contractors methods for checking spread rates of paint and glass beads,
application temperatures of thermoplastic material, and maximum temperatures of
paint.
Ensure that the contractors stencils will produce correctly dimensioned pavement
markings.

Traffic Stripes and Pavement Markings 4-84.1
Work
Check the contractors layout work. Determine that traffic stripes and pavement
markings will be correctly located. Where necessary, assist the contractor to match
existing striping cycles.
Require that thermoplastic material be placed within the specified temperature
range. Thermoplastic material heated to excessive temperatures can flash and
splatter when exposed to air. Check for accuracy the temperature gages mounted
on heating equipment. Ensure employees working around thermoplastic material
wear suitable personal safety equipment, long-sleeved shirts, and eye protection.
Before the contractor applies thermoplastic material, check and document the
pavement temperature.
Before the contractor applies paint, check and document the atmospheric
temperature and expected weather conditions. Never allow the contractor to apply
paint when rain, fog, or condensation could damage the freshly painted surface.
Require that paint temperatures not be allowed to exceed the specified maximums
for solvent-borne or water-borne paints.
Before the contractor applies striping or markings, check the condition of the
pavement. Require the pavement to be dry and clean as specified.
Check traffic stripes for the correct width and edge definitions, lengths of gaps and
individual stripes, alignment, direction of application, and correct superimposition
of second coats.
Require the contractor to remove drips, overspray, improper markings, and
material tracked by traffic.
Check that the applied thermoplastic material complies with thickness
requirements.
Check application rates for glass beads and paint. Inspect the stripes to ensure that
glass beads are spread uniformly and properly embedded.
Check thermoplastic markings for workmanship as the markings are applied. Do
not permit bumps resulting from overlaps in extruded materials. Check complete
thermoplastic traffic stripe or thermoplastic pavement marking to ensure it is free
of runs, bubbles, craters, drag marks, stretch marks, and debris.
After application, look for any damage to striping or marking and document any
rejections.
Conduct and document an immediate night inspection to ensure the reflectivity of
the installed material. If you encounter any problems, notify the contractor
immediately for corrections.
Measurement and Measure the striping and markings according to the units and manner specified in the
Payment Standard Specifications and the special provisions. Record such measurements in the
daily reports and the calculation sheets to support partial and final payments.

4-84.2 Traffic Stripes and Pavement Markings
The Standard Specifications require measurements along the line of the traffic stripe.
Such measurement would normally be done with a measuring wheel or a vehicle-
mounted electronic measuring device.
The areas of the various standard pavement markings are shown in the Standard Plans.
You may use these areas in calculations to determine pay quantities. Where the areas
are variable, such as for limit lines of variable lengths, you will need to make field
measurements.

Traffic Stripes and Pavement Markings 4-84.3
Section 85
Section 85 Pavement Markers Pavement
Markers
4-8501 General 4-8501

This work consists of furnishing and placing retroreflective, nonreflective, and General
retroreflective-recessed pavement markers. In addition to the information in this section
of this manual, see the following:
For details about placing pavement markers, see the Pavement Markers and
Traffic Lines, Typical Details sheets of the Standard Plans.
For the specifications for epoxy adhesive, see Section 95, Epoxy, of the
For the specifications for hot-melt bituminous adhesive, see Section 85, Pavement
Markers, of the Standard Specifications.
When specified, pavement markers may be placed using a moving lane closure to
control traffic. The special provisions and Standard Plans provide details for moving
lane closures.
In areas subject to snow, the specifications may require the contractor to place
pavement markers in recesses in the pavement.
Begins
Review plans, the Standard Specifications, and the special provisions.
Review the contractors proposed method of controlling traffic and ensure that all
the specified components of any required traffic control system are in place.
pavement markers and adhesive material. Listed pavement markers must be on the
authorized materials list for signing and delineation materials. Refer to Section
6-202, Responsibilities for Acceptance of Manufactured or Fabricated Materials
and Products, of this manual for additional information.
Examine materials as they arrive on the project to ensure they are the same as the
materials shown on Form CEM-3101 and that they arrive with a correctly prepared
certificate of compliance.
Take samples, when necessary, in accordance with the sampling frequency tables
in Chapter 6, Sampling and Testing, of this manual.
When the contractor is to use bituminous material, check the maximum safe
heating temperature recommended by the manufacturer.
Inspect the contractors equipment, and determine the method to be used for
checking the bituminous adhesive temperature.

Pavement Markers 4-85.1
Check the contractors layout work to ensure correct alignment and spacing.
Determine the proposed method of removing and disposing of residue from
pavement recesses.
Do not permit pavement removal to begin until the contractor has submitted the
required documents.
Work
Before the placing of pavement markers, ensure that pavement has cured for the
specified time.
Before the contractor applies adhesives, ensure the pavement is clean and the
surface dry.
Check pavement and air temperatures.
Verify markers are placed using the correct adhesive.
When the contractor uses epoxy adhesive which comes in two separate
components, check the mixing for specification compliance. Ensure the
proportions of the two components match the specifications. During the placing of
pavement markers, observe the epoxy adhesive to ensure it is uniformly gray
without black or white streaks. Even minor variations in the correct proportions of
the two components will weaken the adhesive quality of epoxy.
Verify that the application temperature of bituminous adhesive is within the
specified range.
Determine that the contractor meets the time requirements between mixing
adhesive and placing pavement markers.
Determine that the patterns and types of pavement markers are placed correctly in
accordance with the typical details on the plans.
After placement, determine that the pavement markers are not on longitudinal or
transverse joints and that they are fully supported with adhesive.
Also after placement, look for any missing or damaged pavement markers and
document any rejections. Conduct and document an immediate night inspection to
ensure the reflectivity of the installed material. If you encounter any problems,
notify the contractor immediately for corrections.
Measurement and Measure the pavement markers according to the units specified in the Standard
Payment Specifications and the special provisions. Record such measurement in the daily reports
and the calculation sheets to support partial and final payments.
When large quantities of pavement markers will be placed, you may count the markers
by keeping track of the number of boxes of markers used. Check this number against
the theoretical number of markers to be placed.

4-85.2 Pavement Markers
Section 86 Electrical Systems

4-8601 General
4-8602A Materials
4-8603A Foundations
4-8603B Standards
4-8603C Conduit
4-8603C (1) Metal Conduit
4-8603C (2) Plastic Conduit
4-8603D Pull Boxes
4-8603E Conductors
4-8603F Vehicle Detectors
4-8603G Soffit and Wall Luminaires
4-8603H Falsework Lighting
4-8603I Testing
4-8603J Completing the Project
4-8604A Materials Approval
4-8604B Forms
4-8604C Guarantees
Example 4-86 Electrical Systems Sample Checklist

Electrical Systems 4-86.i
Section 86
Section 86 Electrical Systems Electrical
Systems
4-8601 General 4-8601
Electrical work involving traffic signals, street lighting, illuminated signs, changeable General
message signs, electrical devices, and communication systems requires a specialized
knowledge. The district should retain staff or train sufficient personnel to inspect this
type of work.
Highway transportation signal and illumination systems are in a state of evolution, and
changes in materials and specifications on successive projects are continually arising.
Both the contractor and the resident engineer should be continually alert to this
situation because even experienced electrical contractors may not be familiar with all of
the work included in current specifications.
In most districts, transportation electrical engineers are resident engineers on projects
where electrical work is predominant. On projects where electrical work is not
predominant, personnel with electrical expertise can be made available for assistance to
inspect electrical work.
In the smaller districts, transportation electrical engineers in the district traffic unit and
highway electricians in the electrical maintenance unit are available for consultation. In
recent years, Caltrans has been using many more electrical systems in addition to just
the traditional traffic signals and street lighting used in the past. These new systems
Closed circuit television
Changeable message signs
Roadway weather information systems
Microwave vehicle detection systems
Other types of current technology devices
For the most part, the major changes are in the equipment being used. The basic
construction features are the same. For design intent and operational requirements, the
resident engineer should pay particular attention to the special provisions and have
close contact with the project designer and the operational end user.
Begins
Study the project plans, special provisions, and standard plan details thoroughly.
Record on the plans any unusual items covered in the specifications but not shown
on the plans. Additionally, in the margin of the plan sheet containing the pole
schedule, it can be useful to indicate foundation sizes, bolt sizes, and bolt circles.

Electrical Systems 4-86.1
Signal and lighting construction often involves many agreements and requires the
coordination of activities with outside agencies and utilities. Contact the project
engineer to obtain the resident engineers pending file and to discuss the status of
utility agreements and relocations. At the start of the project, review the resident
engineers pending file to become familiar with such agreements.
If signal modification work requires the detectors to be disconnected or the signal
turned off, give the signal maintenance superintendent prior notice. When
necessary, a Caltrans electrician will place the signal temporarily on recall. If the
signal must be shut down completely for a time, give the appropriate law
enforcement agency 24 hours notice to provide police protection and traffic
control.
To determine whether changes or revisions are needed, you may also need to
review the project with the traffic signal maintenance electricians, the electrical
design unit, and the district traffic unit.
Although the district utilities coordinator coordinates with utility companies during
project development, the resident engineer will be responsible for coordinating
with outside agencies once the project has entered the construction phase. Provide
advance notice and information to the utilities and others so they can plan their
work in an orderly manner. When necessary, notices should include a request for
electrical energy and telephone interconnection lines. Either the resident engineer
or the district utility coordinator should submit an application to the utility
company.
Advise utility company representatives of clearances necessary to accomplish the
work. Insufficient overhead clearance requiring utility relocation is the most
common obstruction overlooked on contracts that cover improvements to existing
highways. To avoid delays, determine any necessary relocations or adjustments as
early as possible. Review the project with the contractor to determine the locations
where cranes and pile-driving or other equipment will be used. If utility facilities
must be relocated because of the proposed work, refer this situation to the district
right-of-way unit. Also, if overhead wires for temporary lighting or signals
encroach on private property, refer this situation to the district right-of-way unit.
Before any excavation, under California government code 4216, the contractor
must notify the regional Underground Service Alert (USA) notification center by
calling 811 or submitting an electronic ticket request at least 2 days before
excavating. To ensure that the contractor has notified the regional USA notification
center, request the contractor provide the ticket number issued by the USA center.
Caltrans is not affiliated with USA so Caltrans is not notified to mark out Caltrans
underground facilities. To ensure that existing Caltrans underground facilities are
identified before allowing the contractor to excavate, contact the local electrical
maintenance regional manager for help in locating Caltrans facilities. To help
identify any Caltrans facilities within the right-of-way, such as irrigation systems,
signal and lighting systems, ramp metering systems, traffic monitoring stations and
communication conduits, obtain the latest utility as-built from the electrical
maintenance unit.
Promptly order the Department-furnished materials and equipment listed in the
special provisions. To control the pickup and delivery of these materials to the
contractor, contact all the necessary parties.

4-86.2 Electrical Systems
4-8602A Materials
For materials, do the following:
As stated in Section 6-3.02 [6-1.05], Specific Brand or Trade Name and
Substitution, of the Standard Specifications, the contractor may request
permission in writing to make a substitution for a product specified if the
substitution is of equal or better quality and suitability. The Office of Materials
Engineering and Testing Services, the Office of Structure Design, and the
electrical design unit have personnel with technical knowledge to evaluate the
suitability of properties, including the electrical characteristics of the items
involved. Consult these personnel to obtain recommendations as to the
acceptability of a proposed product substitute.
For any electrical materials that the plans indicate will be salvaged, check their
condition before the contractor arrives on the job site. To document the materials
condition, take photographs. For more information on salvage materials, see
Section 3-904A (4), Surplus and Salvaged Material, of this manual.
During the work, do the following: During the Course
of Work
During construction, ensure the use of adequate warnings and safeguards in the
form of signs, lights, and barricades. Jacking pits or foundation holes where
pedestrians may walk must be covered with adequately braced plywood or an
equivalent.
Inspect underground work while it is actually underway, because when the work is
complete, an inspection cannot be done. Include in your inspection the placing of
conduit and the excavation for and the placing of concrete for signal standards,
electrolier bases, and similar items.
If communication cables or utility pipe lines are encountered, contact a
representative of the utility owner.
Continuously record all changes into the as-built plans.
4-8603A Foundations
For foundations, do the following:
The location of electroliers near exit ramps is related directly to the gore on exit
ramps and to the lane width of entrance ramps. Keep this fact in mind, and if
necessary, revise the locations of the electroliers. For the location of freeway
luminaires, see Figures 9-25 and 9-26, Freeway Lighting, of the Traffic Manual.
Also, pay particular attention to the foundation locations shown on Sheet ES-11,
Electrical Systems (Foundation Installations), of the Standard Plans.
Concrete for electrolier and signal foundations is often placed against the
excavation without forms. The resulting rough block of concrete is functionally
satisfactory. However, ensure the contractor forms and finishes the exposed part of
the footing as specified. To ensure the proper operation of breakaway or slip bases,
the top of the foundation must not be higher than the height shown on the plans.
Also, the conduit must be below the slip plane. For various standards and
foundations as they relate to monolithic foundation pours and grout pads, pay
particular attention to the details in the Standard Plans.

During concrete placement operations, ensure that anchor bolts are securely held in
the proper position and that the proper size anchor bolts and the correct bolt circle
are used. When bar reinforcing steel is required, ensure that it is securely fastened
and has the required clearances. Verify that the foundation excavation is the proper
size and depth, and ensure the specified concrete is used.
4-8603B Standards
For standards, do the following:
Where areas behind asphalt concrete dikes are filled with dirt to the level of the top
of the dikes, ensure the contractor also sets standards and pull boxes to the top of
the dikes.
When standards are laid out, ensure no obstructions will prevent vehicular or
pedestrian traffic from seeing signal faces. Standards with push buttons must be no
more than 5 feet from crosswalks and the push buttons must be on the side of the
standard nearest the crosswalk.
When the standards are set, ensure that washers are used between the bottom and
top, and on both sides of slip-base plates. Before standards are erected, ensure that
all leveling and top nuts are properly torqued. When using slip-base inserts, ensure
that the contractor assembles the top and bottom plates and torques the bolts before
placing the standard on the top plate of the slip-base assembly. For the location of
standards with slip bases or slip-base inserts, refer to Section 9-11.4, Slip Bases,
of the Traffic Manual. If the exception areas as listed in Section 9-11.4 apply to a
planned slip-base standard, contact the designer about a change order.
Ensure electroliers on structures are located with regard to bridge rail plans so that
anchor bolts may be placed where the bridge rail gap will be. Ideally, keep
electrolier bases at least 5 feet from expansion joints. This practice prevents extra
stresses from the electrolier at these critical structural locations.
A slight rake of the standard about 3 degrees from the roadway prevents the
impression that the standard is leaning toward the highway. If the rake is not
correct, ensure that the contractor rakes the standard by plumbing the side of the
tapered standard from the road.
Before accepting a project, ensure that the grounding of standards complies with
specified methods.
4-8603C Conduit
For conduit, do the following:
For permitted or required methods for placing conduit, check the special
provisions. Ensure that the trench backfill is compacted 90 to 95 percent relative
compaction, depending upon the location. Also, ensure that the backfill is properly
placed around pull boxes and conduit.
Any conduit projecting from solid concrete is likely to be broken or bent when
forms are removed or backfilling equipment operates close to the structure.
Therefore, even if the conduit will be used in the near future, ensure that when it is
embedded in concrete structures, it is plugged flush as shown on the plans. To
assist in finding the location of the conduit in the future, mark the concrete and
indicate the conduits location on the as-built plans.

Ensure that expansion joints are placed in the conduit where it passes through
expansion joints in concrete structures. To ensure the joints operate correctly,
check their proper type and placement.
Ensure conduit terminating in a pull box extends into the box in a manner that will
keep the box as clear as possible for making connections and placing ballasts.
Check all conduit for proper bonding and proper connections.
When conduit is being placed across existing roadways, ensure one of several
common methods is used. These methods include directional boring, air drill,
fishtail bit, water, hydraulic jack, compressed air, two diameters of conduit (one
within the other), and trenching across the pavement. For some of these methods,
take the following conditions into account:
1. Directional boring uses a locator and electronics that are in the boring head.
The operator can control the direction and depth of the boring head. Using this
method of boring allows the conduits to be placed in precise locations. It is
possible to bore across a roadway and come out within a fraction of an inch of
the planned location.
2. The air drill and fishtail bit should be used with the minimum amount of water
possible. Too much water tends to saturate the grade and wash out large voids
that can cause the road surface to collapse and the pipe to drop excessively.
3. If the air drill and fishtail bit are used in sandy soil, the water and sand will
tend to bind the conduit. Common soap powder or detergent may overcome
this condition. If not, the use of rotary mud and water will seal off the sand and
lubricate the conduit. However, if rotary mud is used, ensure that before the
backfilling of the drill pit, the contractor flushes the mud from the pipe and
then removes all the mud from the drill pit. Failure to thoroughly remove mud
results in a spongy backfill.
4. When a hydraulic jack and compressed air are used to push conduit under
pavement through sand, the smaller diameter pipe carries a jet of air. To
prevent removing too much sand from under the road and so leaving large
voids, ensure the contractor restricts the amount of air used to jet out sandy
material.
In bridges, ensure the conduit riser is out of the way of utilities or manholes in the
sidewalk.
Ensure that conduit placed from a light fixture to a pull box above it terminates in
the pull box with sufficient clearance from the walls to permit the placing of the
specified sealing fitting without interference from the box cover or transformer.
4-8603C (1) Metal Conduit
When a conduit is properly connected, all threads are covered by the coupling and the
ends of the conduit are butted tightly together. If threads are exposed, generally either
the connection is not tight or the threads are crossed in the coupling. Conduit threads
are not tapered. Either observe the joining of conduit during placement or test with a
wrench to ensure the joints are tight, but not over tight. Over-tightening will cause
belling of the end of the conduit inside the coupling and can cause damage to the
conductors during installation. If the conduit is not in a straight line when being
assembled, frequently the joints do not butt together even when tightened with a

wrench. Ensure that conduit ends are square and field cuts are made with a pipe cutter
as specified.
Ensure that field bends are not made too close to a coupling. Stress at a coupling
frequently causes the conduit to fracture at the threads. This fracture may be covered by
the coupling and not be discernible at the time, but the fracture may cause trouble at a
later date.
Ensure the contractor uses only approved tools to make field bends. The bends should
never be made on the back of a truck, under a railroad track, or around a tree. A
hydraulic bender is best, while ensuring that the bend is not too sharp. To make a
smooth, 90-degree bend without kinks or flat places, three to four settings of the
hydraulic shoe are necessary.
Check the ends of factory-reamed conduit for burrs, and ensure field cuts are always
reamed. Prohibit threadless connectors for conduit, because they do not have sufficient
mechanical strength.
4-8603C (2) Plastic Conduit
During installation, plastic conduit, like polyvinyl chloride water pipes and fittings,
requires special handling. After installation, ensure the contractor takes special
precautions to prevent damage to the conduit when installing pull box markers, sign
posts, and guardrail.
To pull conductor wire through plastic conduit, ensure the contractor uses a soft nylon
pull rope.
To obtain good, non-threaded joints for plastic conduit, ensure the contractor takes
special care to clean the ends of the pipe and uses the right amount of the proper
solvent cement.
4-8603D Pull Boxes
For pull boxes, do the following:
As required under the contract, ensure that pull boxes are installed in conduit runs
and adjacent to operating units; however, prohibit pull boxes from being installed
within the boundaries of a curb ramp.
Ensure pull boxes are placed away from any expansion joint. If pull boxes are
improperly shown on the plan, provide an alternate location.
Ensure that in surfaced areas, behind portland cement concrete curbs, or in
sidewalks the top of the box is even with the surrounding surfacenever
depressed. On unpaved slopes, ensure the pull boxes are kept out of depressions so
as not to collect water. Pull boxes must be set over a layer of gravel that will
provide a means of draining water away from the electrical components within.
In unpaved, relatively flat areas, ensure the contractor places pull boxes at 1
inches higher than the average surrounding elevation.
When final grades of surrounding features under construction are not accurately
established, it is sometimes necessary to set the pull boxes temporarily low and
raise them to final grade as curbs and sidewalks are built.
Before a bridge deck is poured, if the formed type of pull box is to be used, ensure
the contractor first places properly dimensioned wooden pull box templates at pull
box locations.

To provide a drain hole within structures, ensure the contractor places a -inch
pipe or plastic hose through a hole in the form at the lowest point of the pull box
location.
To determine that the covers are properly inscribed, perform a final check of the
pull boxes.
In illumination and signal work, the voltages employed range from millivolts for
pedestrian push-button and detector loops to 5,000 volts for highway lighting
circuits. Ensure these voltages are isolated from one another.
Prohibit the splicing of a pedestrian push-button common into a signal or street-
light common, and never permit a signal conductor to enter a pull box containing a
high-voltage, street-lighting circuit. The possibility of a crossover, although
remote, is nevertheless present.
4-8603E Conductors
For conductors, do the following:
Each separate signal section needs one conductor, plus one neutral and three spares in a
pole. If one R, Y, G head is to be installed on the pole, then 3+l+3, or 7, conductors are
needed. An additional R, Y, G facing at a right angle to the other head on the same pole
requires three more conductors, a total of 10. Each arrow lens generally needs an
additional conductor. Ensure that the number of conductors is correct and, if questions
arise about conductor color coding, size, or installation method, consult the district
traffic unit or the electrical maintenance unit.
Although more than one field conductor may go on the same terminal at the
controller cabinet, do not allow these conductors to be spliced at a pull box and a
single conductor to be run to the controller cabinet. Individual leads are needed so
that testing can be done at the controller cabinet. Only the neutrals, pedestrian
pushbutton, and lighting conductors can be spliced.
On 30-foot poles, it is often best to install the luminaire conductors inside the pole
before erection and splicing to leads in the pull box after erection. Luminaires and
mast arm signals can also be attached to the poles before raising. To reach from the
pull box to the terminal block on the standard without additional splices, ensure the
contractor leaves sufficient slack conductor in the pull box. Splices are only
permitted at the locations stated in the specifications. Checking for tight
connections and splices in all wiring is extremely important.
When pulling conductors, a wire trailer is desirable. Ensure the contractor pulls
conductors from the reels in such a manner that traffic will not run over the
conductors and that pedestrians will not walk on them. Both events can cause
damage to the conductors. To prevent damage to small conductors by over-pulling,
the Standard Specifications require that the conductor be pulled by hand. Do not
permit the use of winches, trucks, or other mechanical aids. The special provisions
may permit power pulling of large conductors. If so, ensure tension measuring
devices are used in accordance with the manufacturers recommendations.
Before pulling conductors into conduits, ensure proper planning and careful
measuring to avoid the slipping of one conductor past another in the conduit. To
prevent any damage to insulation that slipping causes, ensure the contractor feeds
the various conductors into the conduit in a sequence determined by the length of
the individual runs and the use of lubricant as specified. If additional conductors

are being installed in an existing conduit, the Standard Specifications require that
all of the conductors be removed, the conduit cleaned and mandrelled, and the
conductors pulled into the conduit as a unit. Prohibit the slipping of added
conductors past existing ones.
To prevent cutting the conduit, ensure the contractor takes extra care when pulling
conductor in plastic conduit. Bushings or pulling bells are required on the ends of
conduits.
Ensure conductors are tagged or labeled according to the specifications. Prohibit
the painting of conductors or the use of colored tape on the ends of conductors to
obtain the specified insulation colors. The Standard Specifications permit the use
of phase taping on conductors size 2 and larger.
Ensure conductor splices are made as shown on the standard detail sheets and as
specified. All splices must be tight and waterproof. Conductors size 8 and smaller
must be soldered.
Ensure leads to transformers are spliced as shown on the detail sheet and as
specified. A ground clamp fastened to one of the secondary terminals makes an
ideal connection for the grounding bond. Ensure transformers are never picked up
by the leads.
4-8603F Vehicle Detectors
Along with the controller unit, check the portion of vehicle detectors installed in the
controller cabinet. When testing the completed system, include the entire detector
system. Perform the following duties during installation:
Verify the loops are laid out in the proper locations.
Before installing inductive loop detectors, ensure the contractor washes, blows out,
and dries all slots cut in pavement. Ensure residue from saw-cutting operations is
vacuumed from the roadway and disposed of off of the project.
Ensure that detector loops contain the required conductor type and number of turns
and are wound in the specified direction.
Ensure the contractor splices conductors only at locations permitted under the
contract. All splices must be soldered.
Ensure the contractor places loop wire in the slot with a tool that will not damage
the wires insulation.
Ensure that loop wires between the loop and adjacent pull box are twisted together
as required.
Observe the placement of loop sealant to ensure the contractor uses the specified
material and method of placement.
When final splicing between loops and lead-in cable is approved, advise the
contractor.
In pull boxes and at the controller cabinet, ensure the contractor identifies and
bands the conductors as specified.
4-8603G Soffit and Wall Luminaires
Ensure soffit lights are installed with the hinge side toward the curb or as shown on the
plans. Before concrete is poured around soffits, ensure they are securely fastened. The

danger of floating always exists during the pour, and workers frequently will rotate
them to place steel or forms. To prevent damaging conduit joints, ensure that conduit
between soffit lights is secured and supported with concrete blocks. Prohibit standing
on conduits or piling material on them.
4-8603H Falsework Lighting
Require the contractor to submit a falsework lighting plan for review and approval by
the resident engineer. Ensure the plan conforms to the specifications. Prohibit the
contractor from proceeding with work requiring falsework lighting until the plans
approval. The contractor must provide temporary electricity through arrangements with
the utility company.
4-8603I Testing
Before completing the work, the contractor must test all traffic signal and lighting
circuits in the presence of the resident engineer. The tests are outlined in Section 86-
2.14, Testing, of the Standard Specifications. The following tests are to be
performed:
Continuity
Grounding
Insulation resistance
Operational tests
High voltage tests
The maintenance highway electrician, traffic operations engineers, or construction
electrical engineers will aid the resident engineer in observing the test results.
The continuity and test for grounds may be made with an ohmmeter, buzzer and
battery combination, or other similar device.
The insulation resistance test is usually made with a megohmmeter, a small hand-
operated or battery-operated generator, which usually generates about 500 volts.
However, prohibit megohmmeter tests on magnetometer-sensing elements.
Ensure the contractor tests each circuit of a signal system by applying voltage to it and
verifying the lights are operating.
The operational tests consist of a 5-day continuous satisfactory operation test for traffic
signals and two consecutive nights for lighting systems. If the operation test fails,
repairs will be made and the test will be restarted. If Department-furnished material
fails, do not restart the test. Once the Department-furnished material has been repaired,
the test can continue to completion.
4-8603J Completing the Project
Do the following to complete the project:
Before new work is opened to traffic, ensure all traffic control devices are in place
and working properly.
Until signals are placed in operation, ensure the signal heads are turned away from
traffic and completely covered with cardboard boxes or other suitable material.

Never put into operation a completed traffic signal on a Friday or any day
preceding a legal holiday. Also, before the signal is turned on, the traffic operations
engineer must be present to adjust the timing in the controller.
For correct light distribution and minimum glare from luminaires, ensure the
contractor positions the luminaires as parallel to the roadway as possible.
Ensure the contractor has properly installed all signing and striping items.
To ensure that items that might possibly be overlooked when accepting the work
are completed in all their details, prepare for reference a printed checklist similar to
the one shown at the end of this section. This checklist should include reminders
about the proper positioning of louvers and heads, the placing of the cap on top of
lighting standards, final painting and cleanup, and similar details.
Give 2 weeks notice of the proposed turn-on of the signal system to district traffic
operations, public information, signal maintenance, the local fire department, the
police department, and schools.
4-8604 4-8604 Contract Administration
Contract The resident engineer must do the following:
Administration Determine the contractors operations schedule so you can make arrangements to
maintain existing signals and street lighting.
Section 86-1.03, Schedule of Values, and Section 9-1.16, Progress Payments,
of the Standard Specifications provide for a cost breakdown of each lump-sum
unit of electrical work. Check the contractors breakdown for completeness and
accuracy. Before approving the submittal, call the contractors attention to
unbalanced unit costs, and require their correction. You can use this breakdown for
progress payments and as a cost basis for change orders. Approve the cost
breakdown before making partial payments on lump-sum electrical items.
Obtain a list of the equipment and materials the contractor proposes to install, as
required by Section 86-1.04 [86-6.065], Equipment List and Drawings, of the
Standard Specifications. To prevent omissions or irregularities, you must check the
required list of materials, and the electrical design unit must recheck the list. For
compliance with the contract, ensure that manufacturers names, catalog numbers,
and other appropriate listings properly identify the materials.
4-8604A Materials Approval
Do the following regarding materials approval:
Verify the receipt and proper distribution of Form CEM-3101, Notice of
Materials to Be Used, which lists electrical materials. Refer to Section 6-202,
To determine materials assigned for release at the job site, review Form TL-0028,
Notice of Material to Be Inspected. Also, ensure that the contractor delivers test
results and the necessary certificates of compliance (including compliance with
Buy America requirements) to the site. Release or reject the materials in
accordance with Chapter 6, Sampling and Testing, of this manual.

Recommend approval or denial of a substitute. Under no circumstances may the
supplier or contractor bypass the resident engineer by negotiating with others for
proposed substitutes on projects under contract.
Substitute for a specified product by change order since it is a change in
specifications.
Refer to Section 86-8.01, Payment of the Standard Specifications, and deduct
money for electrical poles inspection cost whenever applicable. The sum of $5,000
is deducted per inspection site when located at more than 300 and less than 3000
airline miles from Sacramento and Los Angeles. The sum of $8,000 is deducted
for airline miles greater than 3000.
4-8604B Forms
The resident engineer must ensure that all necessary forms are completed or placed in
the file, including, but not necessarily limited to, the following:
Notification to the appropriate district units of dates when electrical facilities were
placed in or removed from service.
Notification to the district electrical billing coordinator by submittal of the
completed utility service request form. This request provides the necessary
information for the billing, inventory items, and turn-on, and turn-off data.
As-built plan copies to the electrical maintenance unit and to the district traffic
unit, the original as-built plans to the district construction office, and one set of
field as-built plans and a copy of the special provisions in the controller cabinet.
4-8604C Guarantees
Take the following actions on contracts that include a guarantee for work performed:
Ensure a notice is installed in each controller cabinet with the following
information:
1. Name, address, and phone number of the contractor, including the phone
number of the individual to be notified of any action regarding the guarantee.
The contractor referred to here is the one who signed the original guarantee.
2. Name, address, and phone number of the signal equipment vendor.
3. Date of the contract acceptance.
4. Date the guarantee expires.
Before contract completion, ensure the district maintenance unit is provided with
two sets of contract special provisions and project plans.
Advise the district maintenance unit as soon as possible of the date of contract
acceptance.
During the course of the project, ensure progress payments are made to the contractor Measurement and
for work completed during the estimate period. The estimate period is from the 21st of Payment
one month through the 20th of the next month. For progress payment purposes, keep
records of the work completed in each period.
On many projects, traffic signal and lighting standards, traffic signal equipment, and
electrical hardware items are listed as eligible for payment as material on hand (MOH).

On a monthly basis, check the contractors submittals for MOH, and verify that
materials incorporated into the work have been removed from the MOH submittal.
Verify all the bid items and review the special provisions as to the method of payment
and the condition of the item payments.

Example 4-86. Electrical Systems Sample Checklist
Check if satisfactory.
1. Pull boxes to grade
2. Crosswalks correct
3. WALKDONT WALK heads
4. Signal heads louvered properly
5. Vehicle detector in proper lane
6. Pull boxes correctly labeled
7. Pedestrian signs correct at push buttons
8. Heads correctly positioned
9. Heads checked for brilliance
10. Pole base bolts checked for tightness
11. Poles checked for proper painting
12. Ground bushings and connections tight
13. Shield of telephone interconnect proper in controller box
14. Lugs in controller cabinet checked for tightness
15. Guarantees
Inspected by________________________________
Comments:

Section 88 Geosynthetics Section 88

Geosynthetics
4-8801 General 4-8801
Section 88, Geosynthetics, of the Standard Specifications provides material General
requirements for various types of geosynthetics for use as geosynthetic pavement
interlayer, paving mat, paving grid, paving geocomposite grid, geocomposite strip
membrane, filter fabric, subgrade enhancement geotextiles (SEG), biaxial geogrids, silt
fence fabric, gravel-filled bags, sediment filter bags, and temporary cover for water
pollution control.
Geosynthetic pavement interlayer is used as an interlayer in asphalt concrete overlays
to minimize surface water infiltration and to minimize reflective cracking through the
overlay. Filter fabric is placed between a freely draining aggregate and soil to allow
passage of water and to retain fine soil particles. Rock slope protection (RSP) fabric
serves the same purpose. As with filter fabric, RSP fabric is placed between rock slope
protection and the underlying foundation material. Geocomposite wall drains provide
drainage in backfill applications on retaining walls and structure approaches.
Geotechnical subsurface reinforcement stabilizes embankments. Subgrade
enhancement geotextiles are placed between the pavement and the subgrade providing
filtration and separation of the base materials. Biaxial geogrids stabilize the subbase or
the base aggregate by interlocking with the apertures in the geogrid.
The following sections of the Standard Specifications give geosynthetic placement
requirements:
Section 39, Hot Mix Asphalt, includes requirements for placing geosynthetic
pavement interlayer.
Section 68, Subsurface Drains, provides requirements for placing filter fabric
used with underdrains and edge drains and placement of geocomposite wall drains.
Section 72, Slope Protection, provides specifications for placing RSP fabric.
Section 19, Earthwork, details the requirements for placing subsurface
reinforcement and SEG.
Section 26, Aggregate Bases, provides the placement requirements for biaxial
geogrids.
Section 13, Water Pollution Control, provides specifications for placing silt
fence fabric, gravel filled bags, sediment filter bags, and temporary cover.
Before work begins, verify that Form CEM-3101, Notice of Materials to Be Used, Before Work
includes geosynthetics. Refer to Section 6-202, Responsibilities for Acceptance of Begins
Manufactured or Fabricated Materials and Products, of this manual for details.

Geosynthetics 4-88.1
During the Course of Do not permit the use of geosynthetics until certificates of compliance covering the
Work material have been submitted.
Measurement and Measurement and payment clauses are included in the Standard Specification sections
Payment or special provisions providing for placement of the various types of engineering
fabrics.

4-88.2 Geosynthetics
Section 90 Concrete
4-9001 General
4-9001A (1) Materials
4-9001A (1a) Cementitious Materials
4-9001A (1b) Aggregates
4-9001A (1c) Admixtures
4-9001A (2) Check of Mix Design
4-9001A (2a) Checking Proportions
4-9001A (2a).1 Cementitious Material Content
4-9001A (2a).2 Water Content
4-9001A (2a).3 Aggregates
4-9001A (2a).4 Admixtures
4-9001A (2a).5 Volume
4-9001A (3) Proportioning
4-9001A (4) Curing Concrete
4-9001A (5) Compressive Strength
4-9001B (1) Proportioning and Mixing Operations
4-9001B (2) Mixing and Transporting
4-9001B (3) Curing Concrete
4-9001B (4) Protecting Concrete
4-9002 Minor Concrete
4-9003 Rapid Strength Concrete
4-9004 Precast Concrete
4-9005 Self-Consolidating Concrete
4-9006 Lightweight Concrete

Concrete 4-90.i
Section 90 Concrete Section 90

Concrete
4-9001 General 4-9001

This section covers concrete. The Standard Specifications identifies concrete with the General
following descriptions:
General
Minor concrete
Rapid strength concrete
Precast concrete
Self-consolidating concrete
Lightweight Concrete
For a complete discussion on various items using concrete, refer to Sections 40,
Concrete Pavement; 41, Concrete Pavement Repair; 50, Prestressing Concrete;
51, Concrete Structures; 72, Slope Protection; and 73, Concrete Curbs and
Sidewalks, among other sections of the Standard Specifications. Also, refer to the
corresponding Sections 4-40, 4-41, 4-50, 4-51, 4-72, and 473 of this manual. The
resident engineer should contact the Division of Construction, Materials Engineering
and Testing Services (METS), and the district materials engineer for additional
guidance on specialty concretes. Additional information on concrete is available in the
Office of Structure Constructions Concrete Technology Manual and the Bridge
Regardless of the type of concrete to be used, no recycled concrete is used on Caltrans
contracts unless specifically allowed by the specifications. Recycled concrete includes
use of plastic concrete combined with fresh concrete, use of reclaimed concrete
materials from unhardened concrete, and use of materials from crushed concrete.
In general, the Standard Specifications require the contractor to determine the mix
proportions for all concrete. To determine the various types of concrete that will be
required, review the contract provisions. Pay particular attention to concrete
information, such as cementitious material content, compressive strength, minor
concrete, rapid strength concrete, precast concrete, self-consolidating concrete,
or lightweight concrete. Also, note the type of cement to be used and any special
requirements for the aggregate and use of admixtures. Projects in corrosive
environments or freeze-thaw areas will contain additional concrete requirements. Make
a list of the various mix designs the contractor will need to submit and a note of the
concrete that needs to be prequalified before use. To avoid potential project delays and
aid in the review process, encourage the contractor to submit the mix designs early in
the project.

Concrete 4-90.1
Review the mix designs for compliance with the special provisions, Standard
Specifications, and contract plans, or forward the mix designs to the district materials
unit for review. Before the contractor places any concrete, the district materials unit
will need an authorized copy of the mix design for the units plant inspectors. If the
concrete is designated by compressive strength, obtain certified test data or trial batch
test results in advance of the concrete use to avoid delays. Refer to Section 90-
1.01D(5)(b), Prequalification, of the Standard Specifications for additional
information. Review the data and results for contract compliance.
Review the current certifications of Caltrans field staff who will perform acceptance
testing of the concrete. Staff must be certified in the following common test methods:
California Test 125, Methods of Test for Sampling Highway Materials and
Products Used in the Roadway Structural Sections.
California Test 518, Method of Test for Unit Weight of Fresh Concrete.
California Test 521, Method of Test for Compressive Strength of Molded
Concrete Cylinders.
California Test 523, Method of Test for Flexural Strength of Concrete.
California Test 533, Method of Test for Ball Penetration in Fresh Portland
Cement Concrete.
California Test 539, Method of Test for Sampling Fresh Concrete.
California Test 540, Method of Test for Making, Handling, and Storing Concrete
Compressive Test Specimens in the Field.
Review specifications for specific concrete acceptance testing requirements and
determine if additional certifications will be required for field staff performing
acceptance testing. Contact the district materials engineer for assistance in obtaining
any specialty certifications.
4-9001A (1) Materials
Before work begins, do the following for materials:
Verify that Form CEM-3101, Notice of Materials to Be Used, includes concrete
materials such as cement, fly ash, and aggregate. Refer to Section 6-202,
Review the contractor's concrete mix designs under Section 4-9001A (2) of this
manual.
4-9001A (1a) Cementitious Materials
Cementitious materials are normally accepted based on certificate of compliance, so
initial samples are not taken. Cementitious materials are required to be on the
authorized material list at the time of mix design submittal. Refer to:
If shrinkage limitations are specified for the concrete, ensure shrinkage test data is
submitted with the mix design. If special requirements exist for the cementitious
materials, initial testing should be considered. For more details about cementitious
materials sampling and testing, refer to Chapter 6, Sampling and Testing, of this
manual.

4-90.2 Concrete
4-9001A (1b) Aggregates
From the contractor, obtain in writing the primary aggregate nominal sizes to be
furnished and their source pit locations. Ensure aggregate material sources comply with
Section 7-103L (2), Surface Mining and Reclamation Act, of this manual. Note that
for concrete aggregate to be considered innocuous, both coarse aggregate and fine
aggregate sources must be listed on the authorized material list. Refer to:
Aggregate sources not on this list will impact cementitious material calculations as
discussed in Section 4-9001A (2a).1.
Verify with the district materials unit that current tests have been performed on
aggregates as listed in Section 6-1, Sample Types and Frequencies, of this
manual.
You may omit initial sampling and testing if the specified aggregate is currently
being used on another Caltrans contract with acceptable testing results. In the daily
report, record any reasons for not taking initial samples.
If aggregate test data is not available, obtain initial samples of aggregate to be used
and have them tested for all specified attributes. For reference, see the table in
Section 6-1 of this manual. To prevent unnecessary expense and delay, send
samples that can be made to conform to the specification grading. Indicate whether
oversized material will be crushed or if any special blends are contemplated.
When the type or amount of concrete work doesnt require furnishing the proposed
gradation, advise the contractor and note such a decision in the daily report.
4-9001A (1c) Admixtures
Before work begins, do the following for admixtures:
Ensure admixtures are a type allowed by the Standard Specifications or special
provisions. Admixtures must be on the authorized material list maintained by
METS, available at:
Accept admixtures by certificate of compliance from the admixture manufacturer.
Even when a contract specifically allows or requires admixtures, check the
proposed dosage rate for each specific product other than airentraining agents.
Section 100, Concrete Materials and Mixing, of the Bridge Construction
Records and Procedures manual contains detailed information under Memo 100-
4.0, Admixtures for Portland Cement Concrete. Before making a final decision
on the allowable use of admixtures, review this data.
4-9001A (2) Check of Mix Design
Before use of any concrete, the contractor is required to submit in writing a copy of
their mix designs. Likewise, revisions in proportions of a previously authorized mix
design will require a new mix design submittal. An integral part of quality assurance is
the review of the submitted concrete mix designs for compliance with contract
requirements. Attention must be paid to concrete requirements within the plans and
specifications because, on most projects, there will be a need for multiple concrete mix
designs for different uses, locations, and exposures. While it is the contractor's

Concrete 4-90.3
responsibility to design their concrete mixes using ingredients in compliance with
contract requirements, it is critical that any submitted mix design that does not meet
contract requirements be brought immediately to the contractor's attention. Once the
submitted mix design, including required supporting documentation and qualifications,
has been reviewed and determined to comply with contract requirements, notify the
contractor of mix design authorization for the specific intended use. Ensure a copy of
the authorization letter is filed in the project records.
Concrete mixes should generally be designed with proportions that will produce
concrete with the following qualities:
The stiffest consistency (lowest penetration) that can be placed efficiently.
Adequate mortar content to provide the required finish.
The lowest water demand consistent with the aggregate specified.
4-9001A (2a) Checking Proportions
Office of Structure Construction's Concrete Technology Manual contains multiple
examples of concrete mix design reviews. The following narrative identifies key
elements to consider during the mix design review process.
4-9001A (2a).1 Cementitious Material Content
The cementitious material content is limited, and the design must conform to the
specified limited amounts and requirements of Section 90-1.02B, Cementitious
Materials, of the Standard Specifications.
Cementitious material content minimums and maximums will generally be found in
the specifications covering that item of work and not in Section 90. For example,
Section 51-1.02B, Concrete, of the Standard Specifications contains a table for
general cementitious material content requirements for structures, though special
provision requirements may modify these requirements for particular concrete
structural elements.
Be aware that if the submitted mix design uses an authorized water-reducing admixture
at the authorized dosage, the specified cementitious material content may be reduced
up to 5 percent by weight under Section 90-1.02E(2), Chemical Admixtures, of the
Once the mix designs cementitious material content has been verified, ensure that
equations 1 and 2 of Section 90-1.02B(3), Supplementary Cementitious Materials, of
the Standard Specifications have been met. Note that in evaluating equation 1, for
aggregate to be considered innocuous, all aggregates must be innocuous.
Also, note that concrete in certain exposure areas will have special cementitious
material requirements that need to be verified. Examples of these areas include
concrete in corrosive environments under Section 90-1.02H and concrete in freeze-
thaw areas under Section 90-1.02I of the Standard Specifications. Concrete subject to
these exposure areas will be designated in the contract.
4-9001A (2a).2 Water Content
Section 90-1.02G(6), Quantity of Water and Penetration or Slump, of the Standard
Specifications provides the general requirements for maximum free water allowed in
concrete mix designs. There may be specific provisions concerning water allowance
for the contract item that will govern. When evaluating free water amounts, keep in

4-90.4 Concrete
mind that free water is defined as the amount of water in the mix excluding the amount
of moisture in aggregates at their saturated surface dry condition. Note that if liquid
admixtures are used in a cumulative amount of more than 1/2 gallon per cubic yard, the
amount of liquid admixture is to be considered free water.
Nominal penetration and or slump requirements must also be considered during the
mix design review. Concrete mixes requiring prequalification under Section 90-
1.01D(5)(b) of the Standard Specifications require either certified test data or trial
batch reports that include penetration or slump information. Use caution when
reviewing and authorizing concrete mix designs that indicate maximum nominal
penetration or slump values or have used the maximum amount of allowable free water
within the mix design. Both cases leave little in the way of adjustment if problems are
encountered and may result in significant delays if new mix designs are required.
Certain concrete or exposure areas may also specify water to cementitious material
ratio requirements on the concrete. These are typically based on the weight of free
water to the weight of cementitious materials in the mix. Ensure any such requirements
are evaluated during the mix design review.
4-9001A (2a).3 Aggregates
Aggregates for concrete must conform to Section 90-1.02C Aggregates, of the
Standard Specifications unless specified otherwise. These requirements include
durability and cleanness testing requirements for coarse aggregates, and organic
impurities and sand equivalent testing requirements for fine aggregates.
There are multiple gradation requirements (coarse aggregate, fine aggregate, and
combined aggregate) that the mix design must be checked against. Note that the
contractor controls a portion of the grading requirements by proposing the X values
within a specified allowable range for certain sieve sizes. These proposed X values
complete the individual grading limit requirements of Sections 90-1.02C(4)(b),
Coarse Aggregate Grading, and 90-1.02C(4)(c), Fine Aggregate Grading, of the
Standard Specifications. Verify that proposed X values are within allowable ranges
for each sieve size. Check submitted gradations for coarse and fine aggregates and
verify that gradations are within the specified operating range limits. Check additional
individual grading requirements at this time, including limitations on differences
between total percentage passing adjacent sieve sizes.
Using a combined analysis of the gradings in the proportions of the mix design,
determine if the combined grading meets the grading limits shown in Section
90-1.02C(4)(d), Combined Aggregate Grading, of the Standard Specifications.
4-9001A (2a).4 Admixtures
Verify that dosage amounts for each admixture within the mix design are within those
listed on the authorized material list.
4-9001A (2a).5 Volume
Verify that individual mix design constituent volumes total to a cubic yard by using the
weights and specific gravities of the constituents.
4-9001A (3) Proportioning
The following is primarily a guide for the Caltrans plant inspector, but anyone who
needs to verify that plant operations are contract compliant can also use this guide:

Concrete 4-90.5
Ensure that storage of aggregates conforms to specification requirements. When
various sizes are to be stored separately, require physical separation, either by
space between stockpiles or some type of wall that will provide positive
separation. Pay particular attention to the method used to prevent contamination of
the aggregate. In general, a hard surface, as specified in Section 90-1.02F(2),
Storage of Aggregates, of the Standard Specifications is required for storage of
the aggregate stockpile.
Determine whether the stockpiled aggregate is similar to material upon which the
mix design was based.
As a part of California Test 109, Method for Testing of Material Production
Plants, the district weights and measures coordinator will have completed a safety
inspection of the plant facilities frequented by the Caltrans plant inspector for the
plant in question. Review the sampling facilities to ensure they will deliver a
sample in a safe manner that accurately represents the material. For sampling
requirements, refer to California Test 125, Methods of Test for Sampling
Highway Materials and Products Used in the Roadway Structural Sections.
Before use for Caltrans projects, the plant scales and meters must have a current
Form CEM-4204, California Test 109 Sticker. The district weights and
measures coordinator administers this test. Examine the plant to determine whether
weighing equipment matches the testing results. Ensure that scales and meters
have been sealed or tested as required. Request from the district weights and
measures coordinator the material plant approval report. For additional details, see
Section 3-902E, Weighing Equipment and Procedures, of this manual.
The county sealer of weights and measures tests and seals weighing and metering
devices at commercial plants. During the sealing of these plants, the county sealer
does not test the interlocks. Therefore, even though the county sealer has sealed the
scales and meters, the interlocks must be tested and approved as for
noncommercial plants in accordance with California Test 109, Method for
Testing of Material Production Plants.
Ensure that cementitious materials can be kept separate from the aggregate until
they are discharged into the mixer.
Ensure the plant or mixer has the specified automatic timing device. When
automatic batching is used, the timing device must be interlocked with the mixer
discharge mechanism as specified.
Examine mixers to ensure that blades are not worn beyond specified tolerances.
See that mixers are free of accumulations of hard concrete or mortar.
Ensure truck mixers have the required metal plates containing the specified
information. Also, check truck mixers to ensure they have the specified revolution
counters.
Ensure the contractor will not use equipment with aluminum or magnesium
components if these components will contact plastic concrete.
Check the following when the concrete to be produced is for concrete pavement:
1. If specified, ensure that the plant has a moisture meter. Be aware that any
moisture determination is calculated as a percent of the dry aggregate.
Commonly used moisture meters measure the total moisture in the material

4-90.6 Concrete
being tested. However, specifications for moisture content in the fine
aggregate and batch proportion calculations are based on the free moisture
rather than the total moisture content. Therefore, ensure the moisture meter is
calibrated for the absorption of the aggregate upon which it is to be used.
2. Ensure that the system contains the specified proportioning interlocks.
Determine whether the proportioning system is capable of full automatic
operation.
3. Determine whether the equipment is capable of accepting changes in
proportions or sequence of weighing individual sizes without delay.
4-9001A (4) Curing Concrete
Review the various methods of curing concrete contained in Section 90-1.03B,
Curing Concrete, in the Standard Specifications, and discuss with the contractor the
proposed methods. Before concrete work begins, ensure the contractor has the required
curing materials onsite. Such materials include rugs, a water supply, or acceptable
curing compound.
The curing compound must be of the type specified by the special provisions, Standard
Specifications, or both. Obtain a certificate of compliance for the curing compound
prior to its use.
4-9001A (5) Compressive Strength
If the 28-day compressive strength described is 3600 pounds per square inch (psi) or
greater, the concrete is designated as compressive strength. When concrete has a
described 28-day compressive strength greater than 3600 psi or a minimum concrete
compressive strength is specified as a prerequisite to applying loads or stresses to a
concrete structure or member or as specified, the contractor must prequalify the
concrete before its use in the work. For additional details, refer to Section 6-305D (2),
Trial Batches, of this manual; the Bridge Construction Records and Procedures
manual; Concrete Technology Manual; and Section 90-1.01D(5), Compressive
Strength, of the Standard Specifications.
During the work, the resident engineer must do the following:
Sample the concrete within the requirements and frequencies of Section 90,
Concrete, and item of work sections of the Standard Specifications, and Chapter
6, Sampling and Testing, of this manual.
Make appropriate arrangements for plant inspection.
Review placement, protection, curing, and staging.
Review concrete washout procedures as they apply to the water pollution control
plan.
4-9001B (1) Proportioning and Mixing Operations
This section is primarily a guide for the Caltrans plant inspector, but can be used by
anyone who may need to verify that plant operations comply with the contract. During
proportioning and mixing operations, do the following:
Obtain and ensure that the certificates of compliance for cementitious materials are
signed as specified.

Concrete 4-90.7
Observe the cementitious material storage facilities to ensure cementitious
materials are protected from moisture.
Obtain samples of the aggregate in accordance with California Test 125, Methods
of Test for Sampling Highway Materials and Products Used in the Roadway
Structural Sections, and test them for the specified properties in accordance with
the frequencies shown in Section 6-1, Sample Types and Frequencies, of this
manual. For the surface moisture content of fine aggregate, vary the testing
frequency depending on the uniformity of supply. A change of 1 percent in the
moisture content of sand, if not compensated, may change the penetration of
concrete as much as 3/4 inch and the compressive strength as much as 300 psi.
You can use California Test 223, Method of Test for Surface Moisture in
Concrete Aggregates by the Displacement Method (Field Method), or the oven-
dry method, in which case you must consider an adjustment for absorption.
Compare the test results with the data upon which the design was based, and
ensure the contractor takes any necessary corrective actions. When cementitious
content designates the concrete, ensure the contractor adjusts the design to
compensate for any significant differences within the nominal sizes the contractor
proposed. When the concrete is designated by compressive strength, ensure the
contractor takes immediate corrective action for any significant deviations in
production operations from those used during the production of trial batches.
Observe the addition of admixtures to ensure they are as shown on the authorized
mix design and are dispensed in the specified manner. Obtain certificates of
compliance for each admixture product.
During proportioning and mixing of materials, ensure the following occur in the
quantities and by the methods specified:
1. At least twice during each shift, ensure scales are balanced at zero load and
inspect them for signs of sluggishness, inaccuracy, or damage. Should an
apparent problem with the weighing or measurement systems exist, contact
the district weights and measures coordinator for the method of correcting the
problem. Also, check for sticking materials that do not discharge.
2. Batch controllers that have the ability to provide an estimate of returned
concrete for rebatching must have that feature disabled. Check that delivery
trucks are completely empty prior to loading. Ready-mix trucks can be
verified to be empty by spinning the mixing drum in reverse immediately prior
to loading.
3. Check that the entry of water into the mixer is timed to ensure that some water
is introduced in advance of aggregate and cement. Also, check that all water
has been introduced by the end of the first one-fourth of the specified mixing
time. Finally, see that no leakage exists that would affect the proper water
content.
4. Check the batch size to ensure it does not exceed the specified capacity or the
limit to which the scales were tested during California Test 109, Method for
Testing of Material Production Plants.
5. Check the mixer operation to ensure that the automatic timing device is
interlocked as specified and that the mixing time is as specified.

4-90.8 Concrete
6. Observe the hand-mixing of concrete to ensure it is being mixed in the
specified manner.
For concrete used in pavement, or when required for other types of concrete,
ensure that automatic devices perform the proportioning operation as specified.
Require the plant operator to demonstrate the function of interlock devices. Limit
this check of proportioning interlock tolerances to a visual witnessing of the
maximum tolerance settings in the batch computer.
Perform California Test 518, Method of Test for Unit Weight of Fresh Concrete,
to verify the unit weight, volume, and cementitious material content of concrete in
accordance with the frequencies shown in Section 6-1, Sample Types and
Frequencies, of this manual. Advise the contractor of any changes to be made
when the test results do not confirm the correctness of the proportions being used.
Whenever California Test 518 is performed, the data for batch weights must be the
actual weights as observed for the batch to be tested. Actual batch weights are
available from the delivery ticket. It is not sufficiently accurate to use the ordered
batch weights.
When the unit weight or cement factor varies considerably for no apparent reason,
check the accuracy of the scales. For a quick method, weigh a loaded and unloaded
truck on platform scales. With this method, you can also detect erratic weighing
because of binding scales.
When air-entraining agents are used, perform California Test 504, Method of Test
for Determining Air Content of Freshly Mixed Concrete by the Pressure Method,
to determine the air content of concrete in accordance with the frequencies shown
in Section 6-1 of this manual.
To determine the consistency of the concrete, perform California Test 533,
Method of Test for Ball Penetration in Fresh Portland Cement Concrete. When
specified values are exceeded, ensure the contractor makes adjustments.
Use the results of California Test 533, and California Test 529, Method of Test
for Proportions of Coarse Aggregate in Fresh Concrete, to determine the
uniformity of concrete. When differences exceed specified values, require the
contractor to improve the mixing operation.
Periodically check the recording of data on tickets for truck mixers or agitators to
ensure that the required information is being entered.
Periodically determine the concretes temperature to ensure it falls within the
specified values.
Obtain samples of the completed concrete mixture and perform tests in accordance
with Section 6-1, Sample Types and Frequencies, of this manual.
Analyze the test results continuously and remain alert to any changes in the
concretes uniformity or consistency. Ensure the contractor complies with their
quality control plan where specified and review quality control information in a
timely manner. When test results indicate, ensure the contractor makes corrections
in the production operation. Where necessary, ensure the contractor revises the mix
design. Reject (based on penetration) excessively wet batches discharged from
mixers and do not use in the work. Prohibit indiscriminate additions of water to the
mixer solely to increase the flow of already workable concrete.

Concrete 4-90.9
Record all tests and keep them in the project files. When a specific form is not used
for recording test results, such as California Test 533, record the results in the daily
report.
4-9001B (2) Mixing and Transporting
During the work, do the following:
Ensure that concrete is transported in accordance with the applicable
specifications.
Ensure that the proper mix design is being batched and arrives at the job site. The
concrete must arrive with a load ticket that contains the specified information and
certificates of compliance for cementitious materials. The weight certificate must
also show the actual scale weights (pounds) for the ingredients batched. Prohibit
theoretical or target batch weights as substitutes for actual scale weights. Check the
load tickets, and verify that the specified information is actually on the ticket.
As the concrete is placed, ensure that it is homogeneous and thoroughly mixed and
that no lumps or evidence of undispersed cementitious material exists.
Check truck agitators to determine whether they are being operated at the speed
designated by the manufacturer.
Ensure that nonagitating hauling equipment does not leak and selfcleans during
discharge.
Ensure that concrete hauled in open-top vehicles is protected as specified.
Verify the consistency of the concrete through California Test 533. Record the
results on the daily report. If the concrete exceeds the nominal or maximum
penetration allowed by the Standard Specifications, take appropriate action.
When authorized, water withheld during batching can be added at the delivery
point to truck mixers. Ensure that withheld water is mixed as specified. Ensure the
proportioning is corrected if constant mixing is necessary at the discharge point.
When adverse or difficult conditions affect concrete placement, the contractor may
request that the specified penetration and free-water content limitations be
exceeded under Section 90-1.02G(6), Quantity of Water and Penetration or
Slump, of the Standard Specifications. Where such requests are authorized,
ensure that the added water and cementitious materials do not exceed the specified
ratio allowance.
Measure the temperature of the concrete periodically. You can obtain the
temperature of the fresh concrete from a sample withdrawn from the mixer just
before discharge or from within the forms during or immediately after discharge
from the mixer.
Temperature requirements for specialty concrete may vary. Refer to the
specifications for these requirements.
When concrete is being hauled in truck mixers or agitators, ensure the discharge is
completed within 1-1/2 hours or 250 revolutions after introducing the cementitious
material to the aggregates. If the concrete temperature is 85 F or above, determine
the time (less than 1-1/2 hours) that will be allowed. Advise the contractor
accordingly.

4-90.10 Concrete
For proper mixing, verify that the concrete delivered in truck mixers or agitators
has received the minimum number of revolutions recommended by the
manufacturer. However, a minimum of 70 revolutions is a good rule of thumb.
When nonagitating equipment is used, ensure the discharge is completed within 1
hour as specified. If the concretes temperature is 85F or above, or under other
conditions contributing to quick stiffening of the concrete, ensure the discharge is
completed within 45 minutes as specified.
In the daily report, note the concretes temperature and decisions relating to that
measurement.
For transit-mixed concrete, you cannot determine directly from the revolution
counter the requirements for minimum and maximum revolutions of mixing at the
mixing speed. However, in many instances, a simple calculation based on the total
number of mixing revolutions and the hauling time will verify compliance with the
specifications. If, because of the circumstances of long hauls or other reasons, such
a calculation is not possible, you can ask the supplier for the schedule of time the
drum will be operated at mixing speed. At the end of that time, the operator can
reduce drum speed to agitating range. The number of revolutions at mixing speed
is not considered to be as important as the total number of revolutions of mixing.
However, at very low mixer rpm and at the minimum number of revolutions, it is
possible that inadequate mixing will result.
Sample concrete and fabricate test cylinders in accordance with Section 6-1,
Sample Types and Frequencies, of this manual and specification requirements
for acceptance testing.
Do not allow trucks to exceed the weight limits, especially for bridges, given in
Section 5-1.37B, Load Limits, of the Standard Specifications.
4-9001B (3) Curing Concrete
Ensure the contractor applies the proper cure method in accordance with the
specifications. Periodically check that the contractor is maintaining the cure through the
curing period.
4-9001B (4) Protecting Concrete
Anticipate adverse weather conditions and discuss options with the contractor. Require
the contractor to submit a written plan on methods to protect the concrete if adverse
weather sets in or is anticipated.
Concrete needs time to attain sufficient strength to carry loads. Do not allow anyone to
drive or place equipment or loads on the pavement when those loads are greater than
those allowed by the contract.
Measurement and payment must comply with the applicable sections of this manual
and the special provisions, Standard Specifications, and Bridge Construction Records
Review and document the results of acceptance testing in accordance with Chapter 6,
Sampling and Testing, of this manual and specification requirements. Take
appropriate remedial action or deductions for failing results on acceptance tests.

Concrete 4-90.11
4-9002 4-9002 Minor Concrete
Minor Concrete The general provisions of Section 90-1, General, of the Standard Specifications
apply to minor concrete unless otherwise specified. Similarly, guidance contained in
Section 4-9001, General, of this manual is applicable to minor concrete unless
otherwise stated.
Ensure that the minor concrete mix design contains at least the minimum amount of
cementitious materials specified.
Ensure that mix designs for minor concrete are submitted and authorized prior to use
on the contract. Ensure compressive strength test results are submitted with the mix
design as specified in Section 90-2.01C, Submittals, of the Standard Specifications.
Ensure that the contractor submits a proposed combined aggregate grading unless this
requirement is waived by the resident engineer. Note that Section 90-2.02C,
Aggregate, of the Standard Specifications includes aggregate requirements for minor
concrete and specifically excludes certain aggregate requirements in Section 90-1,
General, of the Standard Specifications.
Note that Section 90-2.02D, Water, of the Standard Specifications includes water
requirements for minor concrete and specifically excludes certain water requirements
in Section 90-1, General, of the Standard Specifications.
Production requirements for minor concrete are contained in Section 90-2.02E,
Production, of the Standard Specifications. Note that these requirements specifically
exclude certain sections of proportioning, mixing, and transporting concrete
requirements in Section 90-1, General, of the Standard Specifications.
Ensure that a certificate of compliance is provided for minor concrete and that each
load is accompanied by a weighmaster certificate with the specified information. Refer
to Section 90-2, Minor Concrete, of the Standard Specifications for additional
information on minor concrete.
Be sure to review any contract item specifications that require minor concrete as they
may have additional or modified concrete requirements.
4-9003 4-9003 Rapid Strength Concrete
Rapid Strength The general provisions of Section 90-1, General, of the Standard Specifications
Concrete apply to rapid strength concrete (RSC) unless otherwise specified. Similarly, guidance
contained in Section 4-9001, General, of this manual is applicable to RSC unless
otherwise stated.
If RSC is proportioned volumetrically, the following additional guidance will apply:
Ensure that each volumetric mixer is calibrated prior to beginning production
work.
Ensure that certificates of compliance are provided for each delivery of aggregate,
cementitious material and admixtures used in calibration tests and that the material
sources are the same as those that will be used for the planned work.

4-90.12 Concrete
Ensure that weighmaster certificates are provided for cement as required in Section
90-3.01C(4), Weighmaster Certificate, of the Standard Specifications.
Ensure that aggregate moisture test results, log of production data and test samples
of freshly mixed concrete for uniformity testing are submitted.
Ensure that the contractor measures aggregate moistures every 2 hours during
production and that the information is being submitted at the end of each
production shift.
Ensure that production data is provided at the end of each production shift in the
format specified.
Ensure that the contractor maintains a witness scale at the production site
throughout the production period. When concerns arise, accuracy checks can be
made using the witness scale. Recalibration of proportioning devices may also be
performed with the witness scales. Contact the district's weights and measure
coordinator to witness the accuracy checks, recalibrations, and spot calibrations
(cement proportion system only).
Ensure that volumetric mixers comply and operate with the requirements specified
in Section 90-3.02B(3) Mixer Requirements, of the Standard Specifications.
Check for uniformity by measuring penetration with California Test 533, Method
of Test for Ball Penetration in Fresh Portland Cement Concrete. Ensure
penetration comparisons are made on two test samples of mixed concrete from the
same batch or volumetric mixer load. Any difference in readings must be within
the specified tolerance.
Ensure that RSC is properly cured. If using a cement other than portland cement,
the RSC is to be cured as recommended by the cement manufacturer. The method
of curing must be authorized before starting construction.
Where volumetric mixer calibration is performed more than 100 miles from the project
limits, ensure that the specified deduction amount is taken for each calibration session.
4-9004 Precast Concrete 4-9004
The general provisions of Section 90-1, General, of the Standard Specifications Precast Concrete
apply to precast concrete unless otherwise specified. Similarly, guidance contained in
Section 4-9001, General, of this manual is applicable to precast concrete unless
otherwise stated.
Ensure that expansion test data is submitted with the mix design when required
under Section 90-4.02, Materials, of the Standard Specifications.
Ensure that a trial batch and prequalification of the materials, mix proportions,
mixing equipment and procedures are performed if precast concrete is not
manufactured at an established precast concrete plant.
Review precast concrete specification requirements and note any special
requirements including specified exceptions to those of general concrete.

Concrete 4-90.13
Review specifications and this manual concerning precast concrete items of work
to determine method of acceptance. Pay particular attention to which precast items
will receive source inspection as opposed to those which will be inspected in the
field.
Ensure certificates of compliance, signed by the concrete manufacturer, are submitted
for cementitious materials used in purchased precast concrete products.
Review payment provisions within the specifications based on the contract item
number of the precast concrete element. Associated guidance may be found in this
manual in the corresponding section (e.g., Section 4-51, Concrete Structures, of this
manual) or Bridge Construction Records and Procedures manual.
4-9005 4-9005 Self-Consolidating Concrete

Self-Consolidating Self-consolidating concrete (SCC) is defined as flowing concrete that is capable of
Concrete spreading to a level state without segregation and without the use of internal or external
vibration.
The general provisions of Section 90-1, General, of the Standard Specifications
apply to self-consolidating concrete unless otherwise specified. Similarly, guidance
contained in Section 4-9001, General, of this manual is applicable to self-
consolidating concrete unless otherwise stated.
SCC may only be used where the specifications allow, such as for precast concrete.
Ensure that placement procedures are included with the proposed mix design
submittal before placement of SCC. Ensure a trial batch test report is submitted
including test results for the tests specified in Section 90-5.01D(3),
Prequalification of Mix Design, of the Standard Specifications.
Ensure that the aggregate gradings to be used are provided as an informational
submittal.
Where the contract specifies, ensure that an acceptable mock-up is placed and
evaluated in accordance with Section 90-5.01D(4), Mock-up, of the Standard
Specifications prior to placing SCC for production work.
Ensure the contractor is performing specified quality control sampling and testing
for the SCC throughout production operations.
Perform acceptance testing of SCC in conformance with specified requirements.
4-9006 4-9006 Lightweight Concrete
Lightweight Concrete The general provisions of Section 90-1, General of the Standard Specifications apply
to lightweight concrete unless otherwise specified. Similarly, guidance contained in
Section 4-9001, General, of this manual is applicable to lightweight concrete unless
otherwise stated.

4-90.14 Concrete
Review contract requirements and determine which concrete elements require
lightweight concrete.
Ensure that prequalification data or reports and proposed mix design are submitted
far in advance of placing lightweight concrete. Discuss these requirements with the
contractor early in the contract.
Ensure that test samples of lightweight aggregates for each grading are taken and
evaluated. The mix design submittal needs to include written verification that
arrangements have been made for obtaining test samples of these aggregates.
Coordinate aggregate sampling with the district materials engineer and METS.
Ensure that lightweight concrete acceptance sampling and testing are performed
for penetration, air content, and compressive strength.
Ensure that unit weight testing of lightweight concrete is performed as prescribed
throughout production operations.

Concrete 4-90.15
Section 91 Paint Section 91

Paint
4-9101 General 4-9101
Section 91, Paint, of the Standard Specifications, covers material requirements for General
paint. Painting requirements and types of paint to be used in specific applications are
included in Standard Specification sections that require surfaces to be painted.
Verify that Form CEM-3101, Notice of Materials to Be Used, includes paint. Refer Before Work
to Section 6-202, Responsibilities for Acceptance of Manufactured or Fabricated Begins
Materials and Products of this manual for additional information.
Ensure the Office of Materials Engineering and Testing Services has inspected the During the Course
paint. of Work
Ensure that the paint is packaged and labeled as required in the specifications.
Inspect the paint in accordance with Section 6-2, Acceptance of Manufactured or
Fabricated Materials and Products, in this manual.
Take samples of the paint in accordance with the tables in Section 6-1, Sampling
Types and Frequencies, and with Section 6-2 in this manual.
Measurement and payment clauses are included in the various Standard Measurement and
Specification sections or special provisions that discuss the application of paint. Payment

Paint 4-91.1
Section 92 Asphalts
4-9201 General
4-9201A Performance Grade Asphalt
4-9201B Asphalt Rubber Binder
4-9201C Certification Program for Suppliers of Asphalt
4-9201D Quality Assurance
4-9202A Devices for Measuring Asphalt Volume
4-9202B Tack Coat
4-9203A Plant Operations
4-9203B Pavement Operations
4-9204A Acceptance Test Results
4-9204B Stop Production
4-9204D Compensation Adjustments for Price Index Fluctuation

Asphalts 4-92.i
Section 92 Asphalts Section 92

Asphalts
4-9201 General 4-9201
Asphalt, as defined in Section 92, Asphalts, of the Standard Specifications, is also General
referred to as asphalt binder or paving asphalt. Asphalt is used in hot mix asphalt, in
asphalt-treated permeable base, as pre-coating for aggregate used in seal coats, and as a
tack coat. At normal ambient temperatures, asphalt is a solid and must be heated before
it is mixed with aggregates or is applied as tack coat.
A contracts special provisions may specify the type of asphalt to be used.
Construction of Hot Mix Asphalt Pavements, published by the Asphalt Institute,
contains information on the uses of various types of asphalts and the design and
production of hot mix asphalt.
4-9201A Performance Grade Asphalt
Performance-grade asphalts and performance-grade polymer-modified asphalts are
selected to meet expected climatic conditions as well as traffic speed and volume
adjustments. Performance-grade asphalt binders and performance-grade polymer-
modified asphalt binders are tested to meet physical properties directly related to field
performance of the pavement at extreme temperatures. An asphalt binder specified as
performance grade PG 64-10 has the physical properties needed for field performance
of pavement at an average 7-day maximum pavement temperature of 64C and at a
minimum pavement temperature of -10C.
Because of heavy traffic, the performance-grade asphalt binder specified for a climate
region of the state may be bumped a grade. The pavement climate map is available
on the Office of Pavement Engineering website:
http://www.dot.ca.gov/hq/maint/Pavement/Offices/Pavement_Engineering/PDF/P
avement_Climateregions_100505.pdf
Performance-grade asphalt information is available on the Office of Pavement

Engineering website:
http://www.dot.ca.gov/hq/maint/Pavement/Offices/Pavement_Engineering/PG_Bi
nder.html
4-9201B Asphalt Rubber Binder

Only two performance-grade asphalt binder grades are used as the base binder for
asphalt rubber binder (ARB). Typically, the ARB base binder chosen for a project will
be an asphalt grade less than what is specified for a Caltrans pavement climate region
because of the additional binder stiffness provided by the crumb rubber modifier.

Asphalts 4-92.1
4-9201C Certification Program for Suppliers of Asphalt
The Certification Program for Suppliers of Asphalt specifies requirements and
procedures to help ensure that quality asphalt is produced for Caltrans projects. This
certification program is system-based and incorporates reviews and statistical
evaluations of a suppliers product and testing program. The certification program also
includes historical data analysis of supplier and Caltrans random testing of producer-
supplied samples, as well as test results from quality assurance samples taken at project
sites.
4-9201D Quality Assurance
The Caltrans quality assurance program specifies that acceptance samples taken at
project sites must be used for acceptance of asphalt. For asphalt acceptance sampling,
the plant inspector and the hot mix asphalt paving inspector have to be qualified on
Appendix D, Bituminous Materials, of California Test 125, Method for Sampling
Highway Materials and Products Used in the Roadway Structural Sections. Refer to
the Independent Assurance Manual: Procedures for Accreditation of Laboratories and
Qualification of Testers for California Test 125 qualification.
Asphalt binder and tack coat are very hot, so for safety, the Caltrans inspector must
only witness the contractor obtaining the necessary asphalt samples before taking
control of the samples.
Before Work Begins Section 92, Asphalts, of the Standard Specifications requires the contractor to
comply with the Certification Program for Suppliers of Asphalt. Perform the following
before work begins:
Verify that Form CEM-3101, Notice of Materials to Be Used, includes asphalt.
Verify that the asphalt binder supplier is on the Caltrans approved supplier list.
If the asphalt supplier is not on the Caltrans approved supplier list, notify the
contractor that before use, asphalt binder samples must be taken from each
truckload and tested in accordance with Section Q, Requirements for Suppliers
Supplying Asphalt Without a Certificate of Compliance, of the Certification
Program for Suppliers of Asphalt.
4-9202A Devices for Measuring Asphalt Volume
Ensure that the contractor properly equips delivery trucks, storage tanks, and hot mix
asphalt plants with the specified devices for measuring asphalt volumes. Refer to the
Materials Plant Quality Program for detailed requirements.
4-9202B Tack Coat
When asphalt is used for tack coat:
Review Tack Coat Guidelines for information about application rates and general
information. Tack Coat Guidelines are available at:
Ensure that the contractor will use a distributor truck that meets the requirements
of Section 93-1.03C [93-1.03], Application, of the Standard Specifications.

4-92.2 Asphalts
When tack coat is a contract item, inform the contractor at the prepaving
conference that measurement will be made by scale weights or, if the engineer
allows, by volumetric measurement.
Review the contracts measurement and payment clauses, and determine whether
tack coat is included in other contract bid items or is paid separately
Material acceptance sampling frequencies and testing frequencies shown in Section During the Course
6-1, Sample Type and Frequencies, of this manual are not the same. Ship samples to of Work
Materials and Engineering Testing Services (METS) at the minimum testing frequency
shown in Section 6-1, and store the remaining samples in case additional acceptance
testing is necessary.
The contractor may request that the engineer split acceptance samples. If requested,
witness the contractor splitting samples into four parts. Test one, provide one to the
contractor, and store two for dispute resolution.
Section 39-1.06, Dispute Resolution, of the Standard Specifications contains a
dispute resolution process for hot mix asphalt. The dispute resolution process allows
the contractor to dispute any acceptance test result within 5 days of receiving the result.
It is important to split sample materials and for Caltrans to take possession of and store
the split samples. If a dispute occurs, the independent third party laboratory uses split
samples of disputed material for evaluation. To be used by the independent third party,
split samples must be in the possession of and stored by Caltrans. Stored split samples
may be discarded 5 days after the contractor has received the associated acceptance test
result.
4-9203A Plant Operations
The plant inspector takes the following steps related to asphalt used in hot mix asphalt:
Ensures that the asphalt binder supplier is on the Caltrans approved supplier list or
that asphalt binder samples have been taken from each truckload and tested in
accordance with Section Q, Requirements For Suppliers Supplying Asphalt
Without A Certificate of Compliance, of the Certification Program for Suppliers
of Asphalt.
Notifies the contractor and engineer immediately if asphalt binder testing has not
been completed for a supplier not on the approved suppliers list.
Unless the resident engineer approves, does not allow use of asphalt from a
nonapproved supplier before receiving Caltrans test results.
Ensures that certificates of compliance are received with each truckload of asphalt
binder delivered to the plant. Confirms that the source of asphalt is the same source
as shown on Form CEM-3101, Notice of Materials to Be Used, and for hot mix
asphalt that the same source is shown on Form CEM-3511 Contractor Job Mix
Formula Proposal.
Each certificate of compliance must show:
1. Name and location of supplier.
2. Grade of the asphalt.
3. The date and time of shipment.

Asphalts 4-92.3
4. A unique shipment number, such as a bill of lading or manifest number.
5. A statement confirming that the transport vehicle was checked before loading
and was found acceptable for the asphalt shipped.
The certificate of compliance must include the following wording:
[Supplier name] hereby certifies that the asphalt product
accompanying this certificate was produced in accordance with the
California Department of Transportations Certification Program
for Suppliers of Asphalt and that this product complies with all
requirements of the applicable specifications for the asphalt product
identified on this document. I certify by my signature that I have the
authority to represent the supplier providing the accompanying
asphalt product.
Notifies the resident engineer immediately if there appears to be a change in the
source of asphalt binder.
Witnesses the contractor obtaining split samples of asphalt binder.
Ensures that the contractor samples in accordance with California Test 125,
Methods for Sampling Highway Materials and Products Used in the Roadway
Samples asphalt binder at the frequency shown in Section 6-1, Sample Type and
To comply with the requirements of the Caltrans quality assurance program,
samples asphalt binder in the presence of the engineer and ensures that the sample
is in the possession of and stored by Caltrans for proper chain-of-custody control.
Completes Form TL-0101, Sample Identification Card, for each sample of
asphalt binder taken, following the directions printed in this forms book and as
directed in Section 6-2, Acceptance of Manufactured or Fabricated Materials and
Products, of this manual. Ships the random samples to METS for testing as
detailed in the section.
4-9203B Paving Operations
The paving inspector takes the following steps related to asphalt used as tack coat:
Ensures that the asphalt supplier is on the Caltrans approved supplier list or that
asphalt samples have been taken from each truckload and tested in accordance
with Section Q, Requirements For Suppliers Supplying Asphalt Without a
Certificate of Compliance, of the Certification Program for Suppliers of Asphalt.
Notifies the contractor and resident engineer immediately if asphalt binder testing
has not been completed for a supplier not on the approved suppliers list.
Unless the resident engineer approves, does not allow use of asphalt from a non-
approved supplier before receiving Caltrans test results.
Ensures that the distributor truck used for tack coat complies with the requirements
in Section 93-1.03C [93-1.03] Application, of the Standard Specifications.
When tack coat is a contract item, it is good practice to measure the volume and
temperature of asphalt in the distributor truck before discharge and to make a
volumetric and temperature measurement whenever a partial load leaves the work.
These actions result in a good check against scale weights, and the second

4-92.4 Asphalts
measurement may be used if the contractor fails to submit a weight ticket for the
unused asphalt.
Ensures that tack coat is applied properly by following the application section in
Tack Coat Guidelines.
Witnesses the contractor obtaining split samples of asphalt used as tack coat and
ensures that the contractor samples in accordance with California Test 125,
Roadway Structural Sections.
Samples asphalt used for tack coat at the frequency shown in Section 6-1, Sample
Type and Frequencies, of this manual.
To comply with the requirements for the quality assurance program, asphalt
samples must be taken by the contractor, witnessed by Caltrans, and be in the
possession of and stored by Caltrans for proper chain-of-custody control.
Completes Form TL-0101, Sample Identification Card, for each sample of tack
coat taken, following the directions printed in this forms book and as directed in
of this manual. Ships the random samples to METS for testing as detailed in the
section.
Ensures that certificates of compliance are received with each truckload of tack
coat used in the work. Confirms that the source of tack coat is the same source as
shown on Form CEM-3101, Notice of Materials to Be Used. Each certificate of
compliance must show:
1. Name and location of supplier.
4. A unique shipment number, such as a bill of lading or manifest number.
5. A statement confirming that the transport vehicle was checked before loading
and was found acceptable for the asphalt shipped.
The certificate of compliance must include the following wording:
[Supplier name] hereby certifies that the asphalt product
accompanying this certificate was produced in accordance with the
California Department of Transportations Certification Program
for Suppliers of Asphalt and that this product complies with all
requirements of the applicable specifications for the asphalt product
identified on this document. I certify by my signature that I have the
authority to represent the supplier providing the accompanying
asphalt product.
Notifies the resident engineer immediately if there appears to be a change in the
source of tack coat.
4-9204 Contract Administration 4-9204
The resident engineer ensures that the asphalt used in the work meets the specifications Contract
and that payment adjustments are made when required. The resident engineer performs Administration
the following contract administration to ensure asphalt quality.

Asphalts 4-92.5
4-9204A Acceptance Test Results
Ensure that acceptance testing is being performed at the minimum frequencies shown
in Section 6-1, Sample Type and Frequencies, of this manual. Record test results on
form CEM-3701 Test Result Summary, so that minimum acceptance testing
frequency is easily verified and documented.
If any acceptance test result is outside the specified limits listed in Section 92-1.02
[6-1.04] Materials, of the Standard Specifications, notify the contractor in
writing that the material may be defective. Ask the contractor if corrective action
has been taken based on quality control test data for the time period the acceptance
sample was taken. Attach a copy of the test result indicating that material is outside
specification limits.
For hot mix asphalt, the contractor may dispute an acceptance test result within 5
days of receiving the test result by notifying the engineer in writing, according to
Section 39-1.06, Dispute Resolution, of the Standard Specifications. Try to
resolve testing or sampling issues at the project level before involving an
independent third party.
If an acceptance test is outside the acceptance specification limits, verify that
METS is testing the most recent acceptance sample for compliance with the
specifications. When there are failing acceptance tests, do not follow minimum
acceptance sample frequencies shown in Section 6-1, Sample Type and
Frequencies, of this manual for conducting the next acceptance test.
4-9204B Stop Production
For hot mix asphalt, if two consecutive acceptance test results do not comply with
the specifications, notify the contractor to stop the work. Inform the contractor in
writing that the material represented by the two out-of-specification acceptance
tests is defective according to Section 39-1.05 [6-1.04], Acceptance Criteria, of
the Standard Specifications, and that the defective material is rejected and must be
removed or remedied in accordance with Section 5-1.30 [5-1.09], Noncompliant
and Unauthorized Work, of the Standard Specifications. Attach a copy of the test
result indicating that material is outside specification limits.
When the work has been stopped because two consecutive acceptance test results
do not comply with the specifications, require the contractor to:
1. Provide written documentation of corrective action taken to correct the cause
of out-of-specification material.
2. Take samples in the engineers presence, and split the samples into four parts.
To avoid placing additional out-of-specification material, do not take samples
on an active project.
3. Test one part of the split sample for compliance with the specifications to
verify that the corrective action taken by contractor has corrected any problem.
If both Caltrans and contractors test results are within specifications and are
not significantly different (that is, test results within multi-laboratory
precision), the contractor has demonstrated compliance with the specifications
and may resume production.
As above, the contractor may dispute the second out-of-specification acceptance
test result within 5 days of receiving the test result by notifying the engineer in

4-92.6 Asphalts
writing in accordance with Section 39-1.06, Dispute Resolution, of the Standard
Specifications. Try to resolve testing or sampling issues at the project level before
involving an independent third party.
When two consecutive acceptance tests are outside the acceptance specification
limits, notify METS to test all samples collected between the two out-of
specification acceptance tests. Start testing samples backward from the first out-of-
specification acceptance test until the test result obtained is within specification
limits. Notify the contractor in writing of additional acceptance tests results
conducted to ascertain the extent of the defective material. Tell the contractor that
material represented by out-of-specification material is defective and rejected and
must be removed or remedied in accordance with Section 5-1.30 [5-1.09],
Noncompliant and Unauthorized Work,, of the Standard Specifications.
The contractor may notify the engineer in writing that defective material will be
remedied or left in place at reduced compensation. Consult with the district
materials engineer and the Pavement Program, Office of Asphalt Pavements about
acceptance of the contractor-proposed remedy. Document material remediation or
reduced pay by issuing a contractor-requested change order, including the action
taken on final project materials certification. Refer to Section 6-106, Project
Materials Certification, of this manual for material certification and the
requirement to list all nonconforming materials.
For certificates of compliance for asphalt:
Verify that the source and grade of asphalt used as asphalt binder or tack coat has
not changed during the course of the work, except with engineers approval.
Verify that the appropriate number of certificates of compliance have been
received to cover the quantities of asphalt binder and tack coat used in the work.
Calculate the tons of asphalt binder required based on the percentage of binder in
the hot mix asphalt placed, and compare the result with the amount covered by the
certificates of compliance. For tack coat summarize the daily tons used and
compare to the amount covered by the certificates of compliance.
Document action taken on final project materials certification if certificates of
compliance are missing. Refer to Section 6-105, Project Materials Certification,
of this manual for material certification and the requirement to list all non-
conforming materials.
4-9204D Compensation Adjustments for Price Index Fluctuation
For compensation adjustments for price index fluctuation, perform the following for
asphalt binder and asphalt used as tack coat:
Process a change order to allow for payment adjustmentsincrease or decrease
based on total estimated potential payment adjustment.
Calculate the amount of paving asphalt used monthly in hot mix asphalt and tack
coat.
If the index for the current month has fluctuated by more than 5 percent from the
index for the month in which the bid opening for the project occurred, calculate the
asphalt payment adjustment including the adjustment on the monthly estimate.

Asphalts 4-92.7
Measurement and Payment clauses for asphalt are found in the sections covering the work in which
Payment asphalt is used. For details on asphalt measurement, review Section 92-1.04
Payment, of the Standard Specifications.
When making volumetric measurements of asphalt used as tack coat, measure the
temperature, and apply the proper factors for converting volume to mass.
If applicable, when asphalt is used in hot mix asphalt and dispute resolution
determines the contractors test results are correct, Caltrans pays the independent
third party testing costs. When the contractors test results are correct, the resident
engineer adjusts payment and contract time under Section 8-1.07 [8-1.09],
Delays, of the Standard Specifications.

4-92.8 Asphalts
Section 93 Liquid Asphalts Section 93

Liquid Asphalts
4-9301 General 4-9301
Liquid asphalt is used for penetration treatment of untreated material or as a prime coat. General
The application of liquid asphalt will not contribute to the strength of the treated base.
Penetration treatment consists of an application of liquid asphalt to an underlying
compacted roadbed material. It is used principally as a surface stabilizing agent on light
traffic detours, medians, and parking areas and as a dust palliative.
Prime coat is used to prepare an untreated base for hot mix asphalt (HMA) surface
course or treated permeable base. The purpose of prime coat is to reduce the raveling or
displacement of underlying material, reduce the likelihood of erosion of fines, and
enhance the adherence of thin-lift HMA to base.
In addition to the specifications for liquid asphalts in Section 93, Liquid Asphalts, of
the Standard Specifications, refer to the requirements for liquid asphalts in Section 37,
Bituminous Seals, of the Standard Specifications and project special provisions
covering work in which liquid asphalts are used.
Begins
Verify that Form CEM-3101, Notice of Materials to Be Used, includes liquid
asphalt. Refer to Section 6-202, Responsibilities for Acceptance of Manufactured
or Fabricated Materials and Products, of this manual for additional information.
Examine the distributor truck to ensure it meets the specified requirements.
When required, ensure the contractor properly equips delivery trucks, storage
tanks, and spreading equipment with the specified devices for measuring the
volume of liquid asphalt.
of Work
Designate the area that will receive the surface treatment using liquid asphalt.
Determine prime coat quantities under the specifications for liquid asphalt.
If liquid asphalt is used before sampling and testing, obtain a certificate of
compliance containing the specified information.
Check the temperature of the liquid asphalt to ensure it is within the specified
range when applied.
Before applying liquid asphalt, ensure the surface to be treated is clean and dry.
Ensure that liquid asphalt is not sprayed outside designated areas and that
bituminous material does not drip from distribution equipment.

Liquid Asphalts 4-93.1
Ensure prime coat is not applied to a geosynthetic pavement interlayer.
Check the application rate of liquid asphalt to ensure the designated rate. After the
first few hundred feet of application, check the initial spread rate. The frequency
for checking the spread rate will depend on the accuracy and consistency of the
first few checks. Record the spot-check results and the overall daily spread rate in
the daily report.
Sample liquid asphalt in accordance with the table in Section 6-1, Sample Types
and Frequencies, and the instructions in Section 6-203C, Materials Accepted on
the Basis of a Certificate of Compliance, of this manual.
Measurement and Section 93, Liquid Asphalts, of the Standard Specifications, contains provisions for
Payment payment. Payment clauses for liquid asphalts are in the various sections covering work
in which liquid asphalts are used.
If there is no bid item for liquid asphalt, the payment is included in the payment for the
work involved.
Determine pay quantity for liquid asphalt by collecting initial load slips or weight
certificates from each load of liquid asphalt and, if partial loads were used, collect
weigh-back slips or certificates to determine pay quantities.
It is a good practice, before the asphalt is discharged, to measure the volume in the
distributor truck and to make this volumetric measurement again whenever a partial
load leaves the work. These actions result in a good check against scale weights, and
the second measurement may be used if the contractor fails to submit a weight ticket
for the unused asphalt.
When making volumetric measurements, measure the temperature and apply the
proper factors for converting volume to mass.

4-93.2 Liquid Asphalts
Section 94
Section 94 Asphaltic Emulsions Asphaltic
Emulsions
4-9401 General 4-9401

Asphaltic emulsions are described in Section 94, Asphaltic Emulsions, of the General
Standard Specifications. They are used for bituminous seals and tack coat. Asphaltic
emulsions are also used for other purposes, such as curing seals for lime stabilization
and cement-treated base and for coating the surface of cement-treated permeable base
to facilitate measuring the thickness of concrete pavement.
In addition to the specifications for asphaltic emulsions in Section 94, of the Standard
Specifications, refer to the requirements for asphaltic emulsions in other sections of the
Standard SpecificationsSections 18, 24, 27, 37, 39, 40, 66, 86covering work in
which asphaltic emulsions are used.
Refer to the Tack Coat Guidelines for more information at the following address:

Begins
Verify that Form CEM-3101, Notice of Materials to Be Used, includes asphaltic
emulsion. Refer to Section 6-202, Responsibilities for Acceptance of
information.
Examine the distributor truck to ensure it meets the specified requirements.
Ensure the contractor properly equips delivery trucks, storage tanks, and spreading
equipment with specified devices for measuring volumes of asphaltic emulsion.
Verify the receipt of a certificate of compliance.
If the polymer content of polymer modified asphaltic emulsion is determined
under California Test Method 401, verify that the contractor has submitted a
sample to the Office of Engineering Materials and Testing Services.
of Work
If asphaltic emulsion is used before sampling and testing, obtain a certificate of
compliance containing the specified information.
Check the temperature of the asphaltic emulsion to ensure it is within the specified
range when applied.
Before asphaltic emulsion is applied, ensure the surface to be treated is clean and
dry.

Asphaltic Emulsions 4-94.1
Ensure that asphaltic emulsion is not sprayed outside designated areas and that
bituminous material does not drip from distribution equipment.
Check the application rate of asphaltic emulsion to ensure the designated rate.
After the first few hundred feet of application, check the initial spread rate. The
frequency for checking the spread rate will depend on the accuracy and
consistency of the first few checks. Record the spot-check results and the overall
daily spread rate in the daily report.
Sample asphaltic emulsion in accordance with the table in Section 6-1, Sample
Types and Frequencies, and the instructions in Section 6-203C, Materials
Accepted on the Basis of a Certificate of Compliance, of this manual. If water has
been added to the asphaltic emulsion, note on Form TL-0101, Sample
Identification Card, the ratio of added water to the total mixture.
Measurement and Section 94, Asphaltic Emulsions, of the Standard Specifications, does not contain
Payment provisions for payment. Asphaltic emulsion is paid for as part of the item of the work,
unless a separate bid item requires payment by ton measured in accordance with
Section 93, Liquid Asphalts, of the Standard Specifications. Asphaltic emulsion is
subject to adjustment for price index fluctuations in accordance with Section 9-1.07 of
Obtain weight tickets for deliveries of asphaltic emulsion.
It is a good practice, before the asphaltic emulsion is discharged, to measure the
volume in the distributor and to make this volumetric measurement again whenever a
partial load leaves the work. These actions result in a good check against scale weights,
and the second measurement may be used if the contractor fails to submit a weight
ticket for the unused asphaltic emulsion.
When the specifications provide for additional water to be mixed with asphaltic
emulsion, it is necessary to determine the mass of asphaltic emulsion without the mass
of the added water. Delivery weight tickets will show the mass of the emulsion before
water was added and the total mass of asphaltic emulsion and added water.
When making volumetric measurements, measure the temperature and apply the
proper factors for converting volume to mass.
In a partial load using volumetric measurements, the procedure for determining the
mass of asphaltic emulsion with added water is as follows:
Measure the volume and temperature of the mixture in the partial load. Calculate
the volume of emulsion in the original load at the temperature of the partial load.
Convert tons of added water in the original load to gallons.
Based on the final temperature reading, calculate the ratio of the volume of
asphaltic emulsion to the total volume in the original load.
Calculate the volume, at 60F of emulsion in the partial load.
Determine the mass of emulsion remaining in the partial load.

4-94.2 Asphaltic Emulsions
Example:
Assume the following:
Weight ticket shows 10.00 tons of emulsion and 5.00 tons of added water.
(Total = 15 tons) Temperature at the time of weighing was 131F.
534 gallons of emulsion and added water remain in the partial load. At the time of
measuring, the temperature of the mixture is 131F.
Using these assumptions, calculate as follows:
1. Volume of emulsion at 131F in the original load:
10.00 tons x 240 gallons/ton at 60F 0.98225 (see the conversion table in
Section 94-1.04 [94-1.07], Payment, of the Standard Specifications) = 2443
gallons
2. Volume of added water in the original load:
(5 tons x 2000 lbs.) / 8.33 lb./gallon = 1200 gallons
3. Ratio of volume of emulsion at 131F to total volume in the original load:
2443/3643 = 0.671
4. Volume at 60F of emulsion in the partial load:
0.671 x 534 x 0.98225 = 352 gallons
5. Mass of emulsion in partial load:
352 240 = 1.46 tons
6. Emulsion used on the project:
10.00 1.46 = 8.54 tons

Asphaltic Emulsions 4-94.3
Section 95 Epoxy Section 95

Epoxy
4-9501 General 4-9501
Epoxies specified under Section 95 of the Standard Specifications are two-component General
adhesives used for a number of applications, including the following:
Bonding pavement markers to pavement
Pressure grouting cracks in concrete
Bonding new concrete to old concrete
As a binder to produce epoxy concrete and epoxy mortar
Sealing inductive loops
Bridge Construction Memo 135-1.0 of Bridge Construction Records and Procedures
contains additional information on epoxy.
Verify that Form CEM-3101, Notice of Materials to Be Used. includes epoxy. Refer Before Work
to Section 6-202, Responsibilities for Acceptance of Manufactured or Fabricated Begins
of Work
Determine that the epoxy used for application type is the material specified,
and obtain necessary certificates of compliance.
Make sure the epoxy is packaged and labeled as the specifications require for its
intended use.
Payment for epoxy is included in the contract unit price for items of work in which Measurement and
epoxy is specified. Payment

Epoxy 4-95.1
Chapter 5-
Contract Administration
Chapter 5 Contract Administration
Section 0 Conduct of the Work

5-001 Resident Engineers Pending File
5-002 Preconstruction Conference With Caltrans Personnel
5-003 Preconstruction Conference With the Contractor
5-004 Resident Engineers Daily Report
5-005 Assistant Resident Engineers Daily Report
5-006 Maintenance Reviews
5-007 Federal Highway Administration Involvement in Contract
Administration
5-007A Federal Highway Administration Involvement on High-Profile ProjectsN
5-007B Federal Highway Administration Involvement on Delegated ProjectsE

Conduct of the Work 5-0.i
Section 0
Section 0 Conduct of the Work Conduct of the
Work
5-001 Resident Engineers Pending File 5-001
For guidance and information, the project engineer assembles and forwards to the Resident
resident engineer a set of letters, memoranda, and other data titled resident engineers Engineers Pending
pending file. This file must contain all pertinent information, comments, and advice File
that may be useful on the specific project to which the resident engineer is assigned. A
detailed list of the information that should be included in the resident engineers
pending file is contained in Chapter 15, Final Project Development Procedures,
Section 2, Construction, of the Project Development Procedures Manual. The file
usually includes the following:
Memoranda between programs, service centers, and districts, especially comments
about preliminary reports and dummy special provisions.
Special requirements that are enumerated in the freeway agreement and that may
require action by the resident engineer. For instance, a special requirement may be
notification of the date work begins on locally owned facilities.
Memoranda about materials from the Office of Materials Engineering and Testing
Services or the district materials unit.
Copies of right-of-way agreements that require work to be done under the contract
or that affect the projects construction.
Copies of Notice to Owner, which covers utilities and their completion status.
Copies of the partially completed Form FA-2134, Utility Service Request, which
the resident engineer will use for the installation and coordination of utility
services. Forward this form to the Division of Accounting and the district signals
and lighting coordinator. If there is no form and the plans have utilities, contact the
district signals and lighting coordinator to ensure proper procedures are followed.
This form is available on the Division of Accountings intranet website.
Copies of correspondence giving the background of any unusual project features.
All pertinent engineering data previously prepared in connection with the project.
This data should include the project engineers quantity calculations.
Copies of the project report, preliminary report, and materials reports.
A copy of the materials information as given to prospective bidders.
A copy of the environmental document, including any permits, agreements, and
commitments.
A separate summary of all environmental commitments, as well as any special
instructions or explanations for meeting permit and other legal requirements and
commitments to other agencies.

Conduct of the Work 5-0.1
A copy of the risk register that documents possible construction issues. More
information can be obtained from the Project Risk Management Handbook: A
Scalable Approach, located at:
http://www.dot.ca.gov/hq/projmgmt/guidance_prmhb.htm
The resident engineer must consult with the project engineer who forwarded the
file if the file has any of the following problems:
1. Information appears to conflict.
2. Information appears to be missing.
3. Additional information or explanations are required.
5-002 5-002 Preconstruction Conference With Caltrans Personnel
Preconstruction Before the start of construction, the resident engineer should review the job with the
Conference With following people:
Caltrans Personnel Project manager
Project engineer
Right-of-way agent
Hydraulics engineer
Traffic engineer
Materials engineer
Maintenance superintendent
Environmental construction liaison
Construction stormwater coordinator
Environmental planner
Public information officer
Landscape architect (if landscape work is included in the project)
Local agencies and communities
Affected utility companies
Others who may have a direct interest in the project
At this preconstruction stage, such a review will significantly aid in explaining the
reasons for certain design features such as the following:
Right-of-way obligations
Signing and traffic handling difficulties
Materials sites
Selected material
Foundation treatment
Potential slides
Environmental commitments

5-0.2 Conduct of the Work
Potential drainage and maintenance problems, including erosion control and water
pollution
The resident engineer must ensure implementation of environmental mitigation
measures included in the project approval. To be fully informed of the environmental
mitigation measures, commitments, or concerns on projects that include environmental
commitments, the resident engineer must review the environmental commitment
record and meet with the assigned environmental staff. At the same time, the resident
engineer can reach agreement on both the assistance required from environmental
specialists and also the tentative schedule and plan for environmental monitoring.
On projects involving structure construction personnel, preconstruction conferences are
mandatory and should be held as soon as possible after bids are opened. The
conferences should include structure and construction engineers, the resident engineer,
and the structure representative. These personnel should reach agreement regarding the
following items:
Office facilities. The district must provide suitable office space and furniture for
both district and structure field personnel. When the office facilities are trailers, the
resident engineer and structure representative should occupy the same trailer.
When the office facilities are in a building, the engineer and the representative
should occupy adjacent rooms. This arrangement facilitates the assignment of the
structure engineer as acting resident engineer during extended absences of the
assigned resident engineer.
Personnel for the total work. Conference participants must discuss the total work
(both road work and structure work) and take full advantage of instances where
people could be used interchangeably to reduce the number of people on the
project. When the contractors schedule is available, meeting participants must
review the personnel required.
Division of the work. The items should be categorized as road work and structure
work. In some cases, the item may be divided by portions of items or by phases of
the work. Before the start of work, the Office of Structure Construction requires
from the structure representative a written report on this categorization of the work.
5-003 Preconstruction Conferences With the Contractor 5-003
Before the start of work, a conference must be held. Depending on the projects Preconstruction
complexity, more than one conference may be desirable to limit the scope and number Conference With
of individuals attending. The conferences must include the resident engineer and the Contractor
structure representative and may include principal assistants, the construction engineer,
the district construction deputy director, the contractors superintendent, and other key
personnel. Specialists should be included too, such as the district labor compliance
officer and the district safety coordinator, among others. Alternatively, the resident
engineer may cover the respective responsibilities.
When environmental commitments have been made that affect or constrain the
contractors operations, the environmental-construction liaison and other appropriate
environmental specialists should also attend the preconstruction conference with the
contractor.
Meeting participants should discuss, among other items, the following:
Work plans

Equipment to be used
Progress schedule
Layout of job
Labor compliance
Equal employment opportunity
Safety requirements
Environmental commitments and permits
Water pollution control requirements
This discussion affords both parties a common understanding of the proposed work
and the problems and possible solutions that may be expected during the life of the
contract.
The contractor should receive advance notice of the items that will be discussed.
Among other documents, the contractor must bring a copy of the contractors Code of
Safe Practices and a water pollution control plan. The project file must contain a
record of the conferences (or the reason for omitting a conference). Depending on the
conferences complexity, the record can be a relatively complete set of minutes or a
copy of the resident engineers daily report.
The police, fire department, public transportation agency, schools, and other affected
agencies should receive any information developed from the meetings that will affect
these agencies operations.
The list below presents guidelines for the preconstruction conference. These are
reminders only. Items will be included if applicable to a specific project. Also, consider
any previous experience of a particular contractor with Caltrans projects. Further, the
district construction office may have completed some of the items; therefore, those
items need not be included at the conference.
Introduce all participants, including in your introduction statements about each
persons responsibilities for the project.
Discuss superintendence as well as lines of authority for both contractors and
Caltrans personnel. If you have not yet received it, request the written information
required by Section 5-1.16 [5-1.06] Representative, of the Standard
Specifications.
Discuss the subcontracting requirements covered in Section 5-1.13 [8-1.01],
Subcontracting, of the Standard Specifications.
When required by the special provisions, discuss railroad insurance.
Discuss requirements related to labor compliance and equal employment
opportunity. Advise the contractor of the deadlines for submitting payrolls and
other required documents. Also advise the contractor of the contractual and
administrative deductions that will be applied for noncompliance. Provide the
necessary Department-furnished forms and posters.
Review the contracts safety requirements.
Discuss the procedure for inspecting materials, particularly the early submittal of
Form CEM-3101, Notice of Materials to Be Used.

When the contract requires, discuss the contractors quality control plans.
Discuss the requirements for submitting working drawings.
Discuss the progress schedule (if the contract requires). If the contract requires a
critical path method schedule, discuss the provisions for submitting, reviewing,
updating, and revising it. Refer to Section 3-801, Schedule, of this manual.
Discuss weighing procedures, weight limitations, and the Caltrans policy on
overloads. For more information, refer to Section 3-519B, Load Limits, of this
manual.
Advise the contractor of administrative procedures and deadlines for payment for
material on hand. Give the contractor the required Form CEM-5101, Request for
Payment for Materials on Hand.
Discuss the requirements for submitting survey requests and any significant survey
issues.
Review the contract provisions about water pollution control. Discuss the
contractors water pollution control plan.
Review the contract provisions and the environmental commitments record for
environmental permits and agreements. Discuss the contractors plan for
implementing environmental commitments and environmental work windows.
Remind the contractor to submit a program to control water pollution before
beginning work.
Discuss the requirements for handling public traffic.
Discuss any unusual project features.
Remind the contractor of the contractual procedures to follow in the event of
disagreements. Emphasize the necessity for timely written notices. Furnish Forms
CEM-6201D, Initial Potential Claim Record; CEM-6201E, Supplemental
Potential Claim Record; and CEM-6201F, Full and Final Potential Claim
Record.
Discuss the scheduling of utility work. For a discussion of utility preconstruction
conferences, refer to Section 3-518C, Non-Highway Facilities, of this manual.
5-004 Resident Engineers Daily Report 5-004
The following instructions are directed to the resident engineer: Resident Engineers
Daily Report
For each day during the projects life, make a daily report on Form CEM-4501,
Resident Engineers Daily Report/Assistant Resident Engineers Daily Report.
Include any information that may be pertinent even though no activity may have
occurred. For example, such information could include support for determining
working or nonworking days. Include the following in the daily report:
1. Important discussions and agreements with the contractor. Record these on the
day discussed. Give the names of specific persons to whom instructions were
given or with whom agreements were made. If the contractor objects or
comments, note these items too. Actual quotations on significant discussion
points can be useful. Through letters to the contractor, confirm important
verbal instructions. Also refer to Section 5-4, Disputes, of this manual.

2. A general statement about the type of work done. Include the controlling
operation and any facts concerning the works progress.
3. Weather conditions such as maximum and minimum temperatures and
precipitation, among other items. Expand on exceptional weather conditions.
4. Statements of any other important facts pertaining to the contract that are not
specifically covered elsewhere in the contract records.
Keep the report concise, yet include any important information. The report should
not contain routine matters, such as quantities placed, that can be found in other
records.
Promptly send one copy of the daily report to the construction engineer, who will
review the copy. After the review, the construction engineer may discard the copy
or file it until the projects completion, in accordance with district policy. Retain
the original copy with the project records.
5-005 5-005 Assistant Resident Engineers Daily Report
Assistant Resident To report the activity for a contract item, assistant resident engineers must submit a
Engineers Daily report for each contract day. Complete the report on Form CEM-4601, Assistant
Report Resident Engineers Daily Report. Also, use this form for reporting extra work and for
labor compliance. The form contains a narrative portion and a tabular portion.
The narrative portion of the assistant resident engineers report should include
statements about the contractors operation and the activities of the individual
preparing the report. The description of the contractors operation should include the
following:
The location where the work was performed
A brief description of the operation
The quantities placed or the amount of work completed for the day
Significant statements by the contractor
The statement of the assistant resident engineers activities should be sufficient to
demonstrate the performance of duties such as those outlined in Chapter 4,
Construction Details, of this manual. Record observations of contractor compliance
or noncompliance, actions taken, statements made to the contractor, and approvals
given.
Use the tabular portion of Form CEM-4601, to report the following:
Extra work. For details, refer to Section 3-906C, Extra Work, of this manual.
Hours worked by labor and equipment. Provide sufficient detail to permit a review
of the contractors costs in a manner similar to force account. Using the publication
titled Labor Surcharge and Equipment Rental Rates (Cost of Equipment
Ownership), sufficiently identify equipment to enable the determination of
applicable rental rates. Sufficiently identify the labor classification to enable
determination of the appropriate wage rate. Also record the equipments arrival
and departure dates, as well as idle time for breakdowns or other reasons. This
information can be used to make a possible adjustment of compensation due to an
overrun or an underrun of quantities, a change in character, a protest, or a potential
claim. The Labor Surcharge and Equipment Rental Rates book is available on the
Caltrans website at:

http://www.dot.ca.gov/hq/construc/equipmnt.html
The name of the contractor or subcontractor performing the work. When the report
will be used to determine compliance with the contracts labor provisions, you
must include the names or identification numbers of the contractors personnel or
report these separately. However, if the report is not for determining compliance
with the contracts labor provisions, you only need to include in the tabular portion
of the daily report the respective classifications of the work being performed and
the number of hours worked on the date the report covers.
Distribute the assistant resident engineers reports as follows:
Retain the original of all reports in the project files in the field office.
File reports covering extra work according to the procedure in Section 5-102,
Organization of Project Documents, of this manual.
Distribute all other copies in accordance with district policy.
Refer to Section 5-102, Organization of Project Documents, of this manual for
details to consider when establishing a system for handling assistant resident engineers
reports on a specific project.
5-006 Maintenance Reviews 5-006
Keep maintenance superintendents and supervisors informed of the start of work and Maintenance
job progress for all construction projects within the superintendents and supervisors Reviews
maintenance areas. Before the start of construction, send a copy of Form CEM-0101,
Resident Engineers Report of Assignment, to the maintenance region manager.
Provide the maintenance superintendents and supervisors an opportunity to review the
contract with the resident engineer and to conduct a joint field review of the job site
within the first 2 weeks of construction. The intent of this field review is to accomplish
the following:
Discuss the scope of the project.
Coordinate contingency planning for traffic management.
Discuss Caltrans maintenance responsibility as described in Section 3-519,
Maintenance and Protection, of this manual.
Discuss complex construction activities that could affect adjacent maintenance
operations.
Discuss features requiring special attention.
Discuss manufacturers warranties and service instructions.
Schedule regular reviews. When the contract work is 50 percent complete,
schedule at least one review, unless both construction and maintenance
representatives agree the review is unnecessary.
When the project nears 90 percent completion, invite the maintenance superintendent,
supervisor, or both, for a final field review of the project. Ensure this review includes
identifying all items necessary to comply with the construction National Pollutant
Discharge Elimination System permit, Section A, Storm Water Pollution Prevention
Plan, Subsection 7, Stabilization. A copy of the permit is available at the State
Water Resources Control Board website:

http://www.waterboards.ca.gov/water_issues/programs/stormwater/caltrans.s
html
The resident engineer should work closely with the district maintenance personnel to
make minor field adjustments to the project. The project manager must approve any
amendments to the contract plans or specifications that significantly affect project cost,
scope, or schedule.
When the work nears completion and just before contract acceptance, the resident
engineer must notify the maintenance superintendent or supervisor to facilitate the
transfer of maintenance and responsibility from the contractor to Caltrans forces.
5-007 5-007 Federal Highway Administration Involvement in Contract
Federal Highway Administration
Administration When assigned the responsibility for a construction contract, the resident engineer first
Involvement in must determine if it is a federal-aid contract and, if so, the federal-aid classification for
Contract the contract. The resident engineer should review the construction contract and the
Administration resident engineers pending file, and talk to the project manager to determine the
projects federal-aid classification.
Federal Highway Administration (FHWA) funded projects are classified as either high-
profile or delegated projects to indicate their involvement in the project as stated in the
stewardship agreement between FHWA and Caltrans. Information on this stewardship
agreement can be found on the Division of Design website:
http://www.dot.ca.gov/hq/oppd/stewardship/index.htm
Caltrans assigns project numbers to federally funded projects, and Caltrans and FHWA
jointly determine project classifications. Caltrans then adds a suffix N or E to the
end of the project number. Projects with the suffix N are high-profile projects.
Projects with the suffix E are delegated projects.
5-007A Federal Highway Administration Involvement on High-Profile
ProjectsN
Caltrans and FHWA will jointly determine high-profile project responsibilities on
a project-by-project basis and usually as part of the project development team
process. They will establish which project responsibilities will be retained by
FHWA and which will be delegated to Caltrans in a high-profile project
agreement. The resident engineer should receive a copy of the high-profile
project agreement in the resident engineers pending file or from the project
manager. Before the start of construction, the construction senior must review the
agreement with the FHWA transportation engineer and discuss FHWAs
involvement on the project.
The resident engineer is required to submit a copy of the CEM-6303, Final
Acceptance Checklist for Federal-Aid High-Profile Projects, to the FHWA
transportation engineer along with a copy of the proposed final estimate. FHWA will
document the project status and final voucher the project with these documents.
5-007B Federal Highway Administration Involvement on Delegated ProjectsE
Caltrans is responsible for most federal approvals and oversight requirements on
delegated projects. Resident engineers are not formally required to communicate with
the FHWA transportation engineer except for Buy America requirements and when
there are changes to the federal environmental requirements. FHWA has delegated to
Caltrans some of FHWAs authority and responsibility for compliance with National

Environmental Policy Act (NEPA) and other environmental laws. Resident engineers
should review the project NEPA documents and discuss with the district
environmental-construction liaison, to determine if FHWA involvement is necessary
when there are changes to the environmental requirements for the project. Information
on Buy America requirements and FHWA involvement can be found in
Section 3-606A, Buy America Requirements of this manual. Informal discussions
with FHWA for technical guidance are encouraged.
Caltrans receives federal-aid funds indirectly from the California Office of Traffic
Safety (OTS). Construction projects with a federal-aid number and OTS designation
contain the same special provisions as delegated projects. The same procedures apply
to OTS projects as delegated projects.

Section 1 Project Records and Reports

5-101 Forms Used for Contract Administration
5-101A General
5-101B Construction Forms
5-101C Materials Engineering and Testing Services Forms
5-101D Other State Forms
5-101E Traffic Operations Forms
5-101F Federal Forms
5-102 Organization of Project Documents
5-102A General
5-102B Indexing
5-102C Description of Categories
5-102D Category Numbers and Headings
5-102E Alphabetical Listing of Categories
5-103 The Contract Administration System
5-103A General
Table 5-1.1 Contract Administration System, Systems Interface
5-103B Project Initiation and Update
5-103B (1) Major and Minor A Contracts
5-103B (2) Emergency Contracts in Excess of Minor B Limits
5-103B (3) Completing Form CEM-6003, Project PayEstimate Project Initiation or Update
5-103B (3a) Project Key
5-103B (3b) Card type C05 (each field is independent and can be updated separately)
5-103B (3c) Card type C06 to C08
5-103B (3d) Card type C09 to C14
5-103B (3e) Card type C15
5-103B (4) Processing
5-103C Contract Transactions
5-103C (1) Transaction Types
5-103C (1a) Contract Item Transactions
5-103C (1b) Miscellaneous Transactions
5-103C (1c) Change Order Transactions
5-103C (2) Completing Form CEM-6004, Contract Transaction Input
5-103C (2a) Contract Item Entries
5-103C (2d) General
5-103C (2e) Audit Trail

Project Records and Reports 5-1.i
Example 5-1.1 Quantity Calculation
Example 5-1.2 Contract Transaction Input
5-103C (3) Computer Processing
5-103D Change Orders
5-103D (1) Completing Form CEM-4901, Contract Change Order Input
5-103D (1a) File
5-103D (1b) Update
5-103D (1c) Replace
5-103D (1d) Delete
5-103D (2) Edits
5-103E Change Order Billing
5-103E (1) Preparing Form CEM-4902, Extra Work Report Bill (Short Form)
5-103E (1a) Basic Information (Title Page)
5-103E (1b) Equipment
5-103E (1c) Other Expenses Subject to Labor Markup
5-103E (1d) Material or Work Done by Specialists, Lump Sum, or Unit Price Payments
5-103E (1e) Signature of Prime Contractors Representative
5-103E (2) Processing Form CEM-4902
5-103E (3) Corrections to Change Order Bills
5-103F Generating Estimates
5-103F (1) Procedure
5-103F (1a) Preparing Form CEM-6101, Project Record Estimate Request
5-103F (1b) Estimate Parameters
5-103F (1c) Deductions
5-103F (2) Computer Processing
5-103F (2a) Estimate Edits
5-103F (2b) Estimate Output
5-103F (3) Potential Problems
5-103G Approval of Estimates
5-103G (1) The Resident Engineer
5-103G (2) The District Director
5-103G (3) Flagging an Estimate for Payment
5-103H Reports Available Through the Contract Administration System
5-103H (1) District (XX) Estimate Status
5-103H (2) Project Management
5-103H (2a) The Project File Status Report
5-103H (2b) The Exceptional Contracts Report
5-103H (3) District (XX) Project Status
5-103H (4) Progress Payment-Work Done by Office of Structures Construction (Copies)
5-103H (5) Project Record-Estimate (Copies)
5-103H (6) Status of Contract Items
5-103H (7) Project Record Item Sheet
5-103H (8) Status of Change Orders

5-1.ii Project Records and Reports
5-103H (9) Contract Order Master Listing
5-103H (10) Bridge Quantities by Structure
5-103H (11) District (XX) Status of Anticipated Changes
5-103H (12) Project Record-Estimate (Dummy)
5-103H (13) Contract Contents Report
5-103H (14) Contract Contents Report-Contract Item Records
5-103H (15) Contract Contents Report-Contract Progress
5-103H (16) DEWRs in Holding File
5-103H (17) Daily Extra Work Report
5-103H (18) Rental Rates and Codes for Miscellaneous Equipment
5-103H (19) Reports for the Office of Structure Construction
5-103I Field Audits by Accounting Office
5-104 Final Construction Project Records
5-104A General
5-104B Public Access to Project Records
5-104C Disposition of Construction Project Records
5-104D As-Built Plans
5-104D (1) District Procedure on As-Built Plans
5-104D (2) Procedure on As-Built Plans for Bridges and Structures
5-104D (3) Projects Not on State Highways

Project Records and Reports 5-1.iii
Section 1
Section 1 Project Records and Reports Project Records
and Reports
5-101 Forms Used for Contract Administration 5-101
Forms Used for
5-101A General
Contract
One of the duties of the resident engineer is to keep accurate and complete records of Administration
the work. This section includes a list of forms used in administering a construction
project and maintaining records. Use forms not related directly to contract
administration, such as personnel documents and accounting forms, in accordance with
instructions contained in other Caltrans manuals.
The Division of Construction issues new or revised construction forms. All Division of
Construction forms have a prefix of CEM (Construction Engineering Management)
and a number that is related to the forms uniform filing system category. If an existing
form no longer meets the need that it was designed for, use the following procedure to
propose a change:
Complete Form CEM-9001, Construction Manual Proposed Change, and send it
to the Division of Construction publications unit. Explain the reason for the
proposed change and attach a draft of the proposed revised form.
The Division of Construction will review the proposed change and make a
decision regarding any future revision.
Not all forms issued by the Office of Materials Engineering and Testing Services
(METS) are listed in this manual. If a test method includes a specific form, contact
METS.
A list of forms issued by the Office of Structure Construction is shown in Volume I,
Section 16 of the Bridge Construction Records and Procedures manual.
5-101B Construction Forms
All Division of Construction forms are available online at:
Following is a list and descriptions of the Division of Construction forms:
Form CEM-0101 Resident Engineers Report of Assignment
When assigned to a new project, the resident engineer must use this form to provide
contact information. Distribute copies of the report according to instructions on the
form and any district instructions.
It is not necessary or desirable to hold the form until all information is available.
Submit partial information with a note that a supplemental form will follow.

Project Records and Reports 5-1.1
Form CEM-0501 Relief from Maintenance
The resident engineer uses this form to recommend that the contractor be relieved from
maintenance and responsibility in accordance with Section 5-1.38 [7-1.15],
Maintenance and Protection Relief, of the Standard Specifications. For more
information refer to Section 3-520, Maintenance and Protection Relief, of this
manual.
Form CEM-0601 Construction Safety Report
The resident engineer or the project safety coordinator uses this form to document
periodic project safety reviews.
Form CEM-0602 Project Safety Program Statement
The resident engineer uses this form to list the sections of the Code of Safe Practices
that apply to the project. This form may also be used to designate an employee as the
project safety coordinator.
Form CEM-0603 Major Construction Incident Notification
The resident engineer uses this form to report major construction incidents. Instructions
for completion are included on the last page of the form.
Form CEM-0606 Construction Safety Checklists
The resident engineer uses this form to document the contractors attention to safety
procedures while performing the work. Choose the appropriate section of the form for
the work being performed.
Form CEM-1101 Documents Bond of State Highway Oversight Projects
The local agency and Caltrans project manager complete this form. The project
manager submits the form to the encroachment permits unit when local agencies have
failed, in the past, to produce and submit required documents at the completion of a
previous contract they administered on the state highway system. For details on the use
of this form, refer to Section 4-101, Projects with Documents Bond, of the Caltrans
Oversight Engineer Field Guidelines.
Form CEM-1201 Subcontracting Request
The contractor submits this form and the resident engineer uses the form to calculate
the percentage of work to be performed by the contractor. Section 3-5, Control of
Work, of this manual describes the procedures. The resident engineer must sign this
form before the contractor can begin on the applicable subcontracted work. Before
approval, verify that subcontractors are not on the debarred contractors list that is
available on the California Department of Industrial Relations website:
http://www.dir.ca.gov/dlse/debar.html
Form CEM-1202 Contractor Action RequestChange of Name/Address
Assignment of Contract Monies
The contractor submits this form to the resident engineer to request a change in the
contractors name or address or to request an assignment of monies due or to become
due the contractor under the contract in accordance with Section 5-1.12 [8-1.02],
Assignment, of the Standard Specifications.

5-1.2 Project Records and Reports
Form CEM-1203 Contractor Action RequestAssignment of Contract
Performance
The original contractor or the contractors surety submits this form to the resident
engineer in accordance with Section 5-1.12 [8-1.02], Assignment, of the Standard
Specifications.
Form CEM-1204 American Recovery and Reinvestment Act (ARRA) Monthly
Employment Report
The contractor submits this form monthly. The resident engineer reviews the
information and retains the form in the construction project records.
Form CEM-1901 Burial Location of Soil Containing Aerially Deposited Lead
The contractor submits this form to the resident engineer and email address
[email protected] within 5 business days of completing placement of the material. The
resident engineer reviews the information and retains the form in the construction
project records.
Form CEM-1902 Burial Location of Soil Containing Naturally Occurring
Asbestos
The contractor submits this form to the resident engineer and email address
[email protected] within 5 business days of completing placement of the material. The
resident engineer reviews the information and retains the form in the construction
project records.
Form CEM-2001 National Pollution Discharge Elimination System Annual
Certification
The resident engineer uses this form to file the annual stormwater permit certification
by July 1 of each year. Refer to Chapter 7, Environmental Stewardship, for details on
the stormwater permit certification.
Form CEM-2002 Notification of Construction (NOC)
The resident engineer, with the assistance of the district construction stormwater
coordinator, fills out this form. The Caltrans National Pollutant Discharge Elimination
System (NPDES) Permit requires Caltrans to submit the notification to the Regional
Water Control Board. Instructions are included on the last page of the form.
Form CEM-2004 Notification of Completion of Construction (Desert Areas)
The resident engineer or district stormwater coordinator submits this form for projects
requiring a stormwater pollution prevention plan for region 6 or 7 of the California
Regional Water Quality Control Board.
Form CEM-2005 Notification of Rainfall Erosivity Waiver
The resident engineer submits this form as required by the Caltrans NPDES permit.
Instructions are included on the last two pages of the form.
Form CEM-2006 Legally Responsible Person Authorization of Approved
Signatory
The district director submits this form and the resident engineer reviews the
information for completeness and accuracy. File the form in the construction project
records. Instructions are included on the last page of the form.

Form CEM-2006T Legally Responsible Person Authorization of Approved
SignatoryLake Tahoe Hydrologic Unit
The district director submits this form to the California Regional Water Quality Control
Board, as required by the Caltrans NPDES permit. Instructions are included on the last
page of the form.
Form CEM-2008 SWPPP/WPCP Amendment Certification and Acceptance
The resident engineer reviews this form for completeness and accuracy as submitted by
the contractor, and files it in the construction project records. Instructions are included
on the last page of the form.
Form CEM-2009 SWPPP/WPCP Amendments Log
The resident engineer reviews this form for completeness and accuracy as submitted by
the contractor, and files it in the project files. Instructions are included on the last page
of the form.
Form CEM-2023 Stormwater Training Record
The resident engineer reviews this form as submitted by the contractor, and files it in
the project files. Instructions are included on the last page of the form.
Form CEM-2024 Stormwater Training Log
The resident engineer files this form as filled out by the contractor, in the project files.
Instructions are included on the last page of the form.
Form CEM-2030 Stormwater Site Inspection Report
The resident engineer fills out and files this form in the project records. Instructions are
included on the last page of the form.
Form CEM-2031 Daily Stormwater Site Inspection Report
The resident engineer submits this form to the California Regional Water Quality
Control Board, as required by the Caltrans NPDES permit. Instructions are included on
the last page of the form.
Form CEM-2034 Stormwater Best Management Practices Status Report
Instructions are included on the form.
Form CEM-2035 Stormwater Site Inspection Report Corrective Actions
Summary
Form CEM-2040 Weather Forecast Log
Form CEM-2041 Weather Monitor Log

Form CEM-2045 Rain Event Action PlanHighway Construction Phase
Instructions are included within the pages of the form.
Form CEM-2045T Rain Event Action PlanHighway Construction Phase
Contractor Action RequestLake Tahoe Hydrologic Unit
Form CEM-2046 Rain Event Action PlanPlant Establishment Phase
Form CEM-2047 Rain Event Action PlanInactive Project
Form CEM-2048 Storm Event Sampling and Analysis Plan
Form CEM-2049 Qualifying Rain Event Sampling and Analysis Plan
Form CEM-2049T Qualifying Rain Event Sampling and Analysis PlanLake
Tahoe Hydrologic Unit
Form CEM-2050 Sample Information, Identification, and Chain-of-Custody
Record
Form CEM-2051 Stormwater Sampling and Analysis Log
Form CEM-2052 Stormwater Sample Field Test Report
Form CEM-2054 Stormwater Sample Laboratory Test Report
Form CEM-2055 Stormwater Equipment Maintenance Log

Form CEM-2056 Stormwater Turbidity Meter Calibration Record
Form CEM-2057 Stormwater pH Meter Calibration Record
Form CEM-2058 Stormwater Meter Calibration Record
Form CEM-2061 Notice of Discharge Report
Form CEM-2062 Numeric Action Level Exceedance Report
Form CEM-2062T Numeric Action Level Exceedance ReportLake Tahoe
Hydrologic Unit
Form CEM-2063 Numeric Effluent Limitation Violation Report
Form CEM-2063T Numeric Effluent Limitation Violation ReportLake Tahoe
Hydrologic Unit
Form CEM-2065 Notice of Discharge Log Instructions
Form CEM-2070 SWPPP/WPCP Annual Certification of Compliance

Form CEM-2090 Notice of Completion of Construction
Form CEM-20CC Attachment CC, Water Pollution Control Best Management
Practices List
The contractors water pollution control manager completes the form at different
phases of the construction project to document the type and quantity of best
management practices planned to be implemented in the field to prevent water
pollution. Information in this form helps the water pollution control manager mobilize
labor and coordinate necessary supplies in an orderly and efficient manner. In addition,
information in this form allows the stormwater inspector to fully understand the
construction stage and anticipated quantity of best management practices in the field
during the site visit.
Form CEM-20DAPP Appendix D, Notification Log
Subcontractors and material suppliers must be notified of their responsibilities on the
construction job site related to stormwater runoff pollution prevention. This form
documents the stormwater pollution prevention notifications given to each
subcontractor and material supplier.
Form CEM-20DCON SWPPP/WPCP Attachment D, Contractor Personnel
Training Record
Contractor personnel responsible for implementation of stormwater pollution
prevention practices are required to be adequately trained in this field. Attachment D
documents the training record of the contractors personnel. This form is included in
the stormwater pollution prevention plan (SWPPP) and is updated as necessary.
Form CEM-20DSUB SWPPP/WPCP Attachment D, Subontractor Personnel
Stormwater Training Record
Subcontractor personnel responsible for implementation of stormwater pollution
prevention practices are required to be adequately trained in this field. Attachment D
documents the training record of the subcontractors personnel. This form is included
in the SWPPP and is updated as necessary.
Form CEM-20EE SWPPP Attachment EE, Stormwater Sampling Locations
This form lists all potential water quality sampling locations within a project site during
the course of construction. This form is prepared by the qualified SWPPP developer at
the start of the project and is included in the SWPPP. During the course of
construction, depending on the stage of construction and areas of disturbed soil
activities, appropriate sampling locations from this list are selected for sampling of the
stormwater runoff or discharge.
Form CEM-2101 COZEEP Daily Report
The California Highway Patrol and Caltrans jointly use this form to report highway
patrol resources used for the Construction Zone Enhanced Enforcement Program
(COZEEP). Chapter 2, Safety and Traffic, of this manual further describes the use of
the form.

Form CEM-2102 COZEEP/MAZEEP Task Order
The resident engineer uses this form to request highway patrol support for the
Construction Zone Enhanced Enforcement Program. Additional use of this form is
described in Chapter 2, Safety and Traffic, of this manual.
Form CEM-2103 COZEEP/MAZEEP Cancellation Form
The resident engineer uses this form to cancel any previously requested highway patrol
support for the Construction Zone Enhanced Enforcement Program. Additional use of
this form is described in Chapter 2, Safety and Traffic, of this manual.
Form CEM-2401 Substitution Report for Disadvantaged Business Enterprise
(DBE) or Underutilized Disadvantaged Business Enterprise
(UDBE)
The contractor fills out and provides this form to the resident engineer who uses the
information to authorize DBE subcontractor substitutions. Sections 3-8, Prosecution
and Progress, and 8-3, Disadvantaged Business and Disabled Veteran Business
Enterprises, of this manual contain additional information on substituting
subcontractors.
Form CEM-2402(F) Final ReportUtilization of Disadvantaged Business
Enterprises (DBE), FirstTier Subcontractors
The contractor completes this form. The resident engineer certifies the form. It
describes work performed and materials provided by disadvantaged business enterprise
firms. Refer to Section 8-3, Disadvantaged Business and Disabled Veteran Business
Enterprises, of this manual for details.
Form CEM-2402(S) Final ReportUtilization of Disabled Veteran Business
Enterprises (DVBE), State Funded Projects Only
The contractor fills out and certifies this form which describes work performed and
materials provided by disabled veteran business enterprise firms. The resident engineer
verifies the form. Refer to Section 8-3, Disadvantaged Business and Disabled Veteran
Business Enterprises, of this manual for details.
Form CEM-2403(F) Disadvantaged Business Enterprises (DBE) Certification
Status Change
The contractor fills out and certifies this form. The resident engineer uses the form to
verify the actual dollar amount paid to DBE subcontractors on federally funded
projects that have a change in certification status during the course of the contract.
Refer to Section 8-3, Disadvantaged Business and Disabled Veteran Business
Enterprises, of this manual for details.
Form CEM-2404(F) Monthly DBE /UDBE Trucking Verification
The contractor must submit this form before the 15th of each month. It lists the dollar
amount paid to the DBE trucking companies for truck work performed by DBE
certified truckers and for any fees or commissions for non-DBE truckers used each
month on the project. Instructions for filling out this form are located on the last page
of the form.

Form CEM-2501 Fringe Benefit Statement
The contractor completes this form for labor compliance purposes. Refer to Section 8-
1, Labor Compliance, of this manual for more information.
Form CEM-2502 Contractor or Subcontractor Payroll
When it is requested, furnish this form to the contractor. It is used to fulfill the payroll
submittal requirements of the contract. Refer to Section 8-1, Labor Compliance, of
Form CEM-2503 Statement of Compliance
The contractor may use this form for the required statement of compliance with payroll
submittals. Refer to Section 8-1, Labor Compliance, of this manual for more
information.
Form CEM-2504 Employee Interview: Labor Compliance/EEO
(Stock # 7541-3512-3)
Use this form to record information from interviews of contractors employees.
Directions for the interviewer are on the back of the form. Refer to Section 8-1, Labor
Compliance, of this manual for more information.
Form CEM-2504 (Spanish), Entrevista de Empleado: Labor Compliance/EEO
Same as previous. Form printed in Spanish.
Form CEM-2505 Owner-Operator Listing Statement of Compliance
If they do not include this data on their certified payrolls, contractors may use this form
to report payments made to owner-operators. Refer to Section 8-1, Labor
Compliance, of this manual for more information.
Form CEM-2506 Labor ComplianceWage Violation
The district labor compliance officer uses this form to document labor compliance
wage violations. Refer to Section 8-1, Labor Compliance, of this manual for more
information.
Form CEM-2507 Labor Violation: Case Summary
The district labor compliance officer uses this form in conjunction with Form CEM-
2506 to summarize labor violation cases. Refer to Section 8-1, Labor Compliance, of
Form CEM-2508 Contractors Payroll Source Document Audit Summary
The district labor compliance officer uses this form to document the verification of the
contractors payroll source document audit. Refer to Section 8-1, Labor Compliance,
of this manual for more information.
Form CEM-2509 ChecklistSource Document Audit
The district labor compliance officer uses this form during the contractors payroll
source document audit. Refer to Section 8-1, Labor Compliance, of this manual for
more information.

Form CEM-2510 Truck Owner-Operator Certification of Ownership
The truck owner-operator uses this form to identify the vehicle used and certify
ownership or lease of the vehicle. The form should be submitted once per project to the
district labor compliance office unless changes to the data would necessitate a new
form. Refer to Section 8-1, Labor Compliance, of this manual for more information.
Form CEM-2601 Construction Progress Chart
The resident engineer maintains this form for each project. Refer to Section 3-8,
Prosecution and Progress, of this manual for details.
Form CEM-2701 Weekly Statement of Working Days (Stock # 7541-3528-7)
The resident engineer uses this form to track contract time on construction contracts.
The last page of the form and Section 3-8, Prosecution and Progress, of this manual
contain instructions for filling out the weekly statement of working days.
Form CEM-2702 Overrun in Contract Time
The Division of Construction may use this form to grant time adjustments after
contract time has elapsed. For more information refer to Section 3-8, Prosecution and
Progress, of this manual.
Form CEM-3101 Notice of Materials to Be Used (Stock # 7541-3511-1)
The contractor must use this form to list all materials to be used on the project. Refer to
Section 6-2, Acceptance of Manufactured or Fabricated Material and Products, of
this manual for details on the use of the form. Instructions to the contractor are on the
last page of the form.
Form CEM-3501 Hot Mix Asphalt Production Report
The plant inspector uses this form to document daily hot mix asphalt production
processes and report any plant, material, and production deficiency to the resident
engineer.
Form CEM-3502 Hot Mix Asphalt Placement Report
The paving inspector uses this form to document daily hot mix asphalt placement
processes and report any material and construction deficiencies to the resident engineer.
Form CEM-3511 Contractor Job Mix Formula Proposal
The contractor uses this form to submit to the resident engineer, before the work
begins, the hot mix asphalt mix formula they have tested and intend to use on the
project. The form states job mix formula target values for aggregate sieves and the
percent of asphalt binder, as well as source information for all materials.
Form CEM-3512 Contractor Hot Mix Asphalt Design Data
The contractor uses this form to document the testing data developed by the mix design
laboratory. Refer to Section 4-39, Hot Mix Asphalt, of this manual for more
information.
Form CEM-3513 Caltrans Hot Mix Asphalt Verification
Caltrans verifies that the proposed job mix formula complies with the specifications on
this form. The resident engineer signs and returns the form to the contractor. Refer to
Section 4-39, Hot Mix Asphalt, of this manual for more information.

Form CEM-3514 Contractor Job Mix Formula Renewal
The contractor submits test results for renewal of hot mix asphalt job mix formula on
this form to the resident engineer. When the test results indicate that the sampled and
tested hot mix asphalt complies with the specifications, the resident engineer requests
the district materials laboratory perform hot mix asphalt verification testing. Refer to
Section 4-39, Hot Mix Asphalt, of this manual for more information.
Form CEM-3701 Test Result Summary
The resident engineer may use this form to summarize acceptance tests on each
material. Refer to Category 37, Initial Tests and Acceptance Tests, in Section 5-102,
Organization of Project Documents, of this manual for details.
Form CEM-3702 Relative Compaction Summary
The resident engineer may use this form to summarize compaction test results in the
same manner that Form CEM-3701 is used for other tests.
Form CEM-3703 Caltrans Production Start-Up Evaluation
The resident engineer uses this form to record the testing results at the beginning of
production. Refer to Section 4-39, Hot Mix Asphalt, of this manual for more
information.
Form CEM-3801 Request for Assignment of Inspectors, Samplers, and Testers
The contractor uses this form to submit the names of quality control staff for hot mix
asphalt projects using the QCQA process. Refer to the Quality Control Manual for Hot
Mix Asphalt for more information.
Form CEM-3802 Quality Control Inspector Affidavit of Proficiency
The contractor uses this form to document the hot mix asphalt experience and training
of proposed hot mix asphalt quality control inspectors for projects using the QCQA
process. Refer to the Quality Control Manual for Hot Mix Asphalt for additional
information.
Form CEM-3803 Daily Summary of Quality Control Testing
The contractor uses this form to provide a summary of quality control test results for
each day that hot mix asphalt is placed on a QCQA process project. Refer to the
Quality Control Manual for Hot Mix Asphalt for more information.
Form CEM-3804 Hot Mix Asphalt Inspection and Testing Summary
The contractor uses this form to provide a checklist that shows the inspections and
testing for each day that hot mix asphalt is placed on a QCQA process project. The
contractors quality control manager must document on this form deviations from the
specifications or regular practices and certify that the information, tests, or calculations,
comply with the contract specifications. Refer to the Quality Control Manual for Hot
Mix Asphalt for more information.
Form CEM-4101 Materials Release Summary
The resident engineer uses this form to summarize the materials released by METS and
materials inspected at the job site.

Form CEM-4102 Material Inspected and Released on Job
The resident engineer uses this form to list certain materials that may arrive on the job
site without a Form TL-0029, Report of Inspection of Material. Refer to Section 6-3,
Field Tests, of this manual for details.
Form CEM-4202 Material Plant Safety Checklist
The materials plant inspector uses this form when checking a materials plant for safety.
Form CEM-4401 Solid Waste Disposal and Recycling Report
The contractor completes and certifies the information reported on this form. The
resident engineer reviews then submits the authorized form to the district recycling
coordinator with a copy to the statewide recycling coordinator in headquarters Division
of Design. The use of this form is described in Section 7-108, Solid Waste Disposal
and Recycling Reporting, of this manual.
Form CEM-4501 Resident Engineers Daily Report/Assistant Resident
Engineers Daily Report (Stock # 7541-3506-1)
The resident engineer and assistant resident engineers use this form to record project
activities daily. For more information, refer to Section 5-0, Conduct of the Work, of
this manual.
Form CEM-4601 Assistant Resident Engineers Daily Report (Stock # 7541-
3504-6)
Assistant resident engineers use this form to record daily individual contract item
activity. It is also used to record extra work activity and to verify contractors personnel
listed on payrolls. For more information refer to Section 5-0, Conduct of the Work,
of this manual.
Form CEM-4701 Drainage System Summary
The resident engineer and assistant resident engineers use this form to record progress
and summarize activity on drainage contract items. Refer to Category 47, Drainage
Systems, in Section 5-102, Organization of Project Documents, of this manual for
details.
Form CEM-4801 Quantity Calculations (Stock # 7541-3520-0)
The resident engineer and assistant resident engineers use this form for the basic source
document for most contract item quantity calculations.
Form CEM-4900 Change Order
The resident engineer uses this form for change orders. Refer to Section 5-3, Change
Orders, of this manual for information about change orders.
Form CEM-4901 Change Order Input (Stock # 7541-3516-2)
The resident engineer and assistant resident engineers use this form to input change
orders for the project record and estimate data. Refer to Section 5-103D, Change
Orders, of this manual for details.
Form CEM-4902 Extra Work Bill (Short Form) (Stock # 7541-3500-8)
The contractor uses this form for billing extra work. Details for use are on the last page
of the form and are also included in Section 5-103E, Change Order Billing, of this

manual. The resident engineer may authorize contractor-designed forms. With prior
approval from the Division of Construction, the contractor may submit change order
bill data on a computer report identical to this form for all Caltrans projects.
Form CEM 4902A Extra Work BillTitle Page (Stock # 7541-3496-7)
The contractor uses this form for billing extra work. It is the first page of the four-part
changer order bill. It identifies the project, change order number, method of payment
and performer of work. This form also provides for manual calculation of the bill.
Details for use are on the last page of the form and are also included in Section 5-103E,
Change Order Billing, of this manual. The resident engineer may authorize
contractor-designed forms. With prior approval from the Division of Construction, the
contractor may submit change order bill data on a computer report identical to this
form for all Caltrans projects.
Form CEM-4902B Extra Work BillLabor Charges (Stock # 7541-3497-9)
Contractors use this form for billing extra work. It is used to enter labor charges and
other expense subject to labor markup. Details for use are on the last page of the form
and are also included in Section 5-103E, Change Order Billing, of this manual. The
resident engineer may authorize contractor-designed forms. With prior approval from
the Division of Construction, the contractor may submit change order bill data on a
computer report identical to this form for all Caltrans projects. This form is used with
Form CEM-4902A, Extra Work BillTitle Page.
Form CEM-4902C Extra Work BillEquipment Charges
The contractor uses this form to enter equipment charges to the change order bill.
Instructions for use are on the second page of the form and are also included in Section
5-103E, Change Order Billing, of this manual. The resident engineer may authorize
contractor-designed forms. With prior approval from the Division of Construction, the
contractor may submit change order bill data on a computer report identical to Form
this form for all Caltrans projects. This form is used with Form CEM-4902A, Extra
Work BillTitle Page.
Form CEM-4902D Extra Work BillMaterial Charges
The contractor uses this form for billing extra work. It is used to enter material charges
to the change order bill. Details for use are on the last page of the form and are also
included in Section 5-103E, Change Order Billing, of this manual. The resident
engineer may authorize contractor-designed forms. With prior approval from the
Division of Construction, the contractor may submit change order bill data on a
computer report identical to this form for all Caltrans projects. This form is used with
Form CEM-4902A, Extra Work BillTitle Page.
Form CEM-4903 Change Order Memorandum
The resident engineer uses this form in conjunction with Form CEM-4900, Change
Order, to report the necessary engineering and administrative data relative to the
change. Refer to Section 5-3, Change Orders, of this manual for details.
Form CEM-4904 Caltrans Authorization for Using Internet Extra Work Bill
System
To authorize a contractors access to the Caltrans Extra Work Billing (EWB) System,
the resident engineer completes this form, outlining contract markups and change order

bill roles. The resident engineer submits the form, along with completed Form CEM-
4905 from the contractor, to the appropriate district change order bill administrator.
Form CEM-4905 Contractor Authorization for Using Internet Extra Work Bill
System
Section 5-1.27D [9-1.03C], Cost Accounting Records, of the Standard Specifications
requires contractors to furnish the resident engineer with daily reports of any extra
work. The prime contractor completes this form for authority to use the internet to
submit change order bills. The contractor submits this form, usually at the
preconstruction meeting, to the resident engineer or to the managing partner if the
contract is a joint venture. Required change order bill training and the EWB website
provide additional information.
http://www.dot.ca.gov/hq/construc/iewb/
Form CEM-5101 Request for Payment for Materials on Hand
The contractor uses this form to request payment for materials on hand. Instructions for
the form and administrative procedures are covered in Section 3-9, Payment, of this
manual.
Form CEM-5501 Partnering Facilitator EvaluationKick-Off
When partnering is implemented on a Caltrans construction project, the resident
engineer uses this form to gather project team evaluations of the partnering facilitators
performance following the kick-off partnering workshop.
Form CEM-5502 Partnering Facilitator EvaluationClose-Out
The resident engineer uses this form to gather project team evaluations of the
partnering facilitators performance following the close-out partnering workshop.
Form CEM-6002 Contract Administration System (CAS)Report Requests
Use this form to obtain reports available from the contract administration system. Refer
to Section 5-103, The Contract Administration System, of this manual for details.
Form CEM-6003 Progress PayEstimate Project Initiation or Update
Use this form to add new information or to change information in the contract
administration system. For details refer to Section 5-103B, Project Initiation and
Update, of this manual.
Form CEM-6004 Contract Transactions Input
Use this form to input estimate data into the contract administration system for the
project record and estimate. Refer to Section 5-103C, Contract Transactions, of this
manual for details.
Form CEM-6101 Project RecordEstimate Request
The resident engineer uses this form to request that an estimate be run. Refer to Section
5-103F (1), Procedure, of this manual for details.
Form CEM-6201 Notice of Potential Claim
Contractors use this form to submit notices of potential claims to the resident engineer.
For details on the use of this form see Section 5-4, Disputes, of this manual.

Form CEM-6201A Initial Notice of Potential Claim
Contractors use this form to submit an early notice of a potential claim issue. For
details on the use of this form, see Section 5-4, Disputes, of this manual.
Form CEM-6201B Supplemental Notice of Potential Claim
Contractors use this form to submit a detailed description along with the necessary
attachments of the nature, circumstances, and estimated costs of a potential claim as a
follow up to Form CEM6201A, Initial Notice of Potential Claim.
Form CEM-6201C Full and Final Documentation of Potential Claim
Contractors use this form to submit a complete documentation of a potential claim
after completion of the work for which Forms CEM-6201A and CEM-6201B have
been submitted. For details on the use of this form, see Section 5-4, Disputes, of this
manual.
Form CEM-6201D Initial Potential Claim Record
The contractor uses this form to detail the nature and circumstances of the potential
claim. For details on the use of this form, refer to Section 5-4, Disputes, of this
manual.
Form CEM-6201E Supplemental Potential Claim Record
The contractor uses this form to detail the potential claim and cost associated with the
claim. For further details on the use of this form, refer to Section 5-4, Disputes, of
this manual.
Form CEM-6201F Full and Final Potential Claim Record
The resident engineer uses this form to document the circumstances and costs
associated with the potential claim. For details on the use of this form, refer to Section
5-4, Disputes, of this manual.
Form CEM-6202 Dispute Resolution Board Establishment Report
The resident engineer completes and submits this form to the Division of Construction
after the initial DRB meeting has been held. For details on the use of this form, refer to
Section 5-4, Disputes, of this manual.
Form CEM-6203 Dispute Review Board (DRB) Update Report
yearly beginning on the anniversary of the contract first working day. For details on the
use of this form, refer to Section 5-4, Disputes, of this manual.
Form CEM-6204 Dispute Resolution Board Dispute Meeting Report
when Caltrans has sent a response to DRB recommendation and the contractors
response has been received or has been accepted by default. For details on the use of
this form, refer to Section 5-4, Disputes, of this manual.
Form CEM-6205 Dispute Review Board (DRB) Completion Report
Resident engineers complete and submit this form to the Division of Construction 30
days after receipt of the contractors exceptions to the proposed final estimate. For
details on the use of this form, refer to Section 5-4, Disputes, of this manual.

Form CEM-6206 Dispute Resolution AdvisorEstablishment Report
for selection of the dispute resolution advisor. For details on the use of this form refer
to Section 5-4, Disputes, of this manual.
Form CEM-6207 Dispute Resolution AdvisorDispute Meeting Report
with Caltrans response to the dispute resolution advisors recommendations. For
details on the use of this form refer to Section 5-4, Disputes, of this manual.
Form CEM-6208 Dispute Resolution Ladder Establishment
As an option, the resident engineer completes and submits this form to the Division of
Construction to document the levels of authority consulted. For details on the use of
this form refer to Section 5-4, Disputes, of this manual.
Form CEM-6209 Elevation of a Dispute
As an option, the resident engineer completes and submits this form to the Division of
Construction to assist in defining the dispute prior to elevating it to the next level. For
details on the use of this form refer to Section 5-4, Disputes, of this manual.
Form CEM-6301 Contract Acceptance
The resident engineer uses this form to document acceptance and the various quantities
delivered by the contract. Instructions are on the back of the form. For details on the
use of this form refer to Section 3-523B, Contract Acceptance, of this manual.
Form CEM-6302 Final Materials Certification
The resident engineer uses this form to document that tests on acceptance samples
indicate the materials incorporated in the construction work, and the construction
operations controlled by sampling and testing, were in conformity with the authorized
plans and specifications.
Form CEM-6303 Final Acceptance Checklist for Federal-Aid High-Profile
Projects
The resident engineer uses this form to document project status for FHWA and to help
with the final vouchering process once the final estimate is produced.
Form CEM-9001 Construction Manual Proposed Change
Caltrans personnel may use this form to submit a recommendation for a change to the
Construction Manual. Forms should be sent to the Division of Construction,
publications unit.
Form OFG-1 Oversight Engineers Preconstruction Checklist
The resident engineer uses this form to document contacts within the local agency
where the work is being performed. For further details on use of this form, refer to
Section 3-106A, Checklists, of the Oversight Engineer Field Guidelines.

Form OFG-2 Local Agency and Oversight Engineer Preconstruction
Conference Checklist
The resident engineer uses this form to document general project conditions at the
preconstruction meeting with the contractor. For details on use of this form, refer to
Section 3-106A, Checklists, of the Oversight Engineer Field Guidelines.
Form OFG-3 Oversight Engineer Contract Provisions Checklist
The resident engineer uses this form to document state and federal requirements with
the contractor. For details on use of this form, refer to Section 3-106A, Checklists, of
the Oversight Engineer Field Guidelines.
Form OFG-4 Oversight Engineers Construction Contract Administration
Verification Checklist
The resident engineer uses this form to document the contract administration activities
required on the project. For details on use of this form, refer to Section 3-106A,
Checklists, of the Oversight Engineer Field Guidelines.
Form OFG-5 Federal-Aid Projects
The resident engineer uses this form to document federal-aid requirements for the
project. For details on use of this form, refer to Section 3-106, Contract Records and
Oversight Engineer Files, of the Oversight Engineer Field Guidelines.
Form OFG-6 Final Acceptance Checklist for Caltrans Oversight Projects
The resident engineer uses this form to document that all required procedures have
been performed on the project. For details on use of this form, refer to Section 3-106,
Contract Records and Oversight Engineer Files, of the Oversight Engineer Field
Guidelines.
5-101C Materials Engineering and Testing Services Forms
Office of Structural Materials, under Materials Engineering and Testing Services
(METS), is responsible for TL forms. They may be ordered by stock number from
district warehouses or stockrooms. Find forms without stock numbers on the Office of
Structural Materials intranet website.
http://onramp.dot.ca.gov/hq/esc/mets/structure_materials/
Form TL-0015 Quality Assurance-Nonconformance Report
METS uses this form when METS personnel discover that structural material or
quality control procedures do not meet specific contract requirements. METS sends a
copy to the resident engineer.
Form TL-0016 Quality Assurance-Nonconformance Resolution
METS uses this form to document the resolution to an outstanding Form TL-0015.
METS sends a copy to the resident engineer.
Form TL-0028 Notice of Materials to Be Inspected at the Jobsite
METS uses this form to assign inspection duties. METS sends a copy to the resident
engineer.

Form TL-0029 Report of Inspection of Material
METS uses this form to confirm that material has been inspected, to which the
inspector has attached inspection release tags or other means of identification. METS
sends a copy to the resident engineer, who compares it with inspection tags or
markings on delivered materials.
Form TL-0038 Inspection Request Form
METS uses this form to document requests by the vendor or fabricator for bid items
that require inspection.
Form TL-0101 Sample Identification Card
Use this form to submit samples to METS or district materials laboratories for testing
materials other than field samples of concrete (compressive strength) and cement
samples.
Form TL-0502 Field Sample of Portland Cement Concrete Sample Card
(Stock #7541-6018-8)
Use this form to submit compressive strength samples of concrete. Refer to Section 6-
3, Field Tests, of this manual for details on marking of samples.
Form MR-0518 Job Cement Samples Record (Stock # 7541-6019-0)
Use this form to submit cement samples for testing. Instructions for the use of this form
are found in Section 6-2, Acceptance of Manufactured or Fabricated Material and
Products, of this manual.
Form TL-0608 Notice of Materials to be Furnished
METS uses this form to inform all parties that METS will inspect and release material
before its sent to the job site. TL-0038, Inspection Request Form, is included with
the TL-0608 that is sent to the vendor and fabricator.
Form TL-0624 Inspection Release Tag
When a METS Inspector has inspected material, the inspector will attach this form
with lot numbers, inspectors initials, and date of inspection. For materials where it is
not practicable to attach tags, the inspector will mark lot numbers on the material in
lieu of attaching the tags.
Form TL-0625 Materials Suitability Tag
METS uses this form as part of the blue tag process to verify that a quality assurance
inspector has inspected the material and released it to the job site. The blue tag attached
to the material includes the contract number, state lot number, blue tag number,
inspectors initials, and date of inspection. For materials where it is not practicable to
attach tags, the inspector will mark lot numbers of materials in lieu of attaching the
tags.
Form TL-0649 Inspectors Report of Material on Hand
METS uses this form to verify that material has been inspected and is in acceptable
condition. Refer to Section 3-9, Payment, of this manual for details.

Form TL-3096 Pavement Core Record
Use this form to record the data on cores that are taken to determine pavement
thickness. Refer to Section 4-40, Concrete Pavement, of this manual for details.
Form TL-6013 Materials Suitability Documentation Report
METS structural material representative, in consultation with the resident engineer and
design staff as needed, completes this form as part of the blue tag process. The form
documents the decision to release material that is tagged with TL-6025 and is listed in
TL-6014.
Form TL-6014 Materials Suitability Report
This form is completed by the METS quality assurance inspector and is used to list the
material to be released with TL-0625. The report includes material description, blue tag
number, and description of conformance.
Form TL-6037 Fabrication Progress Report
METS uses this form to notify resident engineers of progress being made on
fabrication of various items. Refer to Section 3-9, Payment, of this manual for
details.
5-101D Other State Forms
Following is a list of state forms used in contract administration that are not issued by
the Division of Construction or METS. The following forms are available on the
Caltrans Electronic Forms Systems intranet website:
http://cefs.dot.ca.gov/forms/index.html
Form DPD-3013 Request for Construction Staking (Stock #7541-4542-7)
The contractor uses this form to request construction staking. The resident engineer and
the survey party chief add information to the request. It serves as a record of
construction staking and any charges to the contractor for restaking. For information on
construction surveys and use of the form, refer to Chapter 12, Construction Surveys,
of the Caltrans Surveys Manual.
Form LA-17 Report of Chemical Spray Operations
The contractor uses this form to submit the required weekly pesticide application
report. Refer to Section 4-2002C (2), Pesticides, of this manual for details.
5-101E Traffic Operations Forms
The following forms from the Division of Traffic Operations are used to change
clearances or bridge weight rating, and are located at:
http://www.dot.ca.gov/hq/traffops/permits/
Form TR-0019 Notice of Change in Clearance or Bridge Weight Rating
Use this form to report permanent changes to vertical or horizontal clearance for
vehicular traffic or permanent changes in bridge permit ratings on divided roadways.
Refer to Section 3-703B, Permanent Clearance and Bridge Permit Rating Changes,
of this manual for details.

Form TR-0020 Notice of Change in Vertical or Horizontal Clearance
vehicular traffic. Refer to Section 3-703B, Permanent Clearance and Bridge Permit
Rating Changes, of this manual for details.
Form TR-0029 Notice of Change in Clearance or Bridge Weight Rating
vehicular traffic or permanent changes in bridge permit ratings on undivided roadways.
Refer to Section 3-703B, Permanent Clearance and Bridge Permit Rating Changes,
of this manual for details.
5-101F Federal Forms
Following is a list of some federal forms that are used in contract administration.
Obtain the forms from the United States Department of Transportation, Federal
Highway Administrations website:
http://www.fhwa.dot.gov/
Form FHWA-1391 Federal-Aid Highway Construction Contractors Annual EEO
Report
The contractor must submit this form on all federal-aid contracts over $10,000. All
subcontractors on federal-aid projects whose subcontracts exceed $10,000 must also
submit the form. Contractors and subcontractors report project employment data for the
last full week of July on the form.
Form DOL SF-308 Request for Wage Determination and Response to Request
Request wage rate determinations for federal-aid contracts by using this United States
Department of Labor form. Obtain the form from the United States Department of
Transportation, Federal Highway Administrations website:
http://www.dol.gov/whd/programs/dbra/sf308.htm
5-102 5-102 Organization of Project Documents
Organization of
5-102A General
Project Documents
This section describes the uniform filing system for organizing project records and
reports. The system uses numbered categories for filing project documents. Use the
uniform filing system on all projects.
There are 63 categories in the filing system. There are several unassigned categories.
Use them for project documents that do not fit in assigned categories. If necessary,
divide a category into subcategories.
Assign the appropriate category numbers to documents filed at a separate location
(such as a field office hanging file). The filing system will then be correct when records
are brought together after project completion.
Obtain preprinted category labels, stock number 7690-0150-6, from the district
warehouse.

5-102B Indexing
Use a category index, similar to the sample shown at the end of this section, or an index
of categories that is supplied with the labels, for each project. Post the index in a
prominent location.
When the location of a category is separate from the main file, indicate its location on
the index under the appropriate heading.
5-102C Description of Categories
The discussion below describes the documents that should be included in each
category and, for some categories, a recommended order of the documents in the
categories.
Category 1 Project Personnel
Include all personnel related records in this category. Suggested subcategories are listed
below. On smaller projects, some of the listed subcategories may be combined when
the amount of detail shown is not warranted.
Form CEM-0101, Resident Engineers Report of Assignment.
Attendance Report.
Overtime Records.
Monthly Time Sheets.
Overtime Requests and Authorizations.
Absence Requests.
Personnel Transfer Records.
Personnel Roster.
Travel Expense Claims and Records.
Individual Personnel File. Use this for a file on each individual containing
emergency telephone numbers, experience or training records, among other things.
Category 2 Project Office Equipment and Supplies
In this category, file those documents relating to equipment and supplies. Include
records of equipment and supplies that have been received or returned. The
subcategories listed below outline the scope of this category.
Equipment Inventory
Shipping Records (related shipping and receiving records should be stapled
together)
Receiving Records
Transfer Requests
Local Requests
Automotive Records
Cash Expenditure Vouchers

Purchase Orders
Bills of Lading
Category 3 Equipment and Personnel Cost Reports
In this category, file construction engineering cost reports.
Category 4 Service Contracts
In this category, file those documents related to the project office utilities and services.
File requests for service along with all correspondence relating to project office service
contracts in an appropriate subcategory. File the receiving records for bills for utilities
and services in a date received sequence.
It is recommended that a separate subcategory be used for each company or each
service agreement. File purchase orders for supplies in Category 2, Project Office
Equipment and Supplies.
The subcategories that may be included in this category are as follows:
Rent
Electricity
Gas
Telephone
Water
Additional service agreements, as required
Do not confuse this category with Category 16, Utility Agreements, Category 17,
Utility Work Performed, or a subcategory of Category 52, Charges to Contract
Allotment. These are part of the projects construction operations. Category 4 includes
only those transactions connected with the resident engineers office.
Category 5 General Correspondence
In this category, file those letters that do not relate to any other category or subcategory
in use. File correspondence concerning a subject that directly relates to some other
category in that category. For example file correspondence developed in connection
with a change order in the change order category file.
File correspondence in any subcategory in chronological order.
When the volume of correspondence builds up, segregate and divide it into more
detailed subject subcategories. When appropriate, transfer correspondence from
Category 5 to a more specific category. For example, a property owner may object to
certain conditions on the project. After considerable correspondence, the resident
engineer writes a change order to solve the problem. At this point, the resident engineer
should transfer all of the correspondence related to the change order to the change order
category file.
A letter might cover subjects in different categories. When the letter relates directly to
two subjects, file a copy in each category or cross-reference to the location of the
original. Cross-referencing need be only a note describing the letter filed in the
appropriate category.

The following are examples of the subcategories in Category 5. The number of
subcategories will depend on the volume of correspondence. Show all subcategories in
the index.
To district office.
From district office.
To contractor.
From contractor.
Property owners.
Utility companies.
Any additional subcategories that may be required depending on the volume of the
correspondence.
Category 6 Safety
File project documents relating directly to safety in this category. Suggested
subcategories are shown below:
Employee Safety.
Contract Documents Relating to Safety.
Correspondence with the Division of Occupational Safety and Health (Cal/
OSHA).
A copy of the contractors Code of Safe Practices in use for the project.
Category 7 Public Relations
File the various documents covering the subject of public relations in this category.
Category 8 Construction Surveys
Use this category for filing all survey documents that do not directly or solely relate to
another category.
File Form DPD-3013, Request for Construction Staking, in this category. Create
subcategories for requests on which staking has been completed and for those where
staking has not been completed. Cross-file staking requests that include restaking
charges in Category 54, Deductions from Payment to Contractor.
Category 9 Welding
In this category, file documents relative to welding in accordance with instructions in
Section 180, Welding, of the Bridge Construction Records and Procedures manual.
Category 10 Extra Category Number
Use this extra category number for project documents that do not fit in presently
established categories. When used, enter the name of the category on the index sheet.
Category 11 Information Furnished at Start of Project
In this category, file documents related to planning, design, contract funding,
advertising, and opening bids. Do not file documents in this category that apply solely
or directly to other established categories. This category should contain the following
items. Create subcategories as necessary because of the volume of documents.

Project Report
Preliminary Report
Project Expenditure Authorization (including Supplemental Allotments)
Detailed Estimate of Project Cost
Notice of Award of Contract
Bid Summary Sheets
Federal Detail Estimate
Executed Contract, Special Provisions, and Plans
Notice of Approval of the Contract.
Environmental Permits
Encroachment Permits and Cooperative Agreements
Bidder Inquiry Information
Category 12 Contractor
Use this category to file the various documents that the contractor is required to submit.
Do not use it for general correspondence or documents appropriate to another specific
category. The following subcategories suggest the scope of the category:
Contractors organization including the designation of the contractors authorized
representative as required by Section 5-1.16 [5-1.06], Representative, of the
Contractors equipment list.
Contractors borrow agreements.
List of subcontractors and other project documents concerning subcontracting.
Shop plans, if not filed under another appropriate category.
Falsework plans.
Insurance documents as required in Section 7-1.05, Indemnification, and Section
7-1.06 [7-1.12], Insurance, of the Standard Specifications.
Category 13 Signs and Striping
In this category, file all documents related to signing, delineation, and handling public
traffic during construction. Suggested subcategories are listed below.
Layout of Construction Signs
Detour Design, Striping, and Signing
Traffic Striping Diagrams
Category 14 Photograph Records
File routine photographs and their identification in this category. File photographs
relating to claims in Category 62, Disputes. It is a good practice to take photographs
on a monthly basis to document the work during construction. Maintain videotapes and
digital photo files in an organized manner. Note the location of these items in this
category file.

Suggested subcategories for this category are:
Before Construction
During Construction
After Construction
Category 15 Accidents
In this category, file documents related to accidents. Subcategories may include:
Caltrans Employee Accident and Injury Reports
Caltrans Vehicle Accident Reports
California Highway Patrol Accident Reports
Local Police Accident Reports
Records and Investigations of Public Traffic Accidents
Records and Investigations of Contractor Accidents
Category 16 Utility Agreements
In this category, file those documents that relate to work to be done to utility facilities
in connection with the project.
Create subcategories for the various utility companies. Set up second-level
subcategories when required by the number of documents. The following are examples
of subcategories within this category:
16.1.1 PG&E Co.Agreements
16.1.2 PG&E Co.Relocations
16.1.3 PG&E Co.Encroachment Permit
16.2 AT&T Co.
16.3 Southern Pacific RR Co.
Category 17 Utility Work Performed
In this category, file daily reports and other records of utility facility work. Create the
same primary subcategories as those used in Category 16.
Create second level subcategories when required by the number of documents and the
amount of work. For example, where the work would develop daily reports and
receiving records of only one utility relocation, these documents could be kept in one
subcategory in chronological order. When the same utility company has more than one
relocation, a more detailed breakdown is advisable.
Category 18 Agreements
In this category, file agreements (except utility agreements) with third parties or other
state or county agencies. The number and levels of subcategories will depend upon the
agreements and the nature and extent of the work involved. A list of suggested
subcategories follows:
Right-of-Way AgreementsWithout Obligations
Right-of-Way AgreementWith Obligations

Forest Service Agreements
Borrow Agreements (between Caltrans and owner)
Disposal Agreements (between Caltrans and owner)
Service Agreements (these are utility service agreements such as for highway
lighting)
Disposal Permits
Records of Royalty Payments
Encroachment Permits
File an encroachment permit relating to a utility facility agreement under Category 16,
Utility Agreements. File an encroachment permit relating to a right-of-way
agreement in this category.
Where there are several right-of-way agreements requiring some degree of control,
such as right-of-way agreements with obligations, maintain a summary to show the
status of these agreements. An example of the status summary headings is shown
below:
The agreement number.
The location of work to be performed.
A brief description of work to be done and by whom.
When the work is completed.
The change order number if the required work is being done by change order.
Category 19 Hazardous Waste and Hazardous Materials
File any information regarding the discovery and removal of hazardous waste in this
category.
Category 20 Water Pollution Control Plan or Stormwater Pollution
Prevention Plan
File all correspondence regarding water pollution control plans (WPCP) or stormwater
pollution prevention plans (SWPPP) in this category. A list of suggested subcategories
follows:
Authorized WPCP or SWPPP
Amendments to WPCP or SWPPP
Notification of Construction
Correspondence
Inspections by Contractor
Inspections by Caltrans
Notices of Noncompliance
Annual Certification of Compliance
Notice of Completion of Construction

Category 21 Construction or Maintenance Zone Enhanced Enforcement
Program
File documents relating directly to the Construction Zone Enhanced Enforcement
Program (COZEEP) in this category. Suggested subcategories are shown below:
Form CEM-2103, COZEEP/MAZEEP Cancellation Form
Form CEM-2102, COZEEP/MAZEEP Task Order
Form CEM-2101, COZEEP Daily Report
Category 22 Traffic Management Information
Use this category to file information related to traffic management. Possible
subcategories include:
Contractor lane closure requests
Lane closure requests submitted to the traffic management center
Authorized lane closures
Contractor contingency plans
Traffic count data
Category 23 Extra Category Number
Use this extra category number for project documents that do not fit in presently
established categories. When using an extra category, enter the category number and
title in the index.
Category 24 Disadvantaged Business Enterprises and Disabled Veteran
Business Enterprises
Use this category for the following:
Disadvantaged business enterprises (DBE) and disabled veteran business
enterprises (DVBE) correspondence.
The contractors DBE/DVBE utilization plan.
DBE and DVBE substitution requests and approvals.
DBE and DVBE monthly reports.
Form CEM-2402(F), Final Report-Utilization of Disadvantaged Business
Enterprises (DBE), First-Tier Subcontractors.
Form CEM-2403(F), Disadvantaged Business Enterprises (DBE) Certification
Status Change.
Form CEM-2404(F), Monthly DBE/UDBE Trucking Verification.
Other DBE and DVBE related documents.
Category 25 Labor Compliance and Equal Employment Opportunity
In this category, file required labor compliance and equal employment opportunity
information. Refer to Sections 8-1, Labor Compliance, and 8-2, Equal Employment
Opportunity, of this manual for details.

Category 26 Progress Schedule
In this category, file the progress schedule, critical path method submittals, and other
related information.
Category 27 Weekly Statement of Working Days
In this category, file Form CEM-2701, Weekly Statement of Working Days. Also
file correspondence relating to contract time in a subcategory of this category.
Category 28 Weekly Newsletter
In this category, file periodic newsletters and reports that are prepared during the
project. Include those weekly reports of a general nature pertaining to the progress of
the contract.
Category 29 Materials Information and Preliminary Tests
In this category, file materials information and preliminary test reports. Suggested
subcategories follow:
Materials information
Report of foundation investigation
Report of tests on aggregate base (preliminary tests)
Report of tests on aggregate subbase (preliminary tests)
Category 30 Basement Soil Test Results
In this category, file basement soil test results taken to determine structural section
adequacy (taken during design phase).
Category 31 Notice of Materials to Be Used
In this category, file Form CEM-3101, Notice of Materials to Be Used. Create a
system for checking that notices have been received.
Make Form CEM-3101s that contain information for structure items available for use
by the structure representative. Consider filing the Form CEM-3101 listing structure
items in a separate subcategory of this category.
Category 32 Notice of Materials to Be Inspected at the Jobsite
In this category, file Form TL-0028, Notice of Materials to be Inspected at the
Jobsite.
Category 33 Notice of Materials to Be Furnished
In this category, file Form TL-0608, Notice of Materials to Be Furnished.
Category 34 Treated Base
In this category, file documents for cement-treated base, cement-treated permeable
base, and asphalt-treated permeable base. Do not include those documents that are to
be filed in other specific categories such as 37 and 48.
Use subcategories similar to the examples shown below. Create a numbering system
that identifies the category, item, and subcategory. For example, 34.26.3 indicates:
Category 34 Treated Bases; 26 is the contract item number of the material and
identifies the subcategory; 3 is the second level subcategory identifying the particular
document.

34.26.1 Mix design data, cement-treated base
34.26.2 Plant records, cement-treated base
34.26.3. Spread records, cement-treated base
34.27.1 Mix design data, cement-treated permeable base
34.27.2 Plant records, cement-treated permeable base
34.27.3 Spread records, cement-treated permeable base
34.28.1 Mix design data, asphalt-treated permeable base
34.28.2 Plant records, asphalt-treated permeable base
34.28.3 Spread records, asphalt-treated permeable base
34.4 Certificates of compliance for materials used in treated bases
Category 35 Hot Mix Asphalt
In this category, file documents related to hot mix asphalt, except those to be filed in
other specific categories such as in 37 and 48. Following are suggested subcategories:
Form CEM-3501, Hot Mix Asphalt Production Report
Form CEM-3502, Hot Mix Asphalt Placement Report
Form CEM-3511, Contractor Job Mix Formula Proposal
Form CEM-3512, Contractor Hot Mix Asphalt Design Data
Form CEM-3513, Caltrans Hot Mix Asphalt Verification
Certificates of compliance for materials used in hot mix asphalt
Category 36 Concrete (other than structure items)
In this category, file documents related to concrete. Do not include documents that are
to be filed in other specific categories such as 37, 43, and 48. For structure items, the
project documents are to be filed in Category 43. Refer to the Bridge Construction
Records and Procedures manual for details. Following are suggested subcategories for
this category:
36.1 Portland cement concrete pavement.
36.1.1 Mix Designs.
36.1.2 Plant Records.
36.1.3 Certificates of Compliance for materials used in concrete pavement.
36.2 Portland cement concrete, Class A Structure and minor concrete.
36.2.1 Mix Designs.
36.2.2 Plant Records.
36.2.3 Certificates of compliance for materials used in Class A structure concrete
and minor concrete.
Category 37 Initial Tests and Acceptance Tests
In this category, file initial tests and acceptance tests. File documents in each
subcategory chronologically unless there is a specific reason for doing otherwise.

Use subcategories similar to the examples shown below. Create a numbering system
that identifies the category, item, and subcategory. For example, 37.21.3 indicates:
Category 37 Acceptance Tests; 21 is the contract item number of the material and
identifies the subcategory; and 3 is the second level subcategory identifying the
particular test result.
Form CEM-3701, Test Results Summary
Form CEM-3702, Relative Compaction Summary
Form CEM-3703, Caltrans Production Start-Up Evaluation
Embankment
37.10.1 Relative Compaction
Structure Backfill
37.14.1 Sand Equivalent
Aggregate Subbase
37.21.2 Moisture
37.21.3 Sieve Analysis
37.21.5 Record of Thickness
(summarized in the order that the measurements are made)
Aggregate Base
37.22.2 Moisture
37.22.5 Record of Thickness
(summarized in the order that the measurements are made)
Hot Mix Asphalt
37.31.1 Aggregate Gradation
37.31.2 Asphalt Binder Content
37.31.3 Maximum Theoretical Density (%)
37.31.4 Sand Equivalent (min)
37.31.5 Stabilometer Value (min)
37.31.6 Air Voids content
37.31.7 Crushed Particles
37.31.8 Moisture Content
37.31.9 Los Angeles Rattler
37.31.10 Fine Aggregate Angularity
37.31.11 Flat and Elongated Particle
37.31.12 Voids in Mineral Aggregate

37.31.13 Voids with Asphalt
37.31.14 Dust Proportion
37.31.15 Smoothness
37.31.16 Asphalt Binder
37.31.17 Asphalt Rubber Binder
37.31.18 Asphalt Modifier
37.31.19 Crumb Rubber Modifier
37.31.20 Certificates of Compliance for Materials Used in Hot Mix Asphalt
Portland Cement Concrete Pavement
37.42.2 Cleanness Value
37.42.4 Modulus of Rupture
37.42.5 Penetration Values
37.42.6 Cement Content
37.42.7 Profilograph Summary
37.42.8 Coefficient of Friction
37.42.9 Other related items
Bills of lading and copies of sample identification tags may be filed in this category
temporarily and discarded when their respective test reports are filed.
File test results for items assigned to Office of Structure Construction personnel in this
category in accordance with instructions contained in the Bridge Construction Records
Category 38 Quality Control and Quality Assurance
In this category, include all documents relating to quality control and quality assurance.
Create a subcategory system to include the following:
Forms CEM-3801, Request for Assignment of Inspectors, Samplers, and Testers
and Form CEM-3802, Quality Control Inspector Affidavit of Proficiency.
Form CEM-3803, Hot Mix Asphalt Daily Summary of Quality Control.
Form CEM-3804, Hot Mix Asphalt Inspection and Testing Summary.
Copies of related correspondence.
Category 39 Materials Testing Qualification of Employees
In this category, file copies of certifications of the employees performing acceptance
tests.
Category 40 Field Laboratory Assistant Reports to Resident Engineer
In this category, file chronologically any reports made out by the projects materials
tester. For more than one type of report, such as a report and a summary form, provide
separate subcategories.

Category 41 Report of Inspection of Material
In this category, file the following forms:
Form TL-0015, Quality Assurance-Nonconformance Report
Form TL-0016, Quality Assurance-Nonconformance Resolution
Form TL-0029, Report of Inspection of Material
Form TL-6013, Material Suitability Documentation Report
Form TL-6014, Material Suitability Report
Form TL-0624, Inspection Release Tag
Form TL-0625, Materials Suitability Tag
Form CEM-4101, Materials Release Summary
Form CEM-4102, Material Inspected and Released on Job
Create subcategories within Category 41 for each contract item requiring inspection at
the source by a METS inspector. Place a summary sheet (use Form CEM-4101,
Materials Release Summary) in each subcategory containing the date of inspection,
quantity inspected, cumulative quantity, and lot numbers. The summary sheet
documents that materials used in the work have been inspected.
Staple Form TL-0624, Inspection Release Tag, removed from materials received on
the project, to Form TL-0029, Report of Inspection of Material, on a letter-size sheet
of paper and file it in the appropriate subcategory. The sheet should include the name
of the engineer who removed it and the date removed. When lot numbers are marked
on the items, note the observed lot number on the related Form TL-0029.
Form TL-0625, Materials Suitability Tag, should be attached to the TL-6014,
Materials Suitability Report, received from METS and filed.
When the Form TL-0029 includes material for more than one item, include a reference
on the summary sheet showing the file location of the TL-0029.
File test reports (usually on Form CEM-4102, Material Inspected and Released on
Job) that cover material sampled on the job in lieu of source inspection in the
appropriate subcategory of this category, not in Category 37.
File reports of inspection or certificates of compliance for materials assigned to the
structure representative in this category in accordance with instructions contained in
Category 42 Material Plants
In this category, file Form CEM-4202, Material Plant Safety Checklist and all other
project documents pertaining to material plant inspections.
Category 43 Concrete and Reinforcing Steel
In this category, file documents relative to concrete and reinforcing steel in accordance
with instructions in the Bridge Construction Records and Procedures manual.
Category 44 Recycle Materials and Diversion of Solid Waste
In this category, file a completed copy of Form CEM-4401, Solid Waste Disposal and
Recycling Report. The contractor completes Form CEM-4401 and the resident
engineer reviews the form within the reporting time constraints. The use of this form is

described in Section 7-108, Solid Waste Disposal and Recycling Reporting, of this
manual.
Category 45 Resident Engineers Daily Reports
In this category, file Form CEM-4501, Resident Engineers Daily Report/Assistant
Resident Engineers Report and the structure representatives daily report.
Category 46 Assistant Resident Engineers Daily Reports
In this category, file Form CEM-4601, Assistant Resident Engineers Daily Report.
Subcategories may be used. They may vary depending on the complexity of the project
and the desires of the district. The resident engineer and the structure representative
must agree on the subcategories before the start of work. Follow the procedures
described below to establish the subcategories.
1. Reports Covering Contract Items
Create a subcategory for each major operation so that all items affecting the major
operations are grouped together. An example of a system for a relatively large
project follows on the next page.
Modify the above breakdown to conform to the size and nature of the project.
Make the breakdown narrow enough so that reports covering any particular
contract item may be obtained with ease. Review the breakdown to ensure it
includes all contract items.
Make as many daily reports as necessary to cover all contract item work in the
appropriate subcategories.
As indicated in the example below, set up a separate subcategory for each
structure.

Category and Contract Items
Subcategory Involved in the
Number Operation
46.1 Chronological All

46.2 Clearing and Grubbing 5
46.3 Roadway Excavation, Ditch Excavation 8,13,11,15,22
Aggregate Subbase
46.4 Salvage Fence, Fence Gates 2,78,79,80
46.5 Guard Railing, Markers, Barricades 1,4,82,83,87
46.6 AB, CTB 23,24
46.7 Hot Mix Asphalt Slurry Seals, Dikes 28,29,30,31,32
46.8 Concrete Paving 35,36,37
46.9 Curbs and Sidewalks, Slope Paving, 73,74,76,77
Curb Drains, Spec. Gutter Drains
46.10 Minor Str., Precast MH and DI, 42,69,70,46,75
Reinf. Steel, Misc. Iron and Steel
46.11 RCP, CMP, SSP Arch, Drainage Gates, 9,11,58
Under/Down Drain, Str Exc., Str. Backfill
46.12 Preparing Slopes, Straw 16,17,18,19,20
46.13 Permanent Signing 52,53,54,55
46.14 Hwy. lighting and sign illumination 88
46.15 Finishing Roadway 21
46.16 Structure #1 89,90,91
46.17 Structure #2 89,90,91
2. Reports Covering Extra Work

Pending receipt of the contractors billing, file chronologically the original and one
copy of Form CEM-4601, Assistant Resident Engineers Daily Report, covering
extra work in a subcategory of this category. After receiving the change order bill
report and approving payment, record the change order bill number on both copies
of the daily report covering the extra work. Keep one copy of the daily report in
this chronological file and use it to detect future billings for the same work. File the
second copy with the daily extra work report in Category 49.
Change order bills for material should show the date the material was supplied or
placed and referenced to the invoice so that the particular material may be readily
identified. Keep a summary of invoices paid and use it as a check against duplicate
payment.
The specific system used for filing resident engineers and assistant resident engineers
daily reports is optional (except for extra work). However, Category 45 and 46 must be
used and the file index must clearly show the specific system being used.
Category 47 Drainage Systems
To maintain a record of contract items for drainage systems, use Form CEM-4701,
Drainage System Summary.
Use a Form CEM-4701 for each drainage system shown on the drainage quantity plan
sheet. The preliminary work required to set up each system summary includes entering

the contract number, the system number, planned station and description of the system,
and the preliminary or planned quantities which are entered from the drainage quantity
plan sheet.
The assistant resident engineer describes progress on each drainage system in the daily
report and enters estimates of work completed on the Progress Record portion of the
drainage system summary.
Enter the quantity of work completed during an estimate period or near the end of the
estimate period for each item in the Estimate of Work Completed portion of the
drainage system summary. The quantities of work completed may then be entered on
Form CEM-6004, Contract Transactions Input, and paid on the next estimate. Use
the extra column next to the item quantity column to identify the Form CEM-6004
page and line number where the quantity was entered. After all items for a particular
drainage system have been calculated and checked, the final quantities are entered in
the row labeled, Actual Q.
To keep track of and reduce the number of drainage system summaries that have to be
checked at the end of each estimate period, divide the category into the following
subcategories:
47.1 Before Work Starts
47.2 Staked and Being Worked On
47.3 Drainage System Complete, Final Quantities Not Complete
47.4 Final Quantities Completed
Example:
47.1 Before Work Starts

Place the preliminary drainage summaries in this subcategory in numerical order.
Each drainage system summary will remain in this subcategory until work starts
on that system.
47.2 Staked and Being Worked On
When a drainage system is staked, transfer the drainage summary sheet from
index 47.1, Before Work Starts, to index 47.2, Staked and Being Worked On.
Transfer the individual quantity calculation sheets with the drainage summary.
47.3 Drainage System Complete, Final Quantities Not Complete
After all work is completed on a particular drainage system, transfer the summary
sheet with its calculation sheets to this subcategory. Removing the summary from
the preceding index (47.2, Staked and Being Worked On), precludes having to go
through completed structure summaries at the end of each estimate period when
making entries of work completed. Determination of pay quantities should be
made as soon as possible after work on the system is complete.
47.4 Final Quantities Completed
After all quantity calculations for a drainage system are completed and the
adjusted quantities entered into the project record, transfer the summary sheet and
its calculation sheets to this subcategory.

Since all drainage quantity calculation sheets will remain filed in Category 47, some
item-numbered folders in Category 48 may have no documents.
Category 48 Bid Item Quantity Documents
In this category, file source documents supporting contract item quantities. List the
subcategories in Category 48 by contract item number order. Identify individual
calculation sheets for the various contract items in the following manner. A quantity
sheet with the number 48-14-2 indicates that it is sheet number 2 covering contract
item number 14 and filed in Category 48, Bid Item Quantity Documents. Some
drainage item quantity documents may be filed in Category 47.
Category 49 Change Orders
In this category, file change orders and supporting documents in numerical order.
Subcategories of this category are change order numbers in numerical order.
Contained within each subcategory are:
The Form CEM-4900, Change Order, Form CEM-4903, Change Order
Memorandum, and any accompanying correspondence.
Form CEM-4901, Change Order Input.
Daily change order bills and reports matched with assistant resident engineers
daily reports
Two additional subcategories may be:
The Labor Surcharge and Equipment Rental Rates (Cost of Equipment
Ownership) books applicable to the contract.
Equipment rental rates and memos covering rates not shown in the Labor
Surcharge and Equipment Rental Rates Book.
Category 50 Adjustment in Compensation Calculations
In this category, file project documents and calculations to support adjustments in
compensation.
After a change order is written, the supporting project documents may be transferred to
the change order file or remain in this category. Provide cross references between
categories 49 and 50 when the supporting documents and calculations remain in
Category 50.
List the subcategories under this category by contract item numbers.
Category 51 Materials on Hand
In this category, file Form CEM-5101, Request For Payment for Materials on Hand,
the related evidence of purchase, and any other project documents supporting material
on hand payments.
Category 52 Charges to Total Contract Allotment
In this category, file the documents related to and supporting charges to the contract
allotment for materials and services supplied by Caltrans.
Divide the category into the subcategories indicated below:
Department-Furnished Material and Expenses.

In this subcategory, file the contractors letters requesting delivery of Department-
furnished materials. Also, file the receiving records or other records of material
furnished by Caltrans. When Department-furnished material is received as
evidenced by a shipping record and a receiving record, file the related shipping and
receiving records together.
Service Contracts.
In this subcategory file, supporting documents and records of project related
services. These are not the service contracts connected with the project office.
Category 53 Credit to Contract
In this category, include a subcategory to keep a record of any salvaged or surplus
material. Also set up a subcategory for copies of daily extra work reports which cover
repair of damage to state property by third parties (refer to Reports of Damage to State
Highway Property in the Caltrans Safety and Health Manual).
Credit received for salvaged or surplus material or repair of damage is not applied to
the contract allotment and the project is not given credit for any additional money to
spend.
Category 54 Deductions From Payment to Contractor
In this category, file documents related to deductions from payments to contractors.
Possible subcategories include the following:
Royalties on material.
Materials bought for the contractor by Caltrans.
Laboratory testing done for the contractor (refer to Section 6, Control of
Materials, of the Standard Specifications).
Engineering and inspection charged to the contractor (refer to Section 3-512,
Construction Surveys, of this manual for restaking charges).
Costs of damaged or missing state-owned signs.
Railroad flagging charges.
Noncompliance with the equal employment opportunity provisions of the contract.
Liquidated damages (refer to Section 3-906G, Deductions, of this manual).
Any other deductions (refer to Section 3-9, Payment of this manual).
Categories 55 Partnering
This category is for filing all documents related to partnering meetings, workshops, and
evaluations. Subcategories may include:
Form CEM-5501, Partnering Facilitator EvaluationKick-Off
Form CEM-5502, Partnering Facilitator EvaluationClose-Out
Categories 56 through 58 Extra Category Numbers
These are extra numbers that may be used for project documents that do not fit in
presently established categories. When used, enter them on the index sheets.

Category 59 Bridge Estimate Data
In this category, file the bridge estimate data as covered in the Bridge Construction
Records and Procedures manual.
Category 60 Contract Administration System Inputs and Reports
This category contains documents resulting from the contract administration system.
Possible subcategories are:
Form CEM-6002, Contract Administration System (CAS)Report Requests
Form CEM-6003, Progress PayEstimate Project Initiation or Update
Form CEM-6004, Contract Transactions Input
The following contract administration system reports are cumulative, usually requested
after each progress estimate payment using CEM-6002. Only the most current results
need to be retained.
Status of Contract Items
Project Record Item Sheets
Status of Change Orders
Change Order Master Listing
Category 61 Estimate and Project Status
In this category, file monthly Project RecordEstimate Request documents. The
suggested subcategories of this category are:
Project Contingency Fund Status
Estimate
The following documents may be filed by estimate number in numeric order:
Form CEM-6101, Project RecordEstimate Request
Estimate Verification Form
Progress Payment Voucher
Estimate Processing Results
Project Record-Estimate and Project Status
Category 62 Disputes
In this category, file notes, photographs, information, and other project documents that
may be necessary to establish facts with respect to a dispute. Include any documents
that may be related to a dispute in this category or briefly describe and cross-reference
them.
Number notices of potential claims in chronological order. These numbers may then be
used for subcategories.
The scope of this category may vary considerably, depending upon the nature and
circumstances of the dispute. The following types of documents indicate the type of
information that should be included:
Form CEM-6201, Notice of Potential Claim

Acknowledgment of the contractors dispute
Disputes Review Board Agreement
Contractors claim for a time extension (cross-reference to Category 27)
Acknowledgment of the contractors claim for time extension
Other correspondence relating to disputes
Photographs pertaining to disputes
Category 63 Project Completion Documents
In this category, file documents related to the completion of the project. The following
are suggested subcategories:
Form CEM-6301, Contract Acceptance
Form CEM-6302, Final Materials Certification
Punchlist
5-102D Category Numbers and Headings
Category Heading
No.
1 Project Personnel
2 Project Office Equipment and Supplies
3 Equipment and Personnel Cost Reports
4 Service Contracts
5 General Correspondence
6 Safety
7 Public Relations
8 Construction Surveys
9 Welding
10 (Extra category number)
11 Information Furnished at Start of Project
12 Contractor
13 Signs and Striping
14 Photograph Records
15 Accidents
16 Utility Agreements
17 Utility Work Performed
18 Agreements
19 Hazardous Waste and Hazardous Materials
20 Water Pollution Control Plan or Stormwater Pollution Prevention Plan
21 Construction Zone Enhanced Enforcement Program
22 Traffic Management Information
23 (Extra Category Number)
24 Disadvantaged Business Enterprises and Disabled Veteran Business
Enterprises

Category Heading
No.
25 Labor Compliance and Equal Employment Opportunity
26 Progress Schedule
27 Weekly Statement of Working Days
28 Weekly Newsletter
29 Materials Information and Preliminary Tests
30 Basement Soil Test Results
31 Notice of Materials to Be Used (CEM-3101)
32 Notice of Materials to be Inspected (TL-0028)
33 Notice of Materials to be Furnished (TL-0608)
34 Treated Base
35 Hot Mix Asphalt
36 Concrete (other than structure items)
37 Initial Tests and Acceptance Tests
38 Quality Control Quality Assurance
39 Materials Testing Qualifications of Employees
40 Field Laboratory Assistant Reports to Resident Engineer
41 Report of Inspection of Material
42 Material Plants
43 Concrete and Reinforcing Steel
44 Recycle Materials and Diversion of Solid Waste
45 Resident Engineers Daily Reports
46 Assistant Resident Engineers Daily Reports
47 Drainage Systems
48 Contract Item Quantity Documents
49 Change Orders
50 Adjustment in Compensation Calculations
51 Materials on Hand
52 Charges to Total Contract Allotment
53 Credit to Contract
54 Deductions from Payment to Contractor
55 Partnering
56-58 (Extra category numbers)
59 Bridge Estimate Data
60 Contract Administration System Inputs and Reports
61 Estimate and Project Status
62 Disputes
63 Project Completion Documents

5-102E Alphabetical Listing Of Categories
Heading Category No.
Accidents 15
Adjustment of Compensation Calculations 50
Agreements 18
Assistant Resident Engineers Daily Reports 46
Basement Soil Test Results 30
Bridge Estimate Data 59
Change Orders 49
Charges to Total Contract Allotment 52
Concrete and Reinforcing Steel 43
Concrete (other than structure items) 36
Construction Surveys 8
Construction Zone Enhanced Enforcement Program 21
Contract Administration System Inputs and Reports 60
Contract Item Quantity Documents 48
Contractor 12
Credit to Contract 53
Daily Reports, Assistant Resident Engineers 46
Daily Reports, Resident Engineers 45
Deductions from Payment to Contractor 54
Disadvantaged Business Enterprises and Disabled Veterans 24
Disputes 62
Drainage Systems 47
Estimate and Project Status 61
Equipment and Personnel Cost Reports 3
Extra Categories 10, 23, 56, 57, 58
Field Laboratory Assistant Reports to Resident Engineer 40
General Correspondence 5
Hazardous Waste and Hazardous Materials 19
Hot Mix Asphalt 35
Information Furnished at Start of Project 11
Initial Tests and Acceptance Tests 37
Labor Compliance and Equal Employment Opportunity 25
Materials on Hand 51
Material Plants 42
Materials Information and Preliminary Tests 29
Materials Testing Qualifications of Employees 39
Notice of Materials to be Furnished (Form TL-0608) 33

Heading Category No.
Notice of Materials to be Inspected (Form TL-0028) 32

Notice of Materials to Be Used (Form CEM-3101) 31
Partnering 55
Photograph Records 14
Progress Schedule 26
Project Completion Documents 63
Project Office Equipment and Supplies 2
Project Personnel 1
Public Relations 7
Quality Control Quality Assurance 38
Recycle Materials and Diversion of Solid Waste 44
Report of Inspection of Material (TL-0029) 41
Resident Engineers Daily Reports 45
Safety 6
Service Contracts 4
Signs and Striping 13
Traffic Management Information 22
Treated Base 34
Utility Agreements 16
Utility Work Performed 17
Water Pollution Control Plan or Stormwater Pollution 20
Prevention Plan
Weekly Newsletter 28
Weekly Statement of Working Days (Form CEM-2701) 27
Welding 9
5-103 5-103 The Contract Administration System

Contract
5-103A General
Administration
System This section describes the contract administration system, sometimes referred to as the
progress pay system. The primary purpose of this computer system is to help
administer Caltrans construction projects. Various functional units within the Division
of Construction update and maintain records on individual contracts in the contract
administration system from the award and approval of the contract through to the
completion and final payment.
The contract administration system is one of three subsystems of the Project
Information System and Analysis (PISA). The three PISA subsystems that make up the
primary computer system that Caltrans uses for tracking contract capital costs are:
planning and design, bidding and award, and project construction. In essentially a
straight line, each module of PISA passes data to the next module as a project
progresses from conception to completion. Refer to Figure 5-1.1, Contract
Administration System, Systems Interface, for a general overview of how the contract

administration system relates to the other components of the Caltrans computer system
used for tracking and paying contract capital costs.
The contract administration system is also composed of separate modules, each of
which accomplishes a distinct function. The following are the most common of the
contract administration systems many modules:
Project initiation and update
Contract transactions
Change order
Daily extra work report
Project record estimate
Reports
Online update and inquiry
Resident engineers use these modules to do the following:
Account for quantities from source documents
Account for change orders and payments for extra work
Determine the status of the projects financing
Authorize payments to contractors

Figure 5-1.1. Contract Administration System, Systems Interface
BID OPENING SYSTEM PROJECT MANAGEMENT

(BID) CONTROL SYSTEM (PMCS)
The BID passes contract The PMCS passes contract

item information and the location, federal-aid number,
winning bidders name project type, and project
and address when the descriptions to the CAS.
project is initiated into Project cost information is
CAS. CONTRACT passed to the PMCS system
ADMINISTRATION from the Contract Summary
SYSTEM Record.
(CAS)
DISTRICT CONSTRUCTION UNIT

CONSTRUCTION COST SYSTEM (CUC)
The CAS files are The CUC gathers item

updated daily from all 12 prices from BID, Basic
Caltrans districts with Engineering Estimating
contract payment System (BEES), and
information. change order entries.
BRIDGE DATA EXTRA

MANAGEMENT (BDM) WORK
BILLING
Report of any structure SYSTEM
work done on highway (EWB)
contracts.
STATE CAS Authorizes

CONTROLLER ACCOUNTING SUBSYSTEM payments to
the
ERP passes an Issues payment transaction contractors
electronic file to the information to ERP Financial
State Controller InfraStructure (E-FIS).
containing contractor
payment information.
State Controller
creates pay vouchers
and distributes the
warrants and payment
vouchers to the
contractors. ERP FINANCIAL
INFRASTRUCTURE
(E-FIS)
CAS places all contract payment

transactions on a collector to be
picked up by E-FIS. Payment
information is used to make up DISTRICT or
the Federal Bill. HEADQUARTERS
CONSTRUCTION

5-103B Project Initiation and Update
5-103B (1) Major and Minor A Contracts
When Caltrans has determined the lowest responsible bidder, the Office of Office
Engineer will transfer project data from the bid opening system to the contract
administration system. Usually, this data transfer will occur before awarding the
contract and before determining the total allotment. When this information about the
award and total allotment becomes available, the Division of Construction will then
update the computer file (by adding to or changing existing information).
Immediately after the new contract information in the computer file has been
transferred from the bid opening system, the data is available to the district for
processing. The district must then update the file with district information such as the
resident engineers name and address, the bridge representatives name, and the
projects password. To perform the update, the district uses Form CEM-6003, Project
PayEstimate Project Initiation or Update which is explained in more detail under
the heading Filling Out Form CEM-6003, below.
The result of the districts file update will be a dummy Form CEM-6101, Project
RecordEstimate Request, and a contract contents report, which lists contract items.
The form and report should be checked thoroughly and any discrepancies brought
immediately to the attention of the Division of Construction progress pay coordinator.
During a contracts life, the contractor may request a local address change or a legal
name style address change. The district must maintain the accuracy of local address
information in the contract administration system using Form CEM-6003, Project
PayEstimate Project Initiation or Update. The State Controller mails progress
payment checks to the legal name style address. Only the Division of Constructions
progress pay coordinator is authorized to make changes to the legal name style address
from Form CEM-1202, Contractor Action RequestChange of Name/ Address
Assignment of Contract Monies, verified by the resident engineer with the Division of
Construction field coordinators concurrence.
5-103B (2) Emergency Contracts in Excess of Minor B Limits
Payment for all emergency contracts estimated at greater than the minor B contract
limit in construction cost are to be paid through the contract administration system
(CAS). As of January 1, 2012, the minor B limit is $270,000. This limit is evaluated
and re-established every 2 years.
The district performs the initial setup of emergency contracts in CAS using the
Emergency Force Account (EFA) Contract Initiation Instructions in CAS (Contract
Administration System). The headquarters estimate desk performs the final setup steps.
Entering the emergency contract in CAS is typically performed after the Confirmation
of Verbal Agreement has been issued, but prior to the contract being authorized. This
allows the contractor and the engineer to begin processing change order billings.
Progress estimates are not to be requested until confirming the contract has been
authorized and the E-FIS contract document has reached the final stage.
To establish a contract in CAS, a minimum of one contract item must be used. This is
typically covered by establishing the one item for the amount of the contract payment
bond. In order to process change order billings, CAS requires at least one change order
be issued. The change order is administrative only, and issued for the total of the
construction authorization, less the value of the bid item(s), less $15,000. Establishing

the change order for this amount provides protections to ensure change order billings
are not authorized for more than the available funds.
5-103B (3) Completing Form CEM-6003, Project PayEstimate Project
Initiation or Update
The purpose of Form CEM-6003 is to add new information, or to change information,
in the computer file. The computer program will accept such changes only for contracts
in your own district.
Except for the Project Key, complete only the data fields that you wish to update.
The computer program will ignore blank fields and will place the data from the
completed fields in the file whether or not such information is already on file. Fields
left blank on the input form do not change what is in the file.
Ensure the data you enter on the form conforms to these rules, listed by data field as
follows:
5-103B (3a) Project Key
Enter the letter U under FB, and in the remaining spaces, enter the district and
contract number.
5-103B (3b) Card Type C05 (each field is independent and can be updated
separately)
For the following data fields under card type C05, do the following:
Resident engineers phone number.
Responsible unit: Though the current financial system (E-FIS) now uses a 4-digit
source unit value, enter the prior financial system (TRAMS) 3-digit source unit
value. The responsible unit may range from 501 to 545. Warning: Until this
number is in the computer file, progress pay estimates cannot be processed.
Date work started: Enter the date the contractor began work on the job site. If work
has not begun, leave this field blank and submit an update when work begins.
Estimated date for completion: Enter your best estimate, not the calculated
completion date. When progress estimate requests are submitted, this date is
updated.
Password: Use of this feature is optional. Enter any combination of six characters.
The characters may be alphabetic, numeric, or one of the following special
characters: *, /, =, (,), +, -, @, #, %, &. Once established, this password is required
when you file, among other things, contract item payments, using Form CEM-
6004, Contract Transactions Input. The password will restrict access to the
computer files.
Suspension or reactivation: If a contract is suspended, enter the date of suspension
and S in the SR column. When the suspended contract is reactivated, enter the
date of reactivation and R in the SR column. You only have 30 calendar days
from the suspension or reactivation date to enter this information into the
computer.
Plant establishment: If the project requires retentions be held at 5 percent for the
contracts life, enter an X in the PE column. Current legislation prohibits
retentions on all state and federally funded contracts through January 1, 2020.

First Chargeable Working Day: Enter the date that contract time begins, usually 15
calendar days after the approval date. This is the date used to calculate the number
of working days that determine satisfactory progress and the percent of time
elapsed.
5-103B (3c) Card Type C06 to C08
Resident engineers mailing address: On the first line, enter the resident engineers last
name first, followed by a comma. Then enter a space and the first name, followed by a
space and middle initial (SMITH, John C.). On the second and third lines, enter the
mailing address of the construction field office. Warning: The computer program treats
all three lines as a single data field. If you need to change this field, you must reenter
all three lines.
5-103B (3d) Card Type C09 to C14
Only the Division of Construction progress pay coordinator can change the legal name
style address in the contract administration system.
To change the contractors local address, enter the contractors name on line C09, and
as necessary, continue the name on lines C10 through C12. Leave unused lines blank.
Enter the contractors local address on lines C13 and C14. Also enter the contractors
local phone number on line C14.
Warning: You must enter the entire name and address each time you wish to update
any or all of these lines. You cannot update a single line.
5-103B (3e) Card Type C15
For the following data fields under card type C15, do the following:
Structure representatives name: If the contract requires structure work, enter the
structure representatives name even if it is the same name as the resident
engineers. Enter only the last name and first initial (SMITH, J.)
Structure responsible unit: Though the current financial system (E-FIS) now uses a
4-digit source unit value, enter the prior financial system (TRAMS) 3-digit source
unit value. The unit may range from 550 to 599.
Original authorized amount for structure work: At the contracts start, the resident
engineer and the structure representative must determine the initial value of the
required structure work. This value should include any portion of the contract item
for mobilization that will be claimed as structure work. Warning: If this amount is
not on file, the Office of Structure Construction cannot obtain any reports for this
contract.
Structure mobilization percentage: Enter, to the nearest whole percent, the portion
of the contract item for mobilization that will be claimed as structure work.
Structure completion: Enter a C to indicate the completion of structure work.
5-103B (4) Processing
The contract administration system analyzes the changes made to the computer file and
does the following:
The contract administration system notes whether the district is updating the
Responsible Unit field for the first time. If so, the contract administration system
prints a dummy Project RecordEstimate form and a Contract Contents Report.

If this update is not the first update, the contract administration system prints only
the first page of the Contract Contents Report. The contract administration system
prints the dummy Project RecordEstimate form only if the contractors name
and address field has been changed.
The contract administration system also prints a listing of update requests, which is
a summary report of all fields that have been updated in this run.
5-103C Contract Transactions
The majority of all data submitted to the contract administration system will be contract
transactions from the resident engineer on Form CEM-6004, Contract Transactions
Input. Contract transactions are divided into the following three categories:
Contract item transactions: These consist of five types of transactions that refer to
contract items.
Miscellaneous transactions: These consist of four types of transactions to handle
general project needs.
Change order transactions: These consist of three types of transactions that refer to
change orders.
The Contract Transaction Processing Module processes this total of 12 transaction
types. Together with the services that the CCO and DEWR Processing Modules
perform, these modules are sufficient to generate contract records that provide control
of progress payments and track the financial status of the contract.
5-103C (1) Transaction Types
The following describes, by category, the 12 possible transaction types:
5-103C (1a) Contract Item Transactions
The contract administration system provides five different ways to refer to a contract
item in Form CEM-6004, Contract Transactions Input. Another way is by including
the item as part of a change order. This will cause the authorized quantity to be
adjusted automatically. Thus, you do not have to account for status changes due to
change orders. You can reference contract items through the following contract item
transactions:
Contract item payment: Make item payments by posting line entries to Form
CEM-6004 in any random order. Indicate bridge items by entering B in the
proper column. If you use the report titled Bridge Quantities by Structure, you will
also need to enter the structure number in accordance with instructions in Volume
I, Section 6, of the Bridge Construction Records and Procedures manual. Refer to
Example 5-1.2, Contract Transaction Input, Line 01.
Contract item quantity balance: You may adjust the authorized quantity if
necessary by submitting quantity balances as line entries on Form CEM-6004.
You might need to make this type of transaction for various reasons. For example,
a need might exist because of an incorrect engineers estimate for a contract item
that would have a major impact on the contingency balance. This transaction type
adjusts the authorized final cost for your project, as shown in the later discussion of
progress pay estimates. Refer to Example 5-1.2, Line 02.
Contract item anticipated change: This transaction gives the engineer a method to
allocate project funds to a specific contract item based on knowledge of anticipated

additional or decreased work. Such transactions affect the estimated final quantity
for the item and also the estimated final cost for the project. The effect of these
transactions is cumulative. If additional work is authorized by change order, a
reversing entry is necessary. Refer to Example 5-1.2, Line 03.
Contract item final balance: When work is completed on a contract item, you
should enter this fact into the system. This entry will mark the item in the computer
file as Complete. On all subsequent progress pay estimates, the authorized
quantity and the estimated final quantity will default to the amount paid to date,
thus automatically balancing out the item. Additional item payments may be made,
and the system will continue to balance the contract items. Refer to Example 5-1.2,
Lines 04 and 05.
Contract item final balance (Reopen): This transaction allows you to reverse the
status of the contract item from Complete to Active. For example, you would
use Reopen to change an incorrect entry that showed the item was complete.
Refer to Example 5-1.2, Line 06.
The four transaction types listed below comprise miscellaneous transactions, the
second category of contract transactions:
Anticipated change: Use this transaction to record anticipated additional or
decreased work when it is not possible or desirable to tie the anticipated change to
a specific contract item or change order. These transactions are not cumulative and
will affect the projects estimated final cost only on the next progress pay estimate
to be generated. Refer to Example 5-1.2, Line 07.
These transactions are placed in the computer file, and their sum will appear on the
next progress pay estimate that generates payment. If the next estimate is a
supplemental progress pay estimate, only enter material on hand payment requests
if the material on hand payment request was mistakenly omitted from the
previously run progress pay estimate.
For more information about materials on hand, refer to Section 3-9, Payment, of
this manual. Refer to Example 5-1.2, Line 08.
Department-furnished materials allotment transfer: Use this transaction to increase
or decrease the value of the Department-furnished materials allotment for your
contract. The construction allotment will automatically adjust. To increase the
Department-furnished materials allotment, enter a positive number. (This type of
entry will decrease the contingency balance.) Refer to Example 5-1.2, Line 09.
Total allotment changes: Use this transaction to enter into the system any
supplemental allotment that increases (or decreases) your contracts total
allotment. The total allotment in the computer file will adjust automatically as will
the construction allotment. The construction allotment is defined as the total
allotment less the Department-furnished materials allotment. Refer to Example 5-
1.2, Line 10.
The three transaction types listed below comprise change order transactions, the final
category of contract transactions:

Change order anticipated change: This transaction has the same effect as does the
contract item anticipated change except that a change order is being changed.
Refer to Example 5-1.2, Line 11.
Change order final balance: This transaction has the same effect as does a contract
item balance. When work on a change order is finished, mark it Complete by
entering this transaction. As with contract items, additional change order bills may
be paid, and the system will continue to balance the change order. Refer to
Example 5-1.2, Line 12.
Change order final balance (Reopen): This transaction allows you to reverse the
status of the change order from Complete to Active. Refer to Example 5-1.2,
Line 13.
5-103C (2) Completing Form CEM-6004, Contract Transactions Input
The resident engineer will use Form CEM-6004 more often than any other form in the
contract administration system. Page 2 of the form provides instructions for completing
it, and this section contains a completed sample of the form. Refer to Example 5-1.2,
Contract Transaction Input.
We cannot overemphasize the importance of legible entries that conform to the
instructions for completing the form. Also, because of the high volume of transactions,
make your entries on Form CEM-6004 as soon as the information becomes available.
Partially filled pages are acceptable.
The sample form in this section shows some transactions. Note that leading zeros are
not required in the numeric fields and that the plus sign is not required in the +/-
columns. The following instructions are for the fields common to all transactions:
Enter the district, contract number, password (if used), and page number. When
assigning a page number, be careful because duplicate numbers will cause all
transactions on the page to be rejected. You must complete these fields.
Enter the posting date.
Enter the source document description. If the transaction type refers to a project
source document, (for example, a calculation sheet or a scale sheet), enter into the
forms description column an adequate description of the source document. The
source document must cross reference to Form CEM-6004. Post the page number,
line number, and posting date from Form CEM-6004 to the source document.
Refer to Example 5-1.1, Quantity Calculation, for a typical source document.
Note: The last six characters of the source document description can be the
structure number if this item concerns structure work. Refer to Example 5-1.2,
Line 01.
Mark the structure field with the character B if this transaction concerns
structure work. Otherwise, leave the space blank. If you use the report titled
Bridge Quantities by Structure you will also need to enter the structure number in
accordance with the instructions in Volume I, Section 6, of the Bridge
The forms remaining fields are divided into two sections, Contract Item Entries, and
All Other Entries. If you make any entry in one or more fields of one of the sections,
all fields in the other section must be left blank. A single line entry cannot serve double
duty.

5-103C (2a) Contract Item Entries
Each type of contract item transaction has its own format. Fill in the various fields as
shown on page 2 of Form CEM-6004. The following are the rules for making contract
item entries:
Quantity balance transactions:
1. Lump sum items cannot be quantity balanced. If you attempt to quantity
balance them, the transaction will be rejected.
2. If the quantity balance is greater than the bid quantity, a warning message is
issued.
3. If the value of the quantity balance exceeds $100,000, a warning message is
issued.
4. The new authorized quantity is calculated. If it is negative, the transaction will
be rejected.
5. If the new authorized quantity is less than the total payment for the next
estimate, a warning message is issued. Take appropriate action on this
warning, such as estimating the final quantity and inputting the increase,
covering the increase by change order, or requesting the computer to final
balance the item. Such action is necessary to keep the projects status of funds
current.
For item final balance and item final balance (Reopen), the item status is set to
Complete, or Active, respectively. The system does not check to see if the
item is a lump sum item or a final pay item.
Item anticipated quantity change:
1. If the anticipated quantity change is greater than the bid quantity, a warning
message is issued.
2. If the value of the anticipated quantity change exceeds $100,000, a warning
message is issued.
3. A new estimated final quantity is calculated. If this estimated final quantity is
negative, a warning message is issued.
4. If the new estimated final quantity is less than the total payment for the next
estimate, a warning message is issued.
Item payment:
1. Any transactions for the item Mobilization are rejected.
2. Any transactions for a void item will be rejected.
3. If the payment quantity is greater than the bid quantity, a warning message is
issued.
4. If the value of the payment quantity exceeds $100,000, a warning message is
issued.
5. The new total payment for the next estimate is calculated. If the total is
negative, the transaction is rejected. (Negative transactions under This
Estimate will be accepted.)

6. If the contract item is a lump sum item and the total payment for the next
estimate would exceed 100 percent, the transaction is rejected.
7. If the contract item is not a lump sum item, the new total payment for the next
estimate is compared to 125 percent of the bid quantity and the authorized
quantity. Warning messages are issued if the total payment is more than one or
both of these.
If the system issues any warning or rejection messages while it processes transactions
for a contract item, the complete status of the item will be printed on the Contract
Transactions Input Edit report before the system begins processing the next contract
item. Use this printout to determine the reason the system issued the message.
Percentages for lump sum quantity payments must be expressed as decimals. Only
three decimal places are available. If 5 percent is to be paid, it must be entered as
0.050; (5.00 is 500 percent).
The following are the rules for making miscellaneous transactions:
Anticipated changes:
1. If the amount anticipated exceeds $100,000, a warning message is issued.
2. If the amount anticipated exceeds 10 percent of the construction allotment, a
warning message is issued.
Material on hand payments:
1. If the amount exceeds $100,000, a warning message is issued.
2. If the amount is negative, a warning message is issued. (The system assumes
that this is a correcting entry to a previous transaction accepted by the system
and not yet processed for payment.)
3. A total is calculated for payment for the next estimate. This is the sum of all
transactions since the last estimate. If the total is negative, a warning message
is issued.
Department-furnished materials allotment transfer:
1. If the amount of the transfer exceeds $100,000, a warning message is issued.
2. A new total is calculated for the Department-furnished materials allotment. If
it is negative, the transaction is rejected.
Total allotment changes:
1. If the amount exceeds $100,000, a warning message is issued.
2. If the amount exceeds 10 percent of the total allotment, a warning message is
issued.
3. If the amount of the change is negative, a warning message is issued.
4. A new total allotment is calculated. If the amount is negative, the transaction is
rejected.
5. If the new total allotment is less than the total paid to date on the last estimate,
a warning message is issued.

The following are the rules for change order transactions:
For the change order anticipated change, the new estimated final cost is computed
for the change order and reported. The system does not do any checking.
Change order final balance and final balance (Reopen):
1. The change order status is set to Complete, or Active, respectively. The
system does not do any checking.
2. For a change order final balance (Reopen), the word Reopen must be left-
justified.
5-103C (2d) General
The Contract Transactions Processing Module will sort your transactions into order,
will edit each transaction for reasonableness and conformance to this manual, and will
either accept or reject each transaction. From this processing, the system will issue a
report titled Contract Transactions Input Edit. This report will list the disposition of
each line entry that you submitted. A comprehensive set of warning messages exists.
Do not ignore warning messages on the report.
Do not use the same page and line numbers again.
You will find a summary on the last page of the Contract Transactions Input Edit
report. The summary lists each Form CEM-6004 page that was processed and the
numbers of transactions on that page that were accepted, for which warnings were
issued, or that were rejected. Any missing line numbers on the page (breaks in the
sequence of line numbers) will be printed. Use this list to ensure that all the transactions
were entered into the system.
Examine the remainder of the report. You must respond to rejected entries and possibly
to warnings.
5-103C (2e) Audit Trail
In any accounting procedure, it is necessary to link transactions to the specific source
documents that generate the transactions. This linking is called an audit trail. Change
orders and daily extra work reports carry unique identifying numbers that contract
administration system uses in its processing. Here, a good audit trail is automatic.
However, contract transactions are different since there is no automatic reference to a
unique source document.
The contract administration system provides methods of cross-reference. You are
responsible for an adequate audit trail. Note that Form CEM-6004 is an intermediate
document in this respect.

Example 5-1.1. Quantity Calculation
Field Measurement: Estimated Quantity: 400

Field Counted: Unit of Measure: linear feet
Final Pay Item: Unit Price: $25.00
75% = 300
125% = 500
Remarks or Other Calculations:
200 linear feet placed on 5-03-01 at Maple Street onramp
Material Inspection/Release: Certificates of compliance obtained on 4-29-01
PAY THIS ESTIMATE: 200

PREVIOUS PAID: 100
TOTAL TO DATE: 300
POSTED BY DATE POSTED TO

Office Engineer 08/08/2008 CEM-6004, page 4, line 5

Example 5-1.2. Contract Transaction Input

5-103C (3) Computer Processing
The contract item totals listed below are kept for contract work and also for structure
work so that the totals can be reported separately when appropriate. Records of the
financial status of the contract items are maintained as follows:
Bid quantity: This quantity cannot be changed.
Authorized quantity: This item is the total of the bid quantity and the algebraic sum
of the quantity changes due to change orders that have been filed.
Authorized quantity: This item is the total of the authorized quantity and the
algebraic sum of the quantity balances that the engineer entered.
Anticipated final quantity: This item is the total of the authorized quantity and the
algebraic sum of the anticipated quantity changes that the engineer entered.
Item status flag: This flag is a file mark that indicates whether a contract item is
Active, Deleted, or Completed.
5-103D Change Orders
The contract administration system maintains separate records for each authorized
change order on a project. As each change order is authorized, it must be entered into
the contract administration system through the use of Form CEM-4901, Change
Order Input.
The method of entering each change order into the system may vary from district to
district, but can be done as follows:
The resident engineer writes a change order and completes Form CEM4901. For
approval procedures, refer to Section 5-3, Change Orders, of this manual. The
approval date must be entered on Form CEM-4901, and the Form CEM-4901 data
is then entered into the contract administration system.
The result of entering the form data for each change order will consist of a change
order report and a disposition report.
The resident engineer should review the change order report and correct any errors.
The contract administration system automatically makes the following changes to
the contract records:
1. The authorized final cost, the estimated final cost, the authorized contingency
balance, and the estimated final contingency balance are adjusted to new
values.
2. The totals for changes in extra work, adjustment of compensation, and
contract items are adjusted to new values.
3. Each affected contract item will have the authorized quantity adjusted to
reflect the change.
Immediately after Form CEM-4901 has been processed, the contract
administration system will accept change order bills and anticipated changes that
refer to the change order.
When the contract administration system processes a supplemental change order,
the daily extra work reports in the holding file (due to insufficient funds in the
original change order) will be made available for payment.

5-103D (1) Completing Form CEM-4901, Change Order Input
Use Form CEM-4901 to perform the following functions:
File a new change order in the computer file.
Update (change existing information) a change order in the computer file.
Replace a filed change order with another change order.
Delete a change order from the computer file.
Completing the form depends on which of the above functions you desire.
5-103D (1a) File
Enter the contract and change order numbers at the top of the form. The original
change order is supplement zero; enter the zero on the form. Ignore the function and
override boxes at the top of the form.
The remainder of the form is divided into five sections labeled Card Type 1, Card
Type 2, Card Type 3, Card Type 4, and Card Type 5. Complete only those
sections that are applicable.
Card Type 1: This section is required. Complete each entry in the section. If the entry
for the field Net Money Change This CCO is zero, enter $0.00. The field Time
Extension Days should include the number of working days added (or deleted), zero
(0), or be coded DEF (instead of a number) if the change order was written with a
deferred time adjustment clause. Enter a category code on every change order. Left-
justify this code.
Card Type 2: If extra work or adjustment of compensation is not part of your change
order, leave these fields blank. Otherwise, define the payment method by making three
entries for each change:
Make the first entry by checking either the EW or AC box to indicate extra
work or adjustment of compensation.
Make the second entry by choosing one of the FA, LS, or UP boxes to
indicate whether payments will be made by force account, lump sum, or unit price.
Make the third entry by entering the dollar amount of the change (increase or
decrease).
If multiple items of work in the change order are using the same pay method, they must
be totaled. Also, you can enter each pay method only once per change order. If there is
more than one type of extra work or adjustment of compensation on the change order,
continue making successive line entries.
Card Type 3: If you have no changes for contract item prices, do not complete this
section of the form. Otherwise, furnish the item number and increase or decrease the
quantity for each changed item.
Card Type 4: If all or part of the work to be done under the change order is structure
work, enter the net dollar amount involved. This amount will contribute to the change
order changes line of the structure totals shown on the next estimate.
If this section of the form does not apply or the amount is zero, leave the section blank.

Card Type 5: This section is required.
For federal participation, enter the FHWA funding participation determination on every
change order. If participation is in part, indicate the breakdown for participation-in-part
funding.
For federal segregation, if more than one funding source exists, show the percentage
allotted to each federal funding source.
5-103D (1b) Update
Use this function in the following way to replace any incorrect information in Card
Type 1 or Card Type 4:
Enter the contract and change order numbers.
Place the letter U, in the function box at the top right of the form.
Enter the correct information in the appropriate fields. All information in Card
Type 1 is always required.
Leave all other fields on the form blank.
The module for processing change orders will identify the fields that you have
completed and will change this information in the computer file.
5-103D (1c) Replace
If a change order has been stored with incorrect information that cannot be corrected by
the update function, use the replace function in the following way:
Complete the entire form exactly as you would for the file function, using correct
information.
Place R, in the function box at the top right of the form.
The module for processing change orders will replace the data stored in the computer
file with the new change order.
If payments have already been recorded against a payment method that you are trying
to eliminate, it is not possible to immediately replace an old change order with a new
one. The same holds true if the payment to date exceeds the authorized amount. In
these cases, the system requires that you do the following:
Enter corrections for the change order bills that reverse payments to date to zero
for the particular method of payment to be eliminated. For payments exceeding the
authorized amount, enter corrections for the change order bills to reduce payments
below the authorized amount.
Submit the replace request.
After the change order has been replaced, reenter the change order bills that were
reversed. When possible, use the update function instead of the replace function.
5-103D (1d) Delete
You can eliminate a change order from the computer file as follows:
Enter the contract and change order numbers.
Place the letter D, in the function box at the top right of the form.
As with the replace function, a change order cannot be deleted until all payments have
been reduced to zero through correcting entries on the daily extra work reports.

5-103D (2) Edits
The following lists some of the edits that a change order must pass through before the
system will accept it:
The change order number and the change order supplement number must be filled
in or the change order will be rejected.
The change order description cannot be blank, or the change order will be rejected.
The net change amount cannot exceed the construction allotment. If the net change
amount does exceed the construction allotment, the system will issue a warning
message but will still file the change order.
The approval date must be after the bid opening date and less than or equal to
todays date; otherwise, the change order will be rejected.
If the time extension days exceed 10 percent of the working days in the contract,
the system issues a warning message but will still file the change order.
If any payment method appears more than once on the input cards, the order will
be rejected.
If you enter any contract item change for a void item, the system will reject the
change order.
Lump sum items may appear on change orders only as a deletion of that item. Any
increase or decrease in a lump sum item will be rejected.
You can enter a contract item on a change order as an increase and also as a
decrease. If the item appears a third time, the system will reject the change order.
If the contract item mobilization appears on a change order, the change order
will be rejected.
If the quantity change entry for a contract item exceeds the bid quantity, a warning
message will be issued.
The net dollar amount for the structure work on the change order must be greater
than the sum of the negative changes and less than the sum of the positive changes,
or the change order will be rejected.
The net dollar change for the change order must equal the sum of the dollar
amount in Card Type 2 and the extended dollar amounts for the quantities in Card
Type 3, or the change order will be rejected.
If the change order is already on file, the system will reject this duplicate entry.
Additionally, if this change orders number exceeds by five the largest change
order number on file, or if the supplements number is more than two above the
latest supplement on file for this change order, the system will reject the change
order. However, if you checked the override field on the input field, the system
will bypass such responses.
If the contract is completed, a warning is issued.
If you request the replace or delete function, more extensive processing is done. The
system checks to see if it can maintain the payment to date under a payment method.
If the system cannot maintain the payment to date in this way, it rejects the request to
replace or delete. A rejection notice is generated along with an explanation of what
must be done to resolve this unacceptable situation.

The following is an example of this type of problem:
A change order is entered for extra work at force account and accepted by the
system.
Subsequently, change order bill payments are recorded against the change order.
A request is entered to delete the change order from the computer file. In this case,
the system will reject the delete request because the payment method would be
eliminated. There are no other supplements to this change order. The system
requires that entries to correct change order bills be to reverse payments to date to
zero. In such a case, the system would accept a delete request. In the more
complicated cases where supplements to a change order exist, the system makes
similar demands.
At this point, the processing of the change order is complete. However, when a
supplemental change order is processed, the daily extra work reports in the holding file
(due to insufficient funds in the original change order) will be made available for
payment. The system produces a report, called a DEWR Release From the Holding
File. This report shows the action the system took.
5-103E Change Order Billing
This modules purpose is to compute the amount of payment for extra work performed
under a change order. This includes the following:
Editing input information
Retrieving and updating the change order
Performing logic edits
Conducting audit checks
Performing computations
Filing the change order bill for payment
Producing an edit report and daily extra work report
In addition to these functions, this module allows for entering corrections to filed
change order bills. Change order bills or corrections to filed change order bills will not
be rejected because of insufficient funds (subject to the limitations in Section 3-906C,
Extra Work, of this manual). Instead, the system will place the change order bills or
the corrections to filed change order bills in a holding file to await the resident
engineers further action. Usually, the resident engineer must write a supplemental
change order to provide additional funds; the supplemental change order will make the
appropriate change order bills available for payment.
Use Form CEM-4902, Extra Work Bill (Short Form), to enter basic information
related to extra work performed under a change order. The following describes the
procedures for obtaining the information from the contractor, entering the information
into the computer, and producing the daily extra work reports.
5-103E (1) Preparing Form CEM-4902, Extra Work Bill (Short Form)
The contractor may enter change order bills on the Form CEM-4902, Extra Work Bill
(Short Form). Or, if more entries are required for equipment, labor, or material, the
contractor must use the four part forms CEM-4902A, CEM-4902B, CEM-4092C, and
CEM-4902D.

The contractor initiates forms containing force account payment and submits them to
the resident engineer. The resident engineer initiates forms containing payment at
agreed prices. The backs of the forms contain the basic instructions for completing the
forms. The following information supplements the instructions on the forms:
5-103E (1a) Basic Information (Title Page)
Do the following for the basic information:
The change order number: Right-hand justify this number; for instance, change
order 1 is 001, change order 10 is 010.
Report number: The contractor should leave the report number blank. Duplicate
numbers will be rejected (except for corrections to previous bills).
Date performed: A separate change order bill must exist for each day on which
force account work is performed (except for work done by a specialist). Enter the
date the work was performed in these spaces. For change order bills covering
invoices only, enter the date on which the material was used. If this entry is not
practical, enter the current date. You must enter a date in this field. You may enter
the acronym VAR in the date performed field if the pay method is lump-sum
unit-price or if equipment and labor are not present on the bill.
Date of report: Enter the date on which the report is prepared.
Payment method: Ensure the method selected matches one of the methods
authorized by the change order.
Bridge: Place the letter T in this box if toll bridge work is involved and you want
to apply a 10 percent markup to equipment and material and a 25 percent markup
to labor.
Fifty percent flagging: You must include on the change order bill the total hours
spent on flagging because the computer will make payment of only 50 percent of
the total. For flagging that is not subject to the 50 percent split, submit separate
change order bills.
Labor surcharge: The contractor should enter this surcharge as a whole number;
for instance, 15 percent is entered as 15. The contractor should obtain the
applicable percent from the effective Labor Surcharge and Equipment Rental
Rates (Cost of Equipment Ownership) book. This surcharge is for regular hours.
The system will apply the overtime surcharge based on the regular hour surcharge.
Work performed by: This field should contain the name of the organization (the
contractor, subcontractor or other) that performed the work. If the change order bill
is for an invoice only, enter the name of the organization to which the invoice was
addressed. Submit a separate daily change order bill for each organizations work.
5-103E (1b) Equipment
Do the following for equipment:
Equipment identification number: Enter this number (required.) It can be any
number that the contractor assigned to the equipment for specific identification.
Equipment description: Enter the description, which consists of four items: the
Class, Make, Code, and Attach (attachments). The equipment description
must come from the applicable Labor Surcharge and Equipment Rental Rates
(Cost of Equipment Ownership) book. Make a copy of this publication available to

the contractor. You can obtain from the Division of Constructions website a
listing of miscellaneous equipment, for equipment not shown in the Labor
Surcharge and Equipment Rental Rates (Cost of Equipment Ownership) book.
For equipment that is neither in Labor Surcharge and Equipment Rental Rates
(Cost of Equipment Ownership) book nor available from the websites
miscellaneous listing, the contractor must request a rate from the resident engineer.
The resident engineer will obtain an authorized rate from the Division of
Constructions rental rate engineer.
Equipment for which a change order has established the rental rate will not have an
equipment description and must be included as a unit price payment on the
material charges portion of Form CEM-4902, lines 2433 of the daily extra work
report.
The following explains the procedures for Class, Make, Code, and Attach,
within equipment description:
1. Class: This portion of the equipment description will be found in the Labor
Surcharge & Equipment Rental Rates (Cost of Equipment Ownership) book
under the heading for a particular class. For instance, after Hydraulic Cranes
and Excavators, Crawler Mounted, you will find the class HCECL.
2. Make: For the equipment illustrated under Class above, you will find the
Make portion of the equipment description in the left-hand column. For
instance, after Bantam, you will find the make BANT.
3. Code: For the equipment illustrated under Class and Make above, you
will find the Code portion of the equipment description in the Code
column. For instance, after Model C-266, you will find the code 0680.
4. Attach: You will find this portion of the equipment description in the front of
the Labor Surcharge and Equipment Rental Rates (Cost of Equipment
Ownership) book. The rate for the equipment under Class, Make, and
Code above includes all attachments and accessories. Therefore, leave this
column blank.
Enter all equipment descriptions beginning at the left of each field. Include all letters,
numbers, dashes, or other symbols as they are shown in the Labor Surcharge and
Equipment Rental Rates (Cost of Equipment Ownership) book.
Regular hours for which payment is to be made: Enter the regular hours for which
payment is to be made. Regular hours may not exceed 8 unless you are entering a
daily rate item. If the date the work was performed is various, you may enter up to
99 in the regular hours field. Various is used for equipment at day rates.
Overtime hours: Enter the overtime hours worked. Overtime hours may not exceed
16.
5-103E (1c) Other Expenses Subject to Labor Markup
This portion of the form is for travel expenses that cannot be entered as Subsistence
under Labor.
If the units and rate are already entered, the computer will calculate the amount.
Otherwise, enter the amount, and this figure will be used.

Note: If you use the Unit and Rate fields, leave the Amount field blank. If you
enter an amount in the Amount field, dont make an entry in the Unit and Rate
fields.
5-103E (1d) Material or Work Done by Specialists, Lump Sum, or Unit Price
Payments
The following explains the procedures for completing the Form CEM-4902 material
section:
Material: Note that the material entry will not be processed unless there is a value
in both the Units and the Unit Cost or Net Pay fields. Do the following for
material:
1. Invoice date: Preferably, enter the date of the invoice to help in checking for
duplicate billing. However, if entering the invoice date is not practical, enter
the date the material was used.
2. Invoice description: Enter a brief description of material.
3. Units: Normally, enter the unit one (1.00) for materials used.
4. Unit cost or net pay: In this column, enter the amount for which payment is
due. Normally, this amount is the cost of the material plus tax, if applicable,
less any discount offered.
Work Done by Specialists: Enter this item in the same manner as described under
Material above.
Lump Sum: Follow the procedures below for this entry:
1. Vendor name and invoice number: You do not need to make any entries in the
vendor column or the invoice number column.
2. Date: Enter the date the work was performed. When entering this date is not
practical, enter the current date.
3. Invoice description: Enter per CCO No._________.
4. Units: Enter the units to be paid as a percentage of the lump sum amount,
expressed in decimals. For instance, express 75 percent as 0.75. This figure
must never exceed a total of 1.000.
5. Unit cost or net pay: Enter the lump sum amount from the change order.
Unit price payments: Enter this item in the same manner as described under
Lump Sum above.
Units: enter the number of units to be paid.
Unit cost or net pay: enter the unit cost from the change order.
5-103E (1e) Signature of Prime Contractors Representative
For all force account payments, the contractor or contractors authorized representative
must sign the change order bill. For agreed price payments, the signature is not
required.
5-103E (2) Processing Form CEM-4902
The resident engineer receives Form CEM-4902, Extra Work Bill (Short Form),
from the contractor, reviews the form, and if it is satisfactory, signs the change order
bill and authorizes it for entry into the contract administration system. When reviewing

the submitted change order bill, the resident engineer must be guided by the policy
contained in Section 3-9, Payment, of this manual. The following explains how the
system will process Form CEM-4902:
You must request the contract administration system print a copy of the change
order bill after it has been entered into the system before it will be paid.
Computer programs will perform the following processes:
1. Edit all information for acceptability. For example, numeric data must be in
numeric form, or the program will issue a warning.
2. Select information from the equipment database; for example, rates,
descriptions, and attachments.
3. Validate the contract number, change order number, report number, type of
work (payment method), dates, corrections, labor surcharge, and equipment
description.
4. Audit right-of-way delay and the hours equipment and labor are used for
work.
5. Compute extensions, markups, and summaries.
6. Ensure the authorized amount (for instance 100 percent or $15,000) is not
exceeded.
7. File a validated change order bill for payment at the estimate time.
8. Produce a daily extra work report. This report will contain all the information
as entered on the change order bill plus equipment descriptions, extensions,
markups, total payment, and contract information.
9. Produce an edit report. This report will contain processing results. These
results are tabulated by change order within a contract. If the system rejects an
entry, the rejection messages will be included on the daily extra work report. If
the system accepts the change order bill, all warning messages will be
contained on the edit report.
After the reports have been printed and the district construction office has received
them, the district will forward copies to the resident engineer. Daily extra work
reports are printed in two parts, one for the contractor, one for the resident
engineer.
5-103E (3) Corrections to Change Order Bills
You can make corrections to the change order bill after it has been entered into the
system, but there is a limit of four corrections per change order bill. Refer to the Entry
of Extra Work Bills Manual (CASEWBM).
5-103F Generating Estimates
CAS produces the following five types of estimates on demand:
Monthly progress estimate
Progress estimate after acceptance
Supplemental progress estimate
Semifinal estimate
Final estimate

The resident engineer will regularly request the monthly progress and the progress after
acceptance estimates while the remaining three types of estimates usually will be
requested in cooperation with, or by, the district construction office.
Supplemental progress estimates may only be run between the completion of the
monthly progress estimate run and the 15th of the following month.
Producing an estimate is completely automatic, based on data previously stored in the
computer.
In addition, the contract administration system will produce two other types of
estimates that do not generate payments. These estimates are simply statements of the
current status of the computer files. The following are the two types:
Status purpose only estimate
Proposed final estimate
5-103F (1) Procedure
Before requesting the first monthly progress estimate, enter the date work started and
the responsible unit on Form CEM-6003, Progress PayEstimate Project Initiation or
Update. The Division of Construction progress pay coordinator enters the approval
date. If the approval date is not in the computer file, the system will reject the estimate
request.
The procedure for processing an estimate involves the following steps:
Preparing Form CEM-6101, Project RecordEstimate Request, and verifying
the estimate. Transmit these to the district office.
Computer processes your estimate and prints the reports.
The district construction office verifies the estimate results.
Returning the estimate reports to the resident engineer.
The schedule for completing the pay process and making payment to the contractor is
rigid. This rigid schedule means all people involved must adhere to their individual
schedules. District construction offices will advise resident engineers of the schedules.
5-103F (1a) Preparing Form CEM-6101, Project RecordEstimate Request
To request an estimate, complete this form accurately in accordance with the
following:
5-103F (1b) Estimate Parameters
For the estimate parameters follow the instructions below.
Enter the contract number.
Enter the estimate number. This number must be one greater than the last estimate
that was successfully processed and paid.
Enter the work period ending date in the estimate for the forms Work Performed
Through field. For a progress estimate or a supplemental progress estimate, enter
the 20th day of the month. For all other types of estimates, use the date of
completion.
If this is a monthly progress estimate, place an X in the matching box on the
form; otherwise, leave the box blank.

If this is a progress estimate after acceptance, place an X in the matching box on
the form; otherwise, leave the box blank.
Enter the estimated date of completion. This date should be the resident engineers
best estimate, not necessarily the computed date. If this estimate is not a progress
estimate, enter the date of completion.
Enter the values as of the date work performed through for chargeable working
days, weather nonworking days, and authorized time extension days (change
order) in the three matching fields of the form. As of February 16, 2012, Other
day time extensions are no longer allowed, therefore do not increase this value to
more than existed prior to this date. In most cases, this value should always be
zero. The system will check the chargeable working days and weather nonworking
days against the working days calendar and inform you of possible entry errors.
However, it cannot check the two types of time extension days. These values affect
the systems computation of percent time elapsed.
If you have a landscape contract that is in the plant establishment period, check one
of the two boxes to indicate whether progress is satisfactory or unsatisfactory.
These boxes are not for highway contracts that contain Type 2 plant
establishment periods. If you are unsure of this status, contact the district
construction office after reading the special provisions.
The system determines whether contract progress is satisfactory or unsatisfactory.
Occasionally, a situation arises where, even though progress is mathematically
unsatisfactory, the resident engineer wishes to override the system and record
satisfactory progress. To accomplish this override, place an X in the field,
Override Unsatisfactory Progress. Also see the second bullet below this one
about projects with dual time limits.
For some contracts, the standard manual formula does not apply for computing
percent time elapsed. For such contracts, interpret the special provisions, and
determine this percentage. Enter the percent in the box on the form; this will
override the systems calculation.
If you have checked Override Unsatisfactory Progress (see the bullet two up
from this one that discusses overriding the system) or entered a number in percent
time elapsed (see the previous bullet), enter a short explanation in the 25 spaces
immediately below these fields on the form. Typical entries might be CCO days
pending or Nonstandard time format.
If the estimate is a supplemental progress estimate, proposed final estimate,
semifinal estimate, or final estimate, check the appropriate box. Note that on a
supplemental progress estimate the date for Estimate for Work Performed
Through and all of the working day information should be the same as the date
for the last estimate.
If this estimate is a rerun (a recalculation) of a prior successful estimate, check the
recalculation box. Note that, if the last estimate processed was a status purpose
only estimate, you are not rerunning an estimate this month; instead, you are trying
to run the estimate that did not generate payment. Normally, the district office will
enter requests to rerun an estimate.

5-103F (1c) Deductions
If you wish to take one or more deductions or to return one or more deductions from a
prior estimate, enter them on Form CEM-6101, Project Record Estimate Request.
If you wish to rerun an estimate or to pay an estimate after a status only estimate, you
still must enter the deductions again because any deduction stored in the computer file
and carrying this estimate number will be erased automatically. You can enter five
types of deductions on this form. Each deduction entered requires an alpha code to be
placed in the forms type field and an entry in the description field. Use a minus sign to
take a deduction and a plus sign to return a previous deduction. The following lists the
rules by type of description:
Administrative deductions: Enter ADM in the type field. Both plus and minus
deductions are allowed.
Equal employment opportunity deductions: Enter EEO in the type field. Both
plus and minus deductions are allowed, but plus deductions should be adjustments
or reversals of deductions taken on prior estimates. If you wish to take an EEO
deduction on this estimate, leave the amount field blank. The system will compute
the deduction amount for you. Only one blank EEO deduction, normally entered
by the labor compliance officer, can appear on the form. Note: The system will not
accept EEO deductions if the contract item payment for this estimate is zero. It
may be necessary to enter the minimum amount of $1000.
Labor compliance violation deductions: The labor compliance officer usually
makes these entries on the form. The officer will enter LCV in the type field.
The rules for LCV deductions are identical to those for EEO deductions. Note:
LCV deductions will not be taken if the contract item payment for this estimate
is zero. It may be necessary to enter the minimum amount of $1000.
Liquidated damages deductions: Enter LIQ in the type field. Both plus and
minus deductions are allowed. Plus deductions reverse earlier deductions. Only use
this type of deduction when liquidated damages are being assessed. If during the
course of the work, the contractors progress is unsatisfactory and has progressed
to a point where a reasonably accurate estimate of possible liquidated damages can
be made, make a deduction in lieu of any retention for unsatisfactory progress
using an ADM in the type field with the text Antic.Liq.Damages. Reverse the
ADM when the actual liquidated damages are being assessed by using LIQ in the
type field. Refer to Sections 3-807, Liquidated Damages. and 3-906G,
Deductions, of this manual for more detailed guidance.
Other outstanding documents deductions: Enter OOD in the type field. If you
wish to take this deduction, leave the amount field blank. The system will compute
the amount for you. Take this deduction only once per contract. The system will
maintain the correct deduction on subsequent estimates by generating OOD in
the type field with a description, MAINTAIN OOD DEDUCT. You can reverse
the deduction at any time by entering a plus amount that exactly reverses the OOD
deductions to date from the previous estimate. Negative OOD deduction amounts
are never allowed on the input form.
After carefully preparing Form CEM-6101, Project RecordEstimate Request,
promptly send it to the district office. The specific deadline for submittal may vary by
district.

5-103F (2) Computer Processing
Once you have made your entries on Form CEM-6101, Project RecordEstimate
Request, and transferred them to the computer, the system edits the estimates and then
produces reports showing the results of the systems processing.
5-103F (2a) Estimate Edits
Once Form CEM-6101, Project RecordEstimate Request, has been entered into
the contract administration system, the system will do the following:
Edit Form CEM-6101 for consistency with previous estimates and with the
working days calendar stored in the computer.
Identify and summarize all daily extra work reports entered in the system and
eligible for payment since the last estimate.
Identify and summarize all contract transactions entered in the system since the last
estimate.
Identify and balance the change orders that require balancing.
Identify and balance the contract items that require balancing.
Make calculations for the item Mobilization (if necessary), for the various
deductions and retentions, for percent time elapsed, for percent complete, and for
various status totals, such as authorized final cost. The system also determines
whether the contractors progress is satisfactory.
Edit any deduction submitted for processing on Form CEM-6101, Project Record
Estimate Request. Special attention is given to three of the deductions as
follows:
1. If the resident engineer has submitted an EEO deduction, the contract
administration system computes the amount as 10 percent of the contract item
payment on this estimate, or a minimum of $1,000 or a maximum of $10,000,
and places the deduction on file.
2. If the resident engineer has submitted an LCV deduction, the system performs
the same calculation as for EEO deductions described above.
3. If the resident engineer has submitted an OOD deduction, the system will
compute the deduction under the following conditions:
a. The contract has been completed, or retention is being reduced
because the percent complete exceeds 95 percent. If one of these
conditions is not met, the deduction will be rejected.
b. The total of all OOD deductions from prior estimates must be zero,
or the deduction will be rejected. An OOD deduction should be taken
only once for a contract.
c. If the first two conditions are met, the amount of the deduction is
calculated as 5 percent of the total work completed to date less
mobilization, or $10,000, whichever is less.
Further deduction processing as follows:
1. If the total to date for an OOD deduction is negative, the system will check
whether the value has changed since the last estimate for total work completed
to date less mobilization. If the value has changed, the system will generate a

new OOD deduction with a description, MAINTAIN OOD DEDUCT, and
an amount equal to the difference between the amount demanded by the
formula and the amount of the total to date for this type of deduction. Thus, an
OOD deduction, once submitted, will be maintained at the formulas value
unless it is exactly reversed by a positive deduction entry on Form CEM-6101,
Project RecordEstimate Request.
2. For each type of deduction, you cannot give back more than has been taken. If
you make this error, the estimate will fail. Messages are produced stating
which deduction is in error.
3. At this point in the processing, the final values are computed for total work
completed and total payment to the contractor. If there are Limitation of
Payment dates and amounts in the special provisions for this contract, the
Division of Construction progress pay coordinator will have entered them in
the computer. The system will check the period ending date of this estimate
and will generate or return any split-year-financing deductions that are
necessary under the contracts terms.
4. If retention is being released on this estimate and the total to date for liquidated
damages is zero, the system will issue a warning message.
5. The system automatically computes overbid item deductions as required.
These deductions are taken and returned at the appropriate times.
Make calculations for the progress payment voucher, including retentions and
payments to escrow accounts.
Determining the success of the estimates processing.
If processing is successful, the contract administration system prints your estimate.
If this estimate is for a zero or negative progress payment, the system prints a
status purpose only estimate.
1. If the total authorized final cost is greater than the construction allotment, the
contract administration system will issue a severe warning.
2. If the total payment to date to the contractor on this estimate is greater than the
construction allotment, the estimate will fail.
5-103F (2b) Estimate Output
Once CAS has processed the estimates, it produces the following reports:
Schedule of extra work
Schedule of deductions
Project record estimate
Project status
Work done by office of structures
Progress payment voucher
Only two copies of the estimate will be sent to the field, one for the resident engineer
and one for the contractor. The contractor also must receive the first three reports listed
above and the last report listed above.

In addition to the estimate documents listed above, the contract administration system
also produces a report called Estimate Processing Results. This report is the tool by
which the resident engineer can check the estimate package. This report has the
following sections:
Edit messages: The system can produce many possible messages. If the estimate is
rejected, the exact reason will be found here. To assist in preventing overpayments,
among other problems, warning messages have been set based on carefully chosen
tolerances. Read these messages carefully.
Transaction selection: The system will print a list of the exact pages and lines of
contract transactions that were used to produce the estimate. This list enables you
to verify that all the contract transactions you submitted were used to produce the
estimate.
Change order processing: This lists any balancing of change orders by the system.
Occasionally, the list contains warning messages, too.
Contract item processing: This part of the report does the same things as described
in the bullet above, but for contract items instead of change orders.
Contract transactions list: This list identifies all contract transactions used to
generate your estimate. If you question any line item on the project record-
estimate, examine the detailed records to see how the system derived its totals.
Structure totals: This item summarizes all structure work the system found while
processing the estimate.
5-103F (3) Potential Problems
For the unwary, several points in the estimate process can cause errors. These problems
result from misunderstanding what constitutes an estimate and how the estimate
number should be increased from estimate to estimate.
On the title page of the project record-estimate and in the estimate processing results,
the system will print the type of estimate generated. If the estimate is one of the five
types listed previously under the heading Generating Estimates, a valid estimate was
generated.
The progress pay system requires that the estimate number be increased only by valid
estimates. Thus, if you request estimate number 3 to be processed, but the system
generates a status purpose only estimate, a valid estimate was not generated. Request
estimate number 3 again for the next estimate.
Another potential problem involves two types of contract transaction: materials on
hand and anticipated changes. These transactions apply to a specific estimate period. If
the estimate generated by the system is a status purpose only estimate, these
transactions have not been used. They will appear on the next valid estimate
generated. If their appearance on the next estimate is not satisfactory, you must use
reversing entries before requesting the next estimate from the system.
If the estimate has failed for any reason, the system will print, with one exception, as
many of the estimate reports as possible to help you analyze the problem. The one
exception, the progress payment voucher, is only printed for successful estimates that
are eligible for payment according to the systems standards.
Processing the estimate is done by a series of computer programs that perform the
following functions:

Input edit of the CEM-6101, ProjectRecord Estimate Request.
Select from the computer file the change order bills that will be used to generate
this estimate.
Select from the computer file the contract transactions that will be used to generate
this estimate.
Process the change orders.
Process contract items.
Process deductions.
Conduct miscellaneous computations.
Generate reports.
5-103G Approval of Estimates
The authorization of an estimate depends on the type of estimate being run. The
following is the general outline and method for approving contract estimates.
5-103G (1) The Resident Engineer
After an estimate has been run, the resident engineer must authorize it before the
process of payment is continued. To expedite payment, the resident engineer can
authorize through a memo, form letter, or telephone call with subsequent written
confirmation to the district office.
5-103G (2) The District Director
At the time the estimate was produced, so was Form FA 729A, Progress Payment
Voucher. If the estimate is a final estimate, an individual who has been formally
delegated by the district director to do so must sign the form.
5-103G (3) Flagging an Estimate for Payment
Flagging an estimate in the computer system for payment indicates that Form FA 729A
has been verified andauthorized.
For payments on after-acceptance estimates, semifinal estimates, and final estimates,
the Division of Construction progress pay coordinator must flag the estimates in the
computer system for payment after the districts flagging.
5-103H Reports Available Through the Contract Administration System
The CAS provides reports that must be requested specifically. Normally, resident
engineers must request reports through the district construction office. Use Form CEM-
6002, Contract Administration System (CAS) Report Requests, to obtain the reports.
The following are the instructions for completing Form CEM-6002.
5-103H (1) District (XX) Estimate Status
This report, which is also available statewide, provides information on the pay status of
each contract in the district. For each contract, the report includes the following:
Contract number
Date of last estimate processed (if there was one)
Number of the estimate
Number of days elapsed since the estimate was processed

Type of estimate
Pay status and date paid (if paid)
Date on which the payment voucher was authorized
Resident engineers name and phone number
Responsible unit
Password
5-103H (2) Project Management
The project management report is for use by the district office and Division of
Construction managers. This report consists of the following two separate reports that
are produced whenever Project Management is requested.
5-103H (2a) The Project File Status Report
This report lists all contracts in the district (or statewide) that are on the computers
active list. For each contract, the report provides the following information:
Contract number
Status
Date bids were opened
Date of award
Date of approval
Date of acceptance
Bid amount
Name of contractor
After bid opening, projects are added to the list automatically. After the final estimate
and approvals from the districts and the disbursing office, the Division of Construction
removes the projects from the list.
5-103H (2b) The Exceptional Contracts Report
This report lists all contracts for which the following applies:
More than 60 days have elapsed since the bid opening.
More than 10 days have elapsed since the completion date and the contract needs
an acceptance date.
More than 45 days have elapsed since completion, but the proposed final estimates
have not been run.
More than 180 days have elapsed since completion, but the final estimates have
not been run.
5-103H (3) District (XX) Project Status
This report is for use by construction managers. It lists all active contracts, and for each
contract, provides the following information:
Contract number
Contractors name and county-route-post mile

Date of the last estimate
Percent complete
Percent of time elapsed
Construction allotment
Total amount paid to date
Estimated final cost
Estimated final contingency balance
5-103H (4) Progress Payment-Work Done by Office of Structure Construction
(Copies)
This report is for use by the Office of Structure Construction. For details, refer to
Volume I, Section 6, of the Bridge Construction Records and Procedures manual.
5-103H (5) Project Record-Estimate (Copies)
A request for estimate copies will produce all of the documents that were produced
automatically during the previous estimates run. Normally, therefore, you should not
need to order copies through this program. For the estimate, the report contains the
following information:
Schedule of extra work
Schedule of deductions
Project record-estimate
Project status
Progress payment voucher
5-103H (6) Status of Contract Items
Normally, the district office requests this report monthly for all ongoing contracts. The
report must be filed in Category 60, Contract Administration System Inputs and
Reports.
For this report, the system prints one line of information for each contract item and
summarizes the net effect of all contract transactions that have been entered against the
item. This report allows the resident engineer to review each item and determine
whether quantity balances and anticipated changes, among other things, are necessary.
If any particular number on the report seems questionable, the project record item
sheets provide supporting detail. For example, if the authorized quantity differs from
the bid quantity, the project record item sheets describe, under the item number, any
changes due to change orders.
When applicable, take particular care to flag an item COMPLETE (using the item
final balance transaction on Form CEM-6101) so that an accurate project status will be
produced. Remember, flagging an item COMPLETE does not mean that contract
item transactions will no longer be accepted; it means only that you have commanded
the system to keep the item in balance at all times.
5-103H (7) Project Record Item Sheet
report must be filed in Category 60.

With the following exceptions, the project record item sheets list every contract
transaction entered into the system since the beginning of the contract:
Item and change order final balance transactions will appear only on the report
following the next estimate. Thereafter, they are dropped from the report.
Miscellaneous anticipated change transactions also appear only on the report
following the next estimate.
The report lists the contract transactions, first by the estimate number on which they
were paid, and then by the page and line number of the input form. The total to date
will be printed.
This is a cumulative report. Do not retain previous issues of this report in the project
files. However, one issue of the report, usually the one requested immediately after all
final quantities have been paid, must be retained in the projects files.
5-103H (8) Status of Change Orders
report must be filed in Category 60, Contract Administration System Inputs and
Reports.
This report is similar to the status of contract items, which allows the engineer to
review each change order.
Use the report to determine when supplemental change orders will be necessary to
complete the work. The report also facilitates a review of those change orders where a
credit is due Caltrans.
When applicable, flag change orders COMPLETE (using the change order final
balance transaction) so that an accurate project status can be produced. Similar to
flagging a contract item, flagging a change order COMPLETE means only that you
have commanded the system to keep the change order in balance at all times.
5-103H (9) Change Order Master Listing
report must be filed in Category 60.
This report summarizes all change orders stored in the computer file. It also contains
the change order time extension and change order category code. The report lists each
individual supplement with all the information the system contains. Do not retain
previous issues in the projects files. However, one issue, usually the one requested
immediately after final payment has been made on all change orders, must be retained
in the projects files.
5-103H (10) Bridge Quantities by Structure
This report is for use by Office of Structure Construction personnel. It is available on
all projects for which Form CEM-6003, Progress Pay-Estimate Project Initiation or
Update, has been filed. The filing of this form indicates a structure work amount and
structure numbers have been entered for the contract transaction in accordance with the
instructions in Volume 1, Section 6 of the Bridge Construction Records and
Procedures manual.
5-103H (11) District (XX) Status of Anticipated Changes
This report is for use by the district and Division of Construction managers.

5-103H (12) Project Record-Estimate (Dummy)
A request for this item will produce the same form that was produced automatically
when Form CEM-6003, Progress Pay-Estimate Project Initiation or Update was
filed.
This form is identical to a project record-estimate, except that it does not contain an
estimate number or dates and no entries appear under This Estimate or Total
Estimate. It is a blank estimate form, valuable only if it became necessary to make an
estimate manually.
5-103H (13) Contract Contents Report
This report contains information that is currently in the file as a result of automatic
entries or entries from Form CEM-6003 Progress Pay-Estimate Project Initiation or
Update.
Most of the information in this report is included already in other reports and forms that
are produced automatically. Therefore, you do not need to request it routinely.
5-103H (14) Contract Contents Report-Contract Item Records
This report provides the following information:
Contract item number
Contract item index number
Item description
Unit of measure
Bid price
Bid quantity
Bid amount
Amount overbid
Void items
Plant establishment items
Most of the information in this report is included already in other reports and forms that
are produced automatically. Therefore, you do not need it for routine contract
administration.
5-103H (15) Contract Contents Report-Contract Progress
For each contract item, this report includes a detailed analysis of the current and prior
quantities and payment status. It also summarizes all other payments or deductions as
well as data on contract time. The information in this report is included already in
various other reports that are produced automatically. Therefore, you do not need it for
routine contract administration.
5-103H (16) DEWRs in Holding File
This report lists change order bills that are in the holding file for all contracts in the
district. If there are reports in the holding file, process supplemental change orders to
provide additional funds. The system will then automatically release the bills for the
next estimate.

5-103H (17) Daily Extra Work Report
Copies of daily extra work reports are produced under the procedure outlined earlier in
this section under Change Order Billing. You can obtain copies by using the second
page of the report request form.
5-103H (18) Rental Rates and Codes for Miscellaneous Equipment
This report provides a listing of equipment codes and related descriptive information
for equipment that is not included in the Labor Surcharge and Equipment Rental Rates
(Cost of Equipment Ownership) book.
5-103H (19) Reports for the Office of Structure Construction
In addition to the reports discussed above, the contract administration system provides
reports for the Office of Structure Construction. For details, refer to Volume I, Section
6, of the Bridge Construction Records and Procedures manual.
5-103I Field Audits by Accounting Office
In accordance with instructions from the Division of Administrative Services,
personnel from the Accounting Office will periodically review record-keeping
procedures for construction projects. The accounting reviewer will prepare a report of
the findings, a copy of which will be sent to the deputy district director of construction
and the resident engineer.
District construction must then report back to the Accounting Office, stating what
actions it took in response to the reports recommendations. If the districts actions
result in a dispute, the deputy district director of construction will resolve the dispute.
5-104 5-104 Final Construction Project Records
Final Construction
5-104A General
Project Records
Construction project records consist of all material in the construction files, whether in
the field office or the district construction office. This section contains guidelines for
the disposition of construction project records after Caltrans makes the final payment.
This section also provides guidelines for allowing public access to construction project
records and for producing a set of as-built plans for each completed construction
project. In addition to construction project records, the district keeps a project history
file. When the construction project is completed, the resident engineer initiates
assembly of the project history files by transmitting designated records to the district
construction unit for compilation. The project history file is stored in a secure, central
file location within the district. For information about the project history file, refer to
Chapter 7, Uniform File System, of the Project Development Procedures Manual.
As part of the project history file, the construction records retention schedule is
compiled with records that are retained permanently by the districts. For specific
records stored in the records retention file, refer to Section 5-104C Disposition of
Construction Project Records.
5-104B Public Access to Project Records
The California Public Records Act permits anyone to obtain any written information
relating to the conduct of the publics business that is prepared, owned, used, or
retained by any state agency, regardless of the physical form or characteristic of the
writing. Although the act includes exemptions for certain categories of records, most
construction project records fall within the description of documents that must be

produced upon proper demand. Except for preliminary drafts or notes that are not
retained in the ordinary course of business, permanent project records that are
reasonably identified are subject to inspection and copy.
Records exempt from disclosure include the following:
Estimated project cost before bidding.
Contract claim analysis.
Personal information, such as home addresses, telephone numbers, medical
records, and similar files, the disclosure of which would constitute an unwarranted
invasion of personal privacy.
Accident reports. If accident reports produced by another agency are requested,
such as accident reports by the California Highway Patrol, refer the requester to the
other agency.
If copies of payroll records are requested, refer to Section 7-1.02K(3) [7-1.01A],
Payroll Records, of the Standard Specifications for the procedures to follow.
Resident engineers should refer all requests for copies of any records to the district
construction office and follow procedures established in the district for copying and
charging for record copies.
Allow contractors and subcontractors to review records used to determine contract
payment in the construction field office.
5-104C Disposition of Construction Project Records
District construction personnel who are responsible for the disposition of construction
project records must coordinate their activities with the district records officer.
The district construction office must establish a procedure for handling construction
project records. This procedure must be in accordance with the statewide records
retention schedule and achieve the following objectives:
Relieve the resident engineer of the responsibility for storing the records before or
at the time final payment is made.
Avoid unnecessary long-term storage of duplicate copies.
Before the records are destroyed, transfer material that has historical value to the
project history file.
Retain construction project records as follows:
1. For projects that involve federal participation, retain the records for a
minimum of 3 years after submission of the final voucher.
2. For projects that do not involve federal participation, retain the records for a
minimum of 3 years after the date on which the final estimate is scheduled for
payment.
3. For projects on which some legal question exists, such as a pending claim, a
labor compliance case, or litigation, retain the records for 3 years after
settlement. The district construction office must send a memorandum to the
district records officer to hold these records until further notice.
When the district no longer needs the records in categories 1, 2, 3, 4, 7, and 28, destroy
them. Do not retain them as part of the project construction records.

After records from the resident engineers office are sent to the district construction
office, eliminate duplicate records.
The construction records retention schedule lists the length of time certain files must be
retained, as well as files that must be kept permanently in the project history files per
federal requirements. The files that are retained permanently are listed below:
Category 11Project Information

Detailed Expense of Project Cost
Notice of Award of Contract
Contract Special Provisions
Notice of Approval of Contract
Start of Work Notice
Executed Contract
Proposal and Contract Forms (Bonds)
Category 12Contractor
Insurance for Contractors
Category 14Photograph Records/Videos

Before Construction
During Construction
After Construction
Category 16Utility Agreements

Category 18Agreements
Right-of-Way Agreements
Forest Service Agreements
Borrow Agreements (between state and owner)
Disposal Agreements (between State and owner)
Service Agreements (Service agreements charged to contract allotment)
Category 19Hazardous Waste/Materials Documentation

Category 27Progress Summaries
Weekly Statement of Working Days (CEM-2701)
Category 49Change Orders

Contract Change Orders (CEM-4900)
Transmittal Memorandums (CEM-4903)
Category 61Project Costs

Proposal Final Estimate
Final Estimate
Invoices and Receiving Records (if applicable)

Category 63Contract Acceptance Documents
Contract Acceptance Recommendation
Contract Acceptance (CEM-6301)
When records are sent from the district construction office to the State Record Center
or to another district, prepare a transmittal list specifying the contents of each box. In a
separate file in the district construction office, retain a copy of the transmittal list.
The Bridge Construction Records and Procedures manual should be referenced for
bridge and structures related records that are transmitted to the Office of Structure
Construction at the completion of the project for permanent storage.
5-104D As-Built Plans
Districts are responsible for all as-built road plans, and the Office of Structure Design is
responsible for all as-built structure plans. To handle as-built plans, use the following
procedure:
The district design unit will give the resident engineer full-size prints of all road plans.
Prints of structure plans will be supplied to the structure representative. The plans may
also be transmitted in electronic form when field forces have the capability of
computer-aided drafting and design (CADD). As-built information is recorded on the
full-size drawings or recorded on a set of contract plans using CADD.
Each sheet of as-built plans must be clearly identified as such. All sheets upon which
changes are made must contain the name of the resident engineer or structure
representative.
5-104D (1) District Procedure on As-Built Plans
The district will maintain a set of original project plan sheets. Field changes will be
made on full-size prints or in a field CADD system and afterwards transferred to the
original CADD files in the district office. The set of plans, with changes delineated by
the district design unit, becomes the as-built plans.
To attain uniformity in final project plans, include the following data on the as-built
plans:
Change order number.
Revisions in alignment and right of way.
Grade revisions in excess of 0.1 foot.
Changes in length, size, flow line elevations, and station of culverts. When
alternate types of culverts are permitted, show which alternate was used.
Drainage changes.
Location of sewers, conduits, and other features.
Location of monuments, bench marks, freeway fences, and gates.
Revision of typical cross sections.
Changes in pavement lanes, tapers, ramps, frontage roads, road connections,
driveways, sidewalks, islands, and median openings.
Curb and gutter changes.
Electrical conduits, pull boxes, and service points.

Revision in location of utility crossings and irrigation crossovers.
Do not show the following on as-built plans:
Construction quantities.
Property fences.
Miscellaneous small features, such as markers and delineators, which are readily
changed by maintenance forces.
The resident engineer must complete the as-built plans as soon as possible after work is
completed, but no later than 60 days after contract acceptance.
After the district design unit has completed the transfer of as-built information on the
final as-built drawings, the unit will return the plans to the resident engineer for review
and signature of final approval. For the processing and disposition of as-built plans
after the construction review, refer to Chapter 15, Final Project Development
Procedures, of the Project Development Procedures Manual.
5-104D (2) Procedure on As-Built Plans for Bridges and Structures
The Office of Structure Construction must handle structure as-built plans in the
following manner:
From the resident engineer, obtain full-size prints of all sheets with Structure
signature blocks. If these prints are not available from the resident engineer, the
structure representative must contact the Office of Structure Design.
The structure representative will make the as-built corrections to these prints and
forward them to the Sacramento office of the Office of Structure Construction.
These corrected prints must be forwarded to the Sacramento office as soon as
possible after completion of the structures, but no later than 30 days after the
completion of the project.
For prints of projects consisting solely of roadside rests or maintenance facilities,
the Sacramento office of the Office of Structure Construction must forward the
prints directly to the Office of Structure Design, documents unit. All other projects
must be forwarded to the Office of Structure Maintenance and Investigations,
which determines which sheets should be microfilmed for the structure files. In
identifying prints to be processed, the Office of Structure Maintenance and
Investigations must include all sheets prepared by the Office of Transportation
Architecture. This office will then forward all the prints to the Office of Structure
Design, documents unit.
Those prints not identified for filing by the Office of Structure Maintenance and
Investigations will be forwarded to the appropriate district office for the
preparation of as-built plan sheets. The Office of Structure Design will make the
as-built corrections on the original plan sheets. If the original plan sheet is not
presently stored in the Office of Structure Design, it may be obtained from the
district.
On state projects that do not have a representative from the Office of Structure
Construction, the resident engineer must make the as-built changes on the full-size
prints bearing Structure signature blocks. As soon as possible after completion of the
structures, forward the prints to the Office of Structure Construction in Sacramento.
The procedure outlined above must then be followed.

When the corrections have been made, the as-built plan sheets will be forwarded to
headquarters microfilm services unit for microfilming and distributing.
On projects funded by others, where the local entity or private entity is the sponsor,
follow the procedure for as-built plans for bridges and structures described in the
Office of Special Funded Projects Information and Procedures Guide and the
Encroachment Permits Manual.
For additional guidelines and details for completing structure as-built plans, refer to the
5-104D (3) Projects Not on State Highways
On all district-administered projects not on state highways, the information to be
included on as-builts will remain the same as for contracts on state highways. The
district will be fully responsible for completing as-built project plans and forwarding
them to the local agencies. If the district desires for its own records, these plans may be
sent to headquarters microfilm services unit for microfilming before being returned to
the local government.
The engineer responsible for structure work will place as-built corrections on structure
plans of all state and federally funded projects for local roads and streets. On Caltrans
administered contracts, follow normal Caltrans procedures for processing these plans.
On locally administered contracts, the engineer responsible for structure work will
provide the Office of Structure Design, Local Assistance Section, a set of original
tracings or duplicates of reproducible quality with as-built corrections. After
microfilming, return these tracings or duplicates to the local agency.

Section 2 Funds
5-201 General
5-202 Managing Funds
5-203 Obtaining Additional Funds
5-203A G-12 Funds Request
5-203B California Transportation Committee Supplemental Funds Request
5-204 Segregation of Quantities for Fund Apportionment
5-204A General
5-204A (1) Requirements for Specific Types of Funding
5-204A (1a) Federal Funds for State Highway Projects
5-204A (1b) Federal or State Funds for Local Assistance Projects
5-204A (1c) Local Funds for State Highway Projects (Cooperative Projects)

Funds 5-2.i
Section 2
Section 2 Funds Funds
5-201 General 5-201

Caltrans aims to complete construction projects within the planned scope, allotted time, General
and projected budget. The project allotment includes a contingency fund for unforeseen
expenses or unknown factors encountered during construction. Occasionally, the
magnitude and cost of unforeseen expenses or unknown factors are greater than the
budgeted amount. In such instances, the contract allotment may be supplemented with
additional funds to complete the project as originally planned. The California
Transportation Commission (CTC) adopted resolutions G-11 and G-12 in 1978 to
allocate funds for emergency contracts (G-11) and to delegate authority for Caltrans to
adjust project allocations and modify project descriptions (G-12). Those resolutions
have been amended and superseded over the years. The processes are still referred to as
G-11 and G-12. This section explains the processes for managing project funds and
obtaining additional project funds. Refer to Section 5-5, Emergency Contract
Administration, of this manual for the G-11 process.
5-202 Managing Funds 5-202
The resident engineer is responsible for managing the project construction costs within Managing Funds
the current allotment, which includes item payments, Department-furnished materials,
contingencies, and supplemental work. The resident engineer must track project
expenditures, forecast future costs, determine the need for additional funds, and
immediately notify the construction engineer of any apparent funding shortfalls. The
resident engineer must not allow work to proceed that would require the encumbrance
of additional funds before those funds have been approved and added to the project
allotment.
The resident engineer must update the project contingency balance continuously as
changes occur and whenever additional costs are initially identified. For example,
payment for item overruns will come from the contingency fund, and extra money
from item underruns will be returned to the contingency fund.
5-203 Obtaining Additional Funds 5-203
When the resident engineer determines that additional funds are needed, the resident Obtaining
engineer must consult with the construction engineer. Both engineers should discuss Additional Funds
additional funds and potential alternatives to complete the project within budget.
An assessment of financial status must show that the existing contingency balance will
prove insufficient to complete the project within the approved contract scope. Do not
request additional funds to settle disputes that are not yet resolved.
The resident engineer and the construction engineer must next meet with the
construction field coordinator and the project manager to discuss the funding need and
alternatives. For emergency contracts or for maintenance funded contracts, include in

Funds 5-2.1
these early discussions the district maintenance major damage coordinator or the
district maintenance engineer respectively, and the funding program advisor.
5-203A G-12 Funds Request
If it is decided that the best alternative is to request additional funds, the construction
engineer must then write a Construction Phase Request for Supplemental G-12
Funds memorandum to request additional funds and send it to the project manager.
The memo must include sections entitled Financial Status of the Contract, and
Justification for the Request. The Financial Status of the Contract section must
include information on the present contract allotments and estimated probable final
expenditures for contract items, supplemental work, contingency fund, Department-
furnished material and expenses, and any previously approved additional funds. The
Justification for the Request section must contain a clear explanation of the reason
for additional funds to complete the project within the scope indicated in the approved
contract. The justification must answer the following questions:
Why are additional funds needed?
What work will be performed with the additional funds?
What alternatives have been considered to mitigate the unforeseen expenses?
The construction engineer ensures that informational copies of the request are e-mailed
to the construction field coordinator and the appropriate funding program advisor. For
an example of the memorandum, refer to the Division of Construction intranet site at:
http://pd.dot.ca.gov/construction/contractmanagement/cmpage.htm
The project manager manages the project G-12 funding capacity. The project manager
completes the request for additional funds using the information in the request from the
construction engineer. The project manager provides any additional information
needed to complete the request, including any participation concurrence from other
funding partners, and if applicable, an explanation of previously approved funding
requests.
After the project manager coordinates getting the district signatures, the project
manager e-mails the Construction Phase Request for Supplemental G-12 Funds to
the G-11/G-12 mailbox:
G11-G12-Funds Request/HQ/Caltrans/CAGov
The budget analyst in the Division of Budgets reviews and processes the request. Upon
concurrence, the budget analyst forwards it to the Division of Construction change
order engineer and informs the appropriate funding program advisor as needed.
Rejected G-12 memos are returned to the project manager for revision.
The change order engineer reviews each G-12 memo for completeness, signature
authority, compliance with policy, and ensures that it addresses the following issues:
Existing and projected financial status.
Justification for the G-12 funding.
Clearly defined scope of work.
Consideration of sufficient alternatives.
When the change order engineer concurs with the G-12 memo, it is sent to the
construction field coordinator and the project management coordinator for review and

5-2.2 Funds
approval. After the coordinators approve the request, a copy of the fully executed
request is kept in the change order engineer files and a copy is returned to the Division
of Budgets. The budget analyst in the Division of Budgets adjusts the project allocation
by supplementing the expenditure authorization, notifies the Division of Accounting to
update AMS Advantage, and notifies the district construction office to update the
contract administration system. When the updates are complete, the resident engineer
can authorize performance of the work contemplated by the G-12 memo.
If rejected by the change order engineer, the budget analyst, or one of the coordinators,
the change order engineer notifies the project manager of the rejection so that the
district can consider alternatives. The project manager should work with the district
construction staff, the construction coordinator, and the project management
coordinator to develop a new funding strategy; or the project manager can appeal to the
supplemental funds request (SFR) executive committee. The project manager ensures
that preparation of the appeal follows district policy and e-mails it to the SFR executive
committee at the G-11/G-12 mailbox.
Appeals for G-12 funds are directed to the Division of Transportation Programming,
which facilitates the monthly SFR executive committee meeting. The SFR executive
committee considers each G-12 funds request appeal. The district project manager and
the construction and project management coordinators present their positions to the
SFR executive committee. If the SFR executive committee approves the appeal, the
Division of Budgets processes the G-12 funds request. If the SFR executive committee
denies the G-12 funds request appeal, the project manager works with the district
construction staff and construction field coordinator to develop a new project
completion strategy.
5-203B California Transportation Commission Supplemental Funds Request
If G-12 authority is insufficient to cover the work contemplated, a California
Transportation Commission vote will be necessary to obtain any additional funding.
The procedure for obtaining approval from the California Transportation Commission
is described in Appendix A-2 of the funds request instructions on the Division of
Transportation Programming internet site:
http://www.dot.ca.gov/hq/transprog/allocation_new.htm
5-204 Segregation of Quantities for Fund Apportionment 5-204
Segregation of
5-204A General
Quantities for Fund
The recording of total quantities of materials used on a project determines the final Apportionment
payment to contractors. However, this recording does not complete the data necessary
to prepare the final billing when projects involve several different funding sources
independent of state highway funds. Therefore, resident engineers must review the
expenditure authorization (EA) for each project before work begins and be alert to the
necessity for segregating quantities for fund apportionment. Details about cost
segregation are covered in Section 9-1, Construction Contract Administration for
Projects Funded by Others, and Section 5-309, Federal Segregation Determination
on Change Orders, of this manual.
Construction projects may be funded from many different fund sources. These include
the following state administered sources:
The Interregional Transportation Improvement Program (ITIP).

Funds 5-2.3
The Regional Transportation Improvement Program (RTIP).
The State Highway Operation and Protection Program and Minor Projects
(SHOPP & Minor).
Other funding sources for construction projects include the following:
Federal Demonstration Funds.
Local tax measure funds.
Local developer fees.
State and local partnership funds, or even private funds.
The project funding may come from a single source or from a combination of the
above sources. The arrangements for multiple funding sources may involve each party
paying a percentage of the project or each party paying for specific items or locations
of work.
It is essential that the resident engineer understand the projects funding make-up and
understand the agreement that establishes the funding and payment arrangements. This
knowledge is important in the maintenance of records throughout the project, including
records for quantities, cost increases, change orders, and final apportionment. The
resident engineer may need to notify, and get concurrence from, the appropriate
funding source when the work changes. The project manager should make this funding
information available to the resident engineer, who should then establish a contact with
the funding source.
5-204A (1) Requirements for Specific Types of Funding
Following are the requirements for specific funding types:
5-204A (1a) Federal Funds for State Highway Projects
Segregate the costs for federal participation only for major change orders (as defined in
Section 5-311A, Division of Construction Approval, of this manual), maintenance
work, and work financed by others. Refer to Section 5-3, Change Orders, of this
manual for details about cost segregation. Quantity or cost segregation for all other
planned work is handled on a percentage basis according to the detailed estimate. No
special reporting is required by the field personnel.
5-204A (1b) Federal or State Funds for Local Assistance Projects
Segregate the quantities and costs between various funds for all local assistance
projects.
5-204A (1c) Local Funds for State Highway Projects (Cooperative Projects)
Quantities must be segregated for the report of expenditures and for the final billing to
contributing agencies. The resident engineer must submit to the accounts receivable
and program accounting unit of the Division of Accounting Services a final statement
of all quantities or costs incurred as a result of agreements with contributing agencies.
Segregate in sufficient detail the quantities and costs (whether covered by change order
or resulting from normal variations) so that an accurate final breakdown can be made
and the proper costs applied to each funding agency. The report should reference the
original and subsequent funding agreements and any change orders or other items that
altered the work.

5-2.4 Funds
Section 3 Change Orders

5-301 General
5-302 Change Order Policy
5-303 Purpose of Change Orders
5-304 Initiation of Change Orders
5-305 Preliminary Considerations
5-306 Change Order Content
5-306A Specifications
5-306B Description of Work
5-306C Methods of Payment
5-306C (1) Increases and Decreases in Bid Item at Bid Item Unit Prices
5-306C (2) Payment Adjustment
5-306C (2a) Adjustments for Increased or Decreased Quantities
5-306C (2b) Adjustment Calculations Involving Hot Mix Asphalt Dikes and Miscellaneous
Areas
5-306C (2c) Deferred Bid Item Adjustments
5-306C (2d) Exemption from Adjustment
5-306C (2e) Adjustments for Work-Character Changes
5-306C (3) Extra Work
5-306C (3a) Extra Work at Agreed Prices
5-306C (3b) Extra Work at Force Account
5-306D Adjustments to Time of Completion
5-306E Change Order Standard Clauses
5-306F Work Designated as Extra Work in the Specifications
5-306G Change Order Format
5-307 Change Order Memorandum
5-307A Contents of the Memorandum
5-307B Change Order Category Codes
Table 5-3.1 Change Order Type (Character 1)
Table 5-3.2 Specification or Physical Asset (Character 2)
Table 5-3.3 Source Document (Characters 3 and 4)
Table 5-3.4 Dispute Disposition (Characters 3 and 4)
5-307C Coordination and Concurrence by Others
5-307C (1) Project Development
5-307C (2) Project Management
5-307C (3) Structures
5-307C (4) Materials

Change Orders 5-3.i
5-307C (5) Traffic
5-307C (6) Maintenance
5-307C (7) Right-of-Way
5-307C (8) Environmental
5-307C (9) Locally Funded Projects
5-308 Federal Highway Administration Change Order Requirements
5-308A High-Profile Projects
5-308A (1) Federal Highway Administration Approval RequirementsMajor Change Orders
5-308A (2) Federal Highway Administration Approval RequirementsMinor Change Orders
5-308A (3) FHWA Denial
5-308B Assigned Projects
5-308B (1) Federal Highway Administration Involvement RequirementsMajor Change Orders
5-308C All Federally Funded Projects
5-309 Federal Segregation Determination on Change Orders
5-310 Locally Funded State Highway Projects
5-311 Change Order Approval Process
5-311A Division of Construction Approval
5-311A (1) Change Order Determinations
Table 5-3.5 Division of Constructions Change Order Direction
5-311B District Approval Limitations
5-311C Division of Construction Prior Authorization
5-311D District Prior Authorization to Proceed
5-312 Substantiation
5-312A Engineering Analysis
5-312B Contractual Analysis
5-312C Cost Analysis
5-312D Time Impact Analysis
5-313 Executed Change Order Copy Distribution
5-314 Value Engineering Change Proposals
5-315 Examples of Change Orders
Example 5-3.1 Flagging and Traffic Control (Extra Work at Force Account)
Example 5-3.2 Flagging Only (Extra Work at Agreed Unit Price)
Example 5-3.3 Resolution of an Initial Notice of Potential Claim (Payment Adjustment)
Example 5-3.4 Compensation of Interest for Late Payment of Change Order Bills (Payment
Adjustment)
Example 5-3.5A Modify Lump Sum Bid Item with a Specified Cost Break-Down (Payment
Adjustment and Clause for no Adjustment due to Eliminated Work)
Example 5-3.5B Modify Lump Sum Bid Item Without a Specified Cost Break-Down
Example 5-3.6 Differing Site Condition (Payment Adjustment at Force Account)
Example 5-3.7 Additional Work. Change Material Specifications. Increase in Bid Item Quantities
(Work-Character Change Payment Adjustment and Extra Work at Force Account)

5-3.ii Change Orders
Example 5-3.8 Compensation for Critical Delay (Payment Adjustment)
Example 5-3.9 Value Engineering Change Proposal (Decrease Bid Item Quantity and Payment
Adjustment)
Example 5-3.10A Additional Work. Increase Bid Item Quantities (Clause for Final Pay Items and Extra
Work at Agreed Price)
Example 5-3.10B Item Increase/Decrease and Extra Work
Example 5-3.11A Payment Adjustment for Price Index Fluctuations (Before Paving)
Example 5-3.11B Payment Adjustment for Price Index Fluctuations (After Paving)
Example 5-3.12 Claim Entitlement
Example 5-3.13 Resolution of Deferred Time Adjustment
Example 5-3.14 Item Adjustment

Change Orders 5-3.iii
Section 3
Section 3 Change Orders Change Orders
5-301 General 5-301

A change order is a legally binding document used to make changes to the contract. General
Form CEM-4900, Change Order, is used for change orders. Form CEM-4903,
Change Order Memorandum, must be prepared for each change order.
This section describes the use of Form CEM-4900 and Form CEM-4903, describes
Caltrans policies for change orders, and provides guidelines for writing change orders
and memorandums.
5-302 Change Order Policy 5-302
The authority for Caltrans to make changes to a contract is located in Section 3-403, Change Order
Changes and Extra Work, of this manual. Work that is outside the scope of an Policy
existing contract should be done in a separate contract. However, in special situations it
may be added to an existing contract if:
A directors order has been approved for the new work in accordance with Deputy
Directive 26-R2, Use of Directors Orders, dated July 31, 2009, available at:
http://www.dot.ca.gov/ser/downloads/general/DD_26_R2_Signed.pdf,
The Division of Construction chief concurs with adding new work to the existing
contract by co-signing the directors order,
On all federal-aid projects, the Federal Highway Administration (FHWA)
transportation engineer approves the change as outlined in Section 5-308, Federal
Highway Administration Change Order Requirements, of this manual,
On locally funded state highway projects, the contributing agency agrees to the
change as outlined in Section 5-310, Locally Funded State Highway Projects, of
this manual, and
The contractor agrees to the change.
District construction personnel should consider the following in determining if the
proposed change is within the scope of the original contract. Answering yes to any of
the following questions indicates that the new work may be outside the scope of the
original contract:
Is the type of work for the proposed change significantly different from other types
of work within the original contract?
Is it necessary for the prime contractor or a subcontractor to mobilize specialized
forces and equipment to perform the work of the proposed change?
Will the estimated cost of the proposed work, when combined with all other
changes, be outside the approved contract allotment?
Does the proposed change represent a significant deletion to the original contract?

Change Orders 5-3.1
Does the proposed change significantly delay completion of the contract when
compared to the number of original contract working days?
Is the proposed change outside the original contract limits?
Can the project be completed as contemplated at the time of bid without the
proposed change?
Answering the previous questions assists in determining if a proposal is within the
scope of the existing contract. However a complete analysis of all the facts and
circumstances surrounding the proposed change or new work is required to make a
final determination. When district construction is uncertain if the new work is within
the scope of the original contract, the district construction deputy director must consult
the appropriate Division of Construction field coordinator for determination.
When new work resulting from the directors order may be accomplished best by
adding to an existing contract, the district submits a request to the Division of
Construction chief to co-sign the order. After the directors order is approved, district
personnel may process a change order incorporating the new work, in accordance with
the procedures described in Section 5-311, Change Order Approval Process, of this
manual.
5-303 5-303 Purpose of Change Orders
Purpose of Change Use change orders to change any part of the original contract. In addition, change
Orders orders are used for administrative and other purposes. The following are some of the
reasons for writing change orders:
To change contract plans, specifications, or both.
To describe the work and method of payment for work stipulated in the contract to
be paid as extra work.
To authorize an increase in extra work funds necessary to complete a previously
authorized change.
To make payment adjustments.
To implement a value engineering change proposal or a construction evaluated
research proposal. Refer to Section 3-5, Control of Work, of this manual for a
discussion of value engineering change proposals.
To clarify terms of the contract.
To resolve disputes or potential claims prior to the proposed final estimate, or
exceptions (claims) after the proposed final estimate, and to pay for contract claim
determinations. For the use of change orders in the dispute resolution process, refer
to Section 5-4, Disputes, of this manual.
5-304 5-304 Initiation of Change Orders
Initiation of Change The resident engineer usually determines the need for and initiates a change order.
Orders However, the contractor, other Caltrans units, or outside agencies or individuals may
request changes. Other Caltrans units requesting a change order must clearly document
the need for the change and provide information sufficient to demonstrate that the
requested change meets Caltrans policy for making changes to the contract. For all
changes requested by any person except the contractor, indicate Change Requested by
Engineer on Form CEM-4900, Change Order.

5-3.2 Change Orders
5-305 Preliminary Considerations 5-305
When preparing to write a change order, consider the following: Preliminary
Considerations
Is the proposed change order necessary to complete the work as contemplated at
the time the plans and specifications were approved?
What is the overall impact on the planned work?
Are there sufficient unobligated contingency funds? If additional funds are
required, can they be obtained soon enough to prevent delays? Refer to Section
5-2, Funds, of this manual for the procedure for obtaining additional funds.
Will the contract time be affected?
What are the impacts of adjusting contract time?
When a project is nearing completion, give careful consideration to the effect the
change will have on the time of completion. Changes near the end of a contract
tend to extend the time of completion more than changes made earlier. Late
changes may adversely affect the contractors schedule, delay public use of the
facility, and disrupt the planned use of Caltrans personnel.
If the adjustment of time of completion is deferred, how will the adjustment be
determined?
Will the proposed change order affect or change the contractors planned method
of performing the work?
Is the proposed work already covered in the contract?
Will the ordered change cause a work-character change?
If a payment adjustment resulting from a work-character change is deferred, how
will the adjustment be determined?
Is timely coordination with other affected Caltrans units possible? Does the
proposed change adhere to existing permit conditions, environmental mitigation
requirements, local agency and utility obligations, and right-of-way agreements?
Does the proposed change require new coordination, permits, or agreements?
Will the contractor cooperate in providing timely cost estimates for extra work at
agreed price and cost information for payment adjustments? Should you make
your own cost estimates and determinations first and present them to the
contractor?
What methods of payment should be used?
To avoid misunderstanding and obtain full agreement, discuss with the contractor all
elements of a change, including the method of compensation and the affect on time.
Failure to identify elements requiring consideration may lead to protest.
5-306 Change Order Content 5-306
The change order must be clear, concise, and explicit. When appropriate, it must Change Order
include the following: Content
What is to be done.
Location and limits of proposed work.
Any applicable specification changes and references to specifications.

Change Orders 5-3.3
The proposed change orders affect on time of completion.
Method and amount of compensation.
5-306A Specifications
The specifications for bid item work already included in the contract will apply to
added bid item work. You do not need to repeat or reference specifications for added
work that is clearly shown to be bid item work.
In the change order, completely describe extra work. Include directly or by reference
the specifications for extra work, whether paid for at agreed price or at force account.
The contractor must complete this extra work exactly as it is specified in the change
order.
The contract will include some supplemental work specifically designated as extra
work. For an example of this situation, refer to Section 12-1.02 [12-2.01], Flaggers,
and Section 12-1.03 [12-2.02], Flagging Costs, of the Standard Specifications.
5-306B Description of Work
The change order must clearly describe added work or other changes to the contract.
Include appropriate references to special provisions, contract plans, Standard Plans, or
Standard Specifications. Decide whether a written statement clearly defines the
proposed change or if plans or drawings need to be included.
The contractor normally chooses the method of performing extra work, subject to the
resident engineers approval for labor, equipment, and materials for force account
work. If, for any reason, the engineer wants to control the method of performing the
work, the method must be specified in the change order.
On plans attached to a change order, show pertinent dimensions and the scale or label
the plans not to scale. Plainly mark reduced reproductions Reduced Plans, Scales
Reduced Accordingly. When using existing plan sheets, clearly show the difference
between new work, work already included in the contract, and changed or eliminated
work. A simple sketch on a letter-sized sheet will more clearly depict the change than
an obscure revision to an existing sheet of the original plans. An 8.5 x 11 attachment
is always preferable to a full-size contract plan sheet.
Section 6735, Preparation, signing, and sealing of civil engineering documents, of
the Professional Engineers Act, requires that all civil engineering plans and
specifications that are permitted or that are to be released for construction shall bear the
signature and seal or stamp of the licensee and the date of signing and sealing or
stamping. All final civil engineering calculations and reports shall bear the signature
and seal or stamp of the licensee, and the date of signing and sealing or stamping. Plans
or specifications attached to a proposed change order must meet this requirement, with
the exception that a licensed civil engineer does not need to sign revisions already
covered by Standard Plans, Standard Specifications, standard special provisions,
previously engineered drawings, or minor changes not requiring calculations or
determinations by a licensed engineer.
Show the Caltrans contract number, sheet number, and change order number on plans
or other documents made a part of a change order. Include all attachments with each
distributed copy of a change order.

5-3.4 Change Orders
5-306C Methods of Payment
When writing a change order, the resident engineer often can choose the payment
method for added or changed work. The following lists, in order of preference, the
payment methods:
1. Bid item unit prices.
2. Bid item unit prices with a payment adjustment at agreed unit price or lump
sum.
3. Payment adjustment at agreed unit price or lump sum.
4. Force account.
a. Payment adjustment.
b. Extra work.
When a bid item has a work-character change, the resident engineer may delete the
entire bid item, or the portion of it affected by the change, and pay for the entire work
at force account. A much better choice, though, is to determine a correct and equitable
payment adjustment to the bid item unit price. A payment adjustment providing for
increased or decreased costs due to the work-character change allows the contract price
to remain unchanged. Before resorting to force account payment, resident engineers
must make every effort to make payment adjustments or negotiate agreed prices.
Refer to Section 3-901, General, of this manual for methods of payment. Section
3-904, Payment Adjustments, of this manual describes how the various methods of
payment are used in change orders.
5-306C (1) Increases and Decreases in Bid Items at Bid Item Unit Prices
Changes in planned work or adding or decreasing work will often result in increases or
decreases in bid item quantities. Except for bid items designated in the bid item list as
final pay quantities, show changes in bid item quantities as estimates on a change
order. Calculate the estimated increases or decreases that will result from the work as
changed by the change order. The actual quantity paid for each bid item will be
determined by the method specified for measuring each bid item quantity. For
guidelines on measuring bid item quantities, refer to Section 3-9, Payment, of this
manual.
Show changes in the quantity of bid items that are designated as final pay quantities as
fixed amounts added to the quantity shown in the bid item list. If a portion of a final
pay item quantity is eliminated, the final pay quantity will be revised in the amount
represented by the eliminated portion of the item of work quantity. For a standard
clause for revised final pay quantities, refer to Section 5-306E, Change Order
Standard Clauses, of this manual.
For the method of indicating changes in bid item quantities, refer to Section5-306G,
Change Order Format, and the following example change orders which are provided
in Section 5-315, Examples of Change Orders, of this manual:
Example 5-3.7, Additional Work. Change Material Specifications. Increase in
Bid Item Quantities (Work-Character Change Payment Adjustment and Extra
Work at Force Account.
Example 5-3.9, Value Engineering Change Proposal (Decrease Bid Item Quantity
and Payment Adjustment).

Change Orders 5-3.5
Example 5-3.10A, Additional Work. Increase Bid Item Quantities (Clause for
Final Pay Items and Extra Work at Agreed Price.
Example 5-3.10B, Item Increase/Decrease and Extra Work.
Increases and decreases or estimated increases or decreases in bid items at contract
prices may be executed unilaterally or with the contractors agreement.
5-306C (2) Payment Adjustment
For the definition of payment adjustments, refer to Section 3-904, Payment
Adjustments, of this manual. Section 3-4, Scope of Work, of this manual discusses
payment adjustments for increased or decreased quantities and for work-character
changes.
Payment adjustments usually involve estimating the cost of work or determining the
actual cost of work performed. The following explains how to estimate or determine
such costs.
Verify the contractors records of item cost by comparing labor and equipment charged
to the item by the contractor to the labor and equipment shown on the daily reports.
Charge equipment to the item cost in accordance with the force account method.
Exclude down time, and apply the correct force account rental rates. Exclude any
overhead costs and any items that should be charged to other work.
Sometimes a contractor may submit cost estimates based on the billing from a
specialist plus a markup. When the work is of such a nature that it would qualify under
Section 9-1.05 [9-103B], Extra Work Performed by Specialists, of the Standard
Specifications, you may calculate the adjustment on this basis. Ensure the specialist rate
or billing is in line with the firms usual charges.
For bid item overrun and underrun adjustments, when the contractor does not furnish
sufficient and timely cost information, issue a unilaterally approved change order
adjusting the item. Base the adjustment on your cost determination. This approved
change order establishes the time allowed for protest and helps avoid delays.
Even though the contractor may have agreed to pay a fixed price to others for an item
of work, you can still use a force account based adjustment of the item price. You must
use a force account cost determination even when the work is subcontracted unless the
item of work was performed by a specialist, as defined in Section 9-1.05 [9-1.03B],
Extra Work Performed by Specialists, of the Standard Specifications.
For large and complex adjustments, request auditing assistance from the Division of
Audits & Investigations through the Division of Construction. Refer to procedures in
Section 5-409, Audits, of this manual.
5-306C (2a) Adjustments for Increased or Decreased Quantities
As soon as it is known that a bid item quantity will vary from the bid item list by more
than 25 percent, consider the method of adjustment that will be used. Make daily
reports for the item with the same degree of detail used in force account daily reports.
Doing so will facilitate determining any necessary adjustment. When required, make
payment adjustments for increased or decreased quantities as soon as the contractor
completes work on a bid item. Refer to Section 3-904, Payment Adjustments, of this
manual.

5-3.6 Change Orders
You may calculate adjustments by analyzing the performance of a portion of an item,
provided the portion is typical of the item as a whole.
You may verify a contractors records by comparing them with Caltrans records.
Where more extensive auditing is required, request the assistance of the Division of
Audits & Investigations. When examining the contractors records to determine the
cost of equipment used, consider only the hours worked. Force account equipment
rental rates must be used regardless of what rate the contractor may have used. When
verifying the contractors records, eliminate supervision and overhead costs and any
costs properly chargeable to other work.
When making adjustments, use Caltrans records to determine the amounts of labor,
equipment, and materials. The verified contractors records may supplement the
Caltrans records, or in some instances, you may need to use only the verified
contractors records. The resident engineer must use good judgment when reconciling
differences between the contractors and the engineers records to arrive at a reasonable
and equitable adjustment.
An item that has been adjusted under the provisions of Section 4-1.05B [4-1.03C],
Work-Character Changes, of the Standard Specifications, may later become eligible
for further adjustment under Section 9-1.06 [4-1.03B], Changed Quantity Payment
Adjustments, of the Standard Specifications. In making the quantity payment
adjustment, deduct or add payments made in making the work-character change
adjustment to determine the contractors total cost of the work.
5-306C (2b) Adjustment Calculations Involving Hot Mix Asphalt Dikes and
Miscellaneous Areas
The bid item HMA [hot mix asphalt] dike is paid for by the ton of HMA and by the
linear foot for HMA dike. The bid item HMA (miscellaneous areas) is paid for by
the ton of HMA and by the square yard for HMA (miscellaneous areas). The
specifications do not exactly separate the work covered under each bid item. This lack
of separation requires special attention when it is necessary to adjust either the HMA
dike bid item or the HMA (miscellaneous areas) bid item.
The following is the recommended procedure to determine the costs for computing
adjustments of HMA dike and HMA (miscellaneous areas):
1. Subtract the estimated normal haul and placing unit cost for HMA used in paving
from the bid item unit price to determine the cost of manufacturing HMA. Also,
consult the contractor for an accurate estimate for comparison purposes. For
commercial plants, you may use published price lists to determine the cost of
manufacturing HMA.
2. To obtain the total cost of manufacturing HMA used in dikes or miscellaneous
areas, multiply the actual mass of HMA used for dikes or miscellaneous areas by
the unit cost of manufacturing HMA as determined above.
3. To obtain the total force account cost of dikes or miscellaneous areas, add to the
total cost of manufacturing HMA the total force account haul and placing costs for
HMA used in dikes or miscellaneous areas.
4. Calculate the force account unit cost of the dike or miscellaneous areas item and
proceed as with any bid item increase or decrease adjustment.

Change Orders 5-3.7
To some extent, this procedure constitutes an adjustment in the HMA item as well as in
the items for HMA dike or HMA (miscellaneous areas) paid by linear foot or square
yard. However, this statement is true only for the HMA used on that portion of the dike
or miscellaneous areas in excess of 125 percent of the bid item list. Also, an overrun or
underrun in HMA dike or HMA (miscellaneous areas) will usually have little affect on
the overall quantity of HMA.
5-306C (2c) Deferred Bid Item Adjustments
Upon completion of the changed work, promptly resolve all deferred item adjustments.
If a bid item adjustment will not be made, you do not need to write a supplemental
change order. In this case, a letter from the contractor is sufficient. File a copy of the
contractors letter with the original change order that deferred the adjustment.
5-306C (2d) Exemption from Adjustment
Unless requested in writing by the contractor, do not adjust a bid item when the total
pay quantity is less than 75 percent of the bid item list. You also do not need to adjust,
unless requested in writing by the contractor, if the value based on the contract price for
the units of work in excess of 125 percent is less than $5,000, as shown in Section
9-1.06B [4-103B(1)], Increases of More than 25 Percent, of the Standard
Specifications. As soon as a final bid item quantity is known, decide whether to make
the adjustment. Unless an obvious imbalance exists between the bid item unit price and
actual cost, do not make the adjustment. Inform the contractor in writing whether or not
Caltrans will adjust the bid item price.
5-306C (2e) Adjustments for Work-Character Changes
Section 3-403A, Work-Character Changes of this manual defines work-character
changes.
Payment adjustments for work-character changes may be unit or lump sum
adjustments. Normally, a lump sum adjustment is only applied to a lump sum bid item.
A work-character change payment adjustment requires a force account determination
of the cost of an entire item as changed and a force account estimate of the cost of the
work as planned.
When only a portion of the work has changed, separate the changed portion of the
work from the unchanged portion. Perform a force account analysis of the cost of the
changed portion, and make payment at the contract price plus a separate payment for
the added work or credit for any deleted work.
Do not eliminate a bid item and pay for the work at agreed price or force account
unless the change is so extensive that the original item no longer applies.
There can be no work-character change unless there was an executed change order. At
times, it will not be possible to come to an immediate agreement with the contractor
regarding an adjustment in compensation. You may need to complete the entire item
before adjusted costs can be determined. In such cases, provide for payment at bid item
prices, and defer adjustment in the initial change order. Include an appropriate
deferment clause.
5-306C (3) Extra Work
For the definition of extra work and guidelines for using extra work in change orders,
refer to Section 3-4, Scope of Work, of this manual. Before designating additional

5-3.8 Change Orders
work as extra work, ensure that it cannot be paid for as a bid item, a combination of bid
items, or a bid item with a payment adjustment.
5-306C (3a) Extra Work at Agreed Prices
For guidelines for determining and paying for extra work at agreed price, refer to
Section 3-9, Payment of this manual.
File with the contract records any calculations made to determine extra work at agreed
price. These calculations are subject to audit and must be in such a form that they
clearly substantiate and justify the amount paid for extra work. In lieu of showing all
the calculations necessary to substantiate extra work at agreed price in the change order
memorandum, you may include a statement that such calculations are on file in the
project records.
When a subcontractor is to perform extra work at agreed price, include the
subcontractor markup in the agreed price calculations. For subcontractor markup
guidelines, refer to Section 3-9, Payment, of this manual.
Agreed prices may be unit prices or lump sum. Before an agreed price may be used to
pay for extra work, the resident engineer and the contractor must agree on
compensation. The contractor must execute the change order providing for extra work
at agreed price.
After the extent of extra work has been determined, request the contractor to submit a
proposed agreed price. Analyze the contractors proposed price using the force account
method. You may also initially determine a proposed agreed price based on a force
account analysis and present it to the contractor. When you have reached agreement,
process the change order and retain in the project files the records fully justifying the
agreed price.
Ensure that payments of agreed lump sum prices do not exceed the amount authorized
on the change order. Agreed unit prices can be applied to an estimated number of units
in the change order. Although the unit price remains fixed, the number of units paid
may vary from the estimated number.
When extra work consists entirely of work that neither the contractor nor any of the
subcontractors would normally perform, the work is considered specialist work, and
the contractor should obtain three bids for the extra work. Determine the agreed price
by taking the lowest bid and adding the markup, as described in Section 9-1.05
[9-103B], Extra Work Performed by Specialists, of the Standard Specifications.
When this method is used, ensure that the work is accurately and completely described
when bids are solicited. The same description of the work must be used in the change
order. If the contractor or a subcontractor includes a bid along with independent firms,
you must make an analysis using the force account method. The contractors or
subcontractors bid will be acceptable only if the analysis can justify it. If the contractor
or a subcontractor is capable of performing the extra work, the work is not considered
specialist work.
For examples of change orders with extra work at agreed price, refer to Example 5-3.2,
Flagging Only (Extra Work at Agreed Unit Price), and Example 5-3.10A,
Additional Work. Increase Bid Item Quantities (Clause for Final Pay Items and Extra
Work at Agreed Price), in Section 5-315, Examples of Change Orders, of this
manual.

Change Orders 5-3.9
5-306C (3b) Extra Work at Force Account
Pay for extra work at force account under the following conditions:
When the work cannot be estimated within reasonable limits of accuracy.
When the resident engineer and the contractor are unable to agree on a unit or
lump sum price for the work.
When the contractor refuses to sign a change order.
For guidelines for paying for extra work at force account, refer to Section 3-9,
Payment, of this manual. For examples of change orders with extra work paid for on
a force account basis, refer to Example 5-3.1, Flagging and Traffic Control (Extra
Work at Force Account), and Example 5-3.7, Additional Work. Change Material
Specifications. Increase in Bid Item Quantities (Work-Character Change Payment
Adjustment and Extra Work at Force Account), in Section 5-315 of this manual.
5-306D Adjustments to Time of Completion
For a discussion of time of completion and adjustments to time, refer to Section 3-804,
Time, of this manual.
A change order may specify a positive, negative, or no adjustment to time of
completion.
Whenever you can estimate an adjustment to time with reasonable accuracy, try to
reach agreement with the contractor. Enter the amount of the time adjustment on the
change order (including when there is no adjustment). Regardless of the amount of
time actually required to perform the changed work, the agreed adjustment becomes
binding on both parties. File with the contract records the calculations and other data
used to determine adjustments to time.
If you cannot determine or agree on an adjustment of time in the initial change order,
you may defer the adjustment. When doing so, write deferred on the time adjustment
line and include a time adjustment deferred clause in the change order.
As soon as the change order work is completed, determine the appropriate time
adjustment. If you cannot reach agreement with the contractor, issue a unilaterally
approved supplemental change order adjusting time.
On contracts with internal time limits or multiple time limits, ensure any change order
that includes a time adjustment contains a statement that identifies the applicable time
limitsof the adjustment. If an internal milestone date will change, but total time remains
unaffected, specify the new date in the change order and indicate there is no time
adjustment due to the change.
Periodically during the progress of the change order work, resolve deferred time
adjustments. Do so by issuing a supplemental change order covering time allowable. If
it is an extensive deferment, resolve the time allowed to a current date, with part of the
deferment continued for subsequent work. Your objective is to resolve deferred time
adjustments as soon possible. Timely resolution of time deferments allows the
contractor to efficiently schedule remaining work to complete the project within the
time limits.
The resident engineer may not unilaterally decrease time unless this is permitted by the
specifications. Otherwise, the contractor must agree to changes that reduce time.
Without this agreement, you can do one of two things:

5-3.10 Change Orders
1. Do not recommend approval of the change if no benefit exists for Caltrans.
2. If substantial benefits exist for Caltrans, issue a unilaterally approved change
order with no time adjustment.
5-306E Change Order Standard Clauses
The following are examples of standard clauses for specific situations found in various
types of change orders. Note that any items in brackets are not part of the clause, but
are instructions to you in using the clause. In using any of these clauses, ensure that the
clause states what is appropriate for your change order.
Situation 1: Adjustment Deferred for Increase in Quantities in Excess of 25
Percent of the Quantities Shown on the Bid Item List
Standard Clause for Situation 1:

Any adjustment due in accordance with Section 9-1.06B, Increases of More Than
25 Percent, of the Standard Specifications for bid item(s) No. _______ is deferred.
Situation 2: Adjustment for Increase in Quantities in Excess of 25 Percent of the

Quantities Shown on the Bid Item List

Payment adjustment in accordance with Section 9-1.06B, Increases of More Than
25 Percent, of the Standard Specifications:
The following adjustment(s) will be made for units of work in excess of 125 percent
of the quantities shown on the bid item list:
[List the bid(s), unit adjustments, quantities, and total item adjustment(s).]
Or, for a single bid item:
In accordance with Section 9-1.06B, Increases of More Than 25 Percent, of the
Standard Specifications, the adjustment of the bid item unit price for the quantity in
excess of 125 percent of the quantities shown on the bid item list for bid item No.
_____ [item description] will be $____ per _____ increase [or decrease].
[When you know the total pay quantity, you may apply the unit adjustment to a fixed
quantity for an exact total adjustment. When the total pay quantity has not yet been
determined, you may apply the unit adjustment to an estimated quantity for an
estimated total adjustment.]

Change Orders 5-3.11
Situation 3: Adjustment Deferred for Decrease of More Than 25 Percent of the
Quantities Shown on the Bid Item List

Any adjustment due in accordance with Section 9-1.06C, Decreases of More Than
25 Percent, of the Standard Specifications for bid item(s) No. _____, [item title] is
deferred.
Situation 4: Adjustment for Decrease of More Than 25 Percent

Adjustment in accordance with Section 9-1.06C, Decreases of More Than 25
Percent, of the Standard Specifications:
The following adjustments will be made for bid items that underran the quantities
shown on the bid item list by more than 25 percent:
Or [for a single bid item]
In accordance with Section 9-1.06C, Decreases of More Than 25 Percent, of the
Standard Specifications, the adjustment of the bid item unit price for bid item No.
_____ [item description] will be $_____ increase.
[Normally, in the case of an underrun, you must know the total pay quantity before
determining the adjustment. It is usually more efficient to show the adjustment as a
lump sum amount because of the specified limit of 75 percent of the quantities shown
on the bid item list for total compensation.]
Situation 5: No Adjustment Due to Increases or Decreases of More Than 25

Percent of the Quantities Shown on the Bid Item List

No adjustment(s) to the bid item unit price of item(s), No.____ [item title], will be
made in accordance with Section 9-1.06B, Increases of More Than 25 Percent, of
the Standard Specifications. [Or, for decreases, use Section 9-1.06C, Decreases of
More Than 25 Percent, of the Standard Specifications.]
Or [when waiving adjustments for both increases and decreases]
There will be no adjustment for items No. _____ and No. _____ [item titles] in
accordance with Section 9-1.06, Changed Quantity Payment Adjustments, of the
Standard Specifications by reason of this change order.
[The contractor must be in agreement and execute the change order before a
payment adjustment for increased or decreased quantities is waived.]

Situation 6: Adjustment Deferred Due to Possible Work-Character Change

Any adjustment due in the bid item unit price(s) of item(s) No. ___, [item title] in
accordance with the provisions in Section 4-1.05B, Work-Character Changes, of
the Standard Specifications, is deferred.
Situation 7a: Eliminated Item, Adjustment Deferred
Standard Clause for Situation 7a:

Any adjustment due in accordance with Section 9-1.06D, Eliminated Items, of the
Standard Specifications of bid item No._____ will be deferred until all incurred or
unavoidable costs can be determined.
Situation 7b: Eliminated Item, Adjustment Determined
Standard Clause for Situation 7b:

In accordance with Section 9-1.06D, Eliminated Items, of the Standard
Specifications, the adjustment due to the elimination of item(s) No. _____, [item
title] is zero. [Or replace zero with whatever costs the contractor has incurred.]
Situation 8: Revised Final Pay Item Quantities

The quantity increase shown for bid item No. ____, [item title] when combined with
the quantity shown in the bid item list, and as modified by any previous change
orders or revisions to dimensions made by the engineer, shall be the final quantity
for which payment will be made.
Situation 9: Extra Work or Payment Adjustment at Agreed Unit Price

For this work, the contractor shall receive and accept $ __ per [unit] of [pipe, fence,
among other items]. This sum constitutes full and complete compensation for
furnishing all labor, material, equipment, tools, and incidentals including all markups
by reason of this change.

Situation 10: Extra Work or Payment Adjustment at Agreed Lump Sum Price

For this work, the contractor will be paid the sum of $ ___. This sum constitutes full
and complete compensation, including all markups for this change.
Or
For this work, the contractor shall receive and accept the agreed lump sum of
$ ____. This sum constitutes full and complete compensation for providing all labor,
material, equipment, tools and incidentals, and includes all markups by reason of this
change.
Or
For this reduction, the contractor agrees to [or will] credit [or pay] the state a lump
sum of $ ___. This sum constitutes full and complete compensation, including all
markups for this change.
Or
The state will accept a lump sum payment of $ ___ as full compensation for this
change.
Or
The contractor shall credit the state $ ___ for each [unit] of item(s) No. ____ [item
title]. This sum constitutes full and complete compensation for this change.
Or
There shall be no cost or credit to the state by reason of this change.
Situation 11: Time Adjustment

Consideration of a time adjustment will be deferred until completion of the work
specified in this change order. A determination of a time adjustment will be made in
accordance with Section 8-1.07, Delays, of the Standard Specifications.
Or
A determination of the delay in completion of the contract due to the work specified
by change order No. ____ has been made in accordance with the provisions of
Section 8-1.07, Delays, of the Standard Specifications. [Add either of the
following sentences to this clause.]
Change order No. _____ included the controlling activity for the following dates:
[list datesmm/dd/yy].
The contractor shall be granted [number] working days for the following dates: [list
datesmm/dd/yy].
Or
A determination of the delay in completion of the contract due to work specified by
change order no. ___ for work performed from [mm/dd/yy] to [mm/dd/yy] [or on
mm/dd/yy] has been made. Consideration of a time adjustment for the remaining
work continues to be deferred.
Refer to Example 5-3.13, Resolution of Deferred Time Adjustment, of this
manual.

Situation 12: Deferred Adjustment for Delay

Any payment adjustment due to possible delays to the work resulting from this
change is deferred until completion of the work. The adjustment will be made in
accordance with Section 8-1.07, Delays, of the Standard Specifications.
Situation 13: Payment Adjustment for Overhead Costs

In accordance with Section 9-1.17C, Proposed Final Estimate, of the Standard
Specifications, the contractor shall receive the total sum of $ ___ to compensate
adjusted overhead costs.
Situation 14: Claim Settlement

Payment indicated in this change order provides for full settlement of all claims on
this contract [or the contractors claim No. ____.]
Or
Grant the contractor [number] working days, reducing the overrun in contract time
by [number] calendar days, which provides for full settlement of all claims on this
contract.
Or
This change order resolves notice of potential claim No. ____, dated [date].
5-306F Work Designated as Extra Work in the Specifications

The Standard Specifications and the special provisions describe certain work and
specify that it is to be paid for as extra work. In some cases, supplemental funds are set
aside to pay for this extra work. Make an independent cost estimate of the work for
which the supplemental funds were provided. This estimate must be as accurate as
possible.
Refer to the specific section of the specifications that identifies the extra work for the
change order. Also, describe the exact work to be performed.
Traditionally, Change Order No. 1 provides for extra work specified for public traffic
and public convenience. This change order must be limited to the following:
Work designated as extra work in the specifications
Work related to the needs of public traffic or for public convenience
Refer to the example change order, Example 5-3.1, Flagging and Traffic Control
(Extra Work at Force Account), in Section 5-315 of this manual. This change order
indicates the method for incorporating specified extra work into a change order. Note

that the example change order is written as extra work at force account. You may also
pay for specified extra work as extra work at agreed price if the extent of the work can
be accurately determined. This approach is illustrated in Example 5-3.2, Flagging
Only (Extra Work at Agreed Unit Price), which provides for payment for flaggers at
an agreed unit price. Payment for flaggers at an agreed price may be written as a
separate change order or combined with the other traffic related work paid for as extra
work at force account.
5-306G Change Order Format
The example change orders at the end of this section follow the generally accepted
format for writing change orders. The following describes the format:
Describe the work or change that will cause increases and decreases to bid item
quantities. Refer to any attached drawings or documents (sheets __ and _____ of
______). If the bid item work cannot be described separately from other work,
describe the entire work at this stage. Describe work paid for by other methods in
the appropriate sections of the change order. The intent is that the change order
clearly specifies the work paid for by each payment method.
Show the increases and decreases in bid item quantities. Include the percent of the
bid item list represented by this change. Also show the accumulated percent
change to date from the original quantity in the bid item list.
Write clauses for situations resulting from increases or decreases or estimated
increases or decreases in bid item quantities (deferred adjustments or actual
payment adjustments for overruns or underruns).
Write clauses for adjustments or deferred payment adjustments due to any cause.
Describe the work or change causing the adjustment or deferred adjustment. Show
the amounts of adjustments if not deferred.
Describe work to be paid for as extra work at agreed price. Show the price as
agreed. Agreed prices may be fixed unit prices and an estimated or actual number
of units, or agreed prices may be fixed lump sums.
Describe the work to be paid for as extra work at force account. Show the
estimated cost of the extra work.
Write time deferment or time adjustment clauses.
5-307 5-307 Change Order Memorandum
Change Order Include with all change orders sufficient documentation to explain the scope and
Memorandum reasons for the change. For this purpose, use Form CEM-4903, Change Order
Memorandum, with any necessary attachments. The memorandum is intended for
interdepartmental use only. Do not send the memorandum to the contractor.
The memorandum must be sufficiently complete to enable a person unfamiliar with the
details of the project to review the change order and understand the justification for the
work, the reasonableness of the compensation, and the time adjustment provisions.
5-307A Contents of the Memorandum
Include the following in the memorandum:
State what the change order provides. Supplemental change orders should also
include a description of the original change order.

Explain the need for the change, including the contractual basis of the change.
When another Caltrans unit requests a change, the correspondence requesting the
change should also justify the need for the change. Attach supporting letters to the
memorandum.
State the reasons a particular method of payment was chosen. Include a complete
cost analysis, or state that the cost analysis is on file with the project records. The
statement should include the method used in making the cost analysis.
Explain the reasons the ordered change causes any change in the character of the
work. To substantiate any additional compensation due, you may need to provide a
summary of events leading up to the change.
State the extent of coordination and concurrence. If agreement with any district
unit cannot be obtained, then indicate specific discussions that would influence a
decision for approval. Refer to Section 5-307C, Coordination and Concurrence by
Others, of this manual.
If prior approval of the change order has been obtained, state the name of the
person who granted prior approval and the date.
Show the unobligated balance of funds available to finance the change order. The
resident engineer must ensure the available funds are not exceeded. For obtaining
additional funds, refer to Section 5-2, Funds, of this manual.
Show the total authorized funds to date, as well as the dollar amount of a
supplemental change order.
Indicate when funds for supplemental work shown in the detailed estimate of job
cost are used in the change order.
For major changes on federal high-profile projects, indicate the name and date of
discussion and concurrence, if any, by the FHWA transportation engineer. Refer to
Section 5-308, Federal Highway Administration Change Order Requirements,
of this manual. For details relating to federal funding to be shown on the change
order memorandum, refer to Section 5-309, Federal Segregation Determination
on Change Orders, of this manual.
For change orders involving participation by local agencies, identify the portion of
the work that is applicable to the contributing agency.
For a change order that is to be unilaterally approved, explain why the contractor
will not sign or why the contractors signature is not required. Attach a copy of any
correspondence from the contractor regarding the change order.
Include justification for a time adjustment. Describe the method used to determine
time adjustments. State the controlling activity during the delay period. Whenever
possible, and when resolving a previously deferred time adjustment, indicate the
specific working days that experienced delay and represent the period of the time
adjustment. By indicating the specific working days, you ensure other time
adjustments do not cover the same time period.
Indicate the cumulative time adjustments and total number of change orders with
unreconciled deferred time.

5-307B Change Order Category Codes
The resident engineer is responsible for assigning a four-letter code to every change
order to indicate the main reason for the change. Preferably, there should only be one
issue per change order. For change orders with multiple distinct issues, assign the
coding based on the one issue that has the greatest impact to the project. Assign the
coding according to the reason for the change, not according to how the problem was
corrected. To determine the code, the resident engineer may use the CCO Code
Generator from the following Division of Construction intranet site:
http://projdel.dot.ca.gov/construction/contractmanagement/cmpage.htm.
The resident engineer should enter this code on Forms CEM-4903, Change Order
Memorandum, and CEM-4901, Change Order Input.
The change order code will identify one or more discrete pieces of information about
the change:
1. The type of change order (first character).
2. The specification which authorizes the change, or the physical asset which is
affected by the change (second character).
3. The source document that led to the need for a change (third and fourth
characters).
4. The disposition of a dispute resolution (third and fourth characters).
Administrative types of change orders (accelerations, and changes that are anticipated
and authorized by existing administrative specifications) require only minimal coding
information. Consequently, extra coding positions will be assigned a default character
placeholder, the letter Z. Assign characters from left to right, as subsequent character
code selection is dependent on the preceding characters.
Character 1: Change Order Type:
Use the codes in Table 5-3.1, Change Order Type, to categorize the change order
according to its general type (for example: administrative, dispute resolution and
others). Coding for dispute resolution takes precedence over coding for any other
potential scenario. After selecting the first character code, use the corresponding
directions on Table 5-3.1 to complete the coding for the remaining three characters.
Character 2: Specification or Physical Asset:
Next, based on your selection for the first character code, and using the directions
within Table 5-3.2, Specification or Physical Asset, select the code that most
accurately identifies the appropriate administrative specification, or the affected
physical asset. Enter this code as the second character. In the case of a change order
that is strictly for acceleration, with no physical change in the planned work (the first
character code is a B); then the second character code is defaulted to a placeholder Z
character.
Characters 3 and 4: Source Document or Dispute Disposition:
If the change order is needed to bring about a plan or specification change (the first
character code is C or D), use Table 5-3.3, Source Document, to identify the pair of
character codes that together best describe the original document that created the need
for the change order. The reason for the change may be from:
Constructability issues, errors, conflicts, or inconsistencies.

The introduction of improved products, means, or methods.
Any other reason, provided that the change will affect some physical aspect of the
planned work.
If the change order is for a dispute resolution (first character code from Table 5-3.1 is
either E, F, G, or H), use Table 5-3.4, Dispute Disposition, to assign the third and
fourth characters. Begin by selecting the code for the third character that most closely
identifies the time frame before the dispute was resolved, Table 5-3.4. The milestones
for the third character are listed chronologically. For the fourth character, choose a code
from Table 5-3.4 that most accurately explains how the dispute was resolved
(entitlement, negotiated settlement, and arbitration award, full or partial resolution.)
If the change order type was administrative (first character code is either A or B), then
the third and fourth character codes are defaulted to Zs.
General Examples:
Change orders that are strictly for constructive accelerations when there is no change to
the final configuration of a planned permanent physical asset are all coded BZZZ.
No additional coding information is necessary.
When a change order resolves a dispute based on contract administration, and there
was no change to the planned work on some permanent physical asset:
1. The first character will be either E or G (refer to Table 5-3.1).
2. The second character represents the disputed administrative specification.
Choose this character from the upper portion of Table 5-3.2.
3. The third and fourth coding characters are selected depending on when and
how the dispute was resolved. Choose these characters from Table 5-3.4,
Dispute Disposition.
When a change order is authorized by an administrative specification and there is no
formalized dispute involved:
1. The first character will be A (refer to Table 5-3.1).
2. Select the second character from the upper portion of Table 5-3.2.
3. The third and fourth characters will both default to the placeholder letter Z. No
other coding information is necessary in this particular example.

Table 5-3.1. Change Order Type (Character 1)
Change Order Type Code Description
Change order used to pay for work or adjustments already authorized

Contract or by specifications (supplemental work, quantity adjustments, and other).
Supplemental A
Work (Use only the specification codes from the upper portion of Table 5-3.2
for the second character, and Zs for the third and fourth characters.)
Administrative
Change order used to accelerate certain planned work. Describe the
reason for acceleration in the transmittal memo (public convenience,
Acceleration B staging coordination, delay mitigation, and other).
(Use only Zs for subsequent code characters 2, 3, and 4.)

Change order needed to change plans or specifications for reasons
unrelated to a value engineering change proposal (VECP).
Non-VECP C
Plan or (Use only the physical asset codes from Table 5-3.2 for the second
Specification character, and Table 35-3.3 for the third and fourth characters.)
Change Change order needed to change plans or specifications due to a VECP.
VECP-
D
Related (Use only the physical asset codes from Table 5-3.2 for the second
character, and Table 5-3.3 for the third and fourth characters.)
Change order either fully or partially resolves certain potential claim
records due to some dispute over contract administration.
E
(Use the specification codes from the upper portion of Table 5-3.2 for
the second character, and Table 5-3.4 for the third and fourth
Potential characters.)
Claim Change order either fully or partially resolves certain NOPCs due to a
dispute over an ordered change, which affected some physical asset.
F
(Use either the physical asset codes from the lower portion of Table
5-3.2 for the second character, and Table 5-3.4 for the third and fourth
characters.)
Dispute
Resolution Change order either fully or partially resolves certain contract claims
due to some dispute over contract administration.
G
(Use the specification codes from the upper portion of Table 5-3.2 for
characters.)
Claim Change order either fully or partially resolves certain contract claims
due to a dispute over an ordered change, which affected some physical
asset.
H
(Use the physical asset codes from the lower portion of Table 5-3.2 for
characters.)

Table 5-3.2. Specification or Physical Asset (Character 2)
Code Specification (use this portion of Table 5-3.2 only when the first character code is A, E, or G )
A 9-1.06 [4-1.03B(1 & 2)]: Changed Quantity Payment Adjustments
B 7-1.04 [4-1.04]: Public Safety
C 4-1.06 [5-1.116]: Differing Site Conditions
D 7-1.02K [7-1.01A(5)]: Labor Code
Standard Specifications (No.)or Special Provision (SP)
E 7-1.03 [7-1.08]: Public Convenience

F 8-1.10 [8-1.07]: Liquidated Damages
G 8-1.07 [8-1.09]: Delays
H 5-1.36D [8-1.10]: Nonhighway Facilities
I 9-1.17C [9-1.08]: Proposed Final Estimate
J 12-1.03 [12-2, 12-4]: Flagging Costs
Authorizing Specification
K 15-2.04 [15-2.05]: Reconstruct

L 4-1.05B [19-1.04]: Work-Character Changes
M 19-1.03B [19-2.02]: Unsuitable Material
N 19-2.03F [19-2.04]: Slides and Slipouts
O 20-7.03C [20-4.03]: Prepare Planting Area
20-3.03B(3), 86-1.06 [20-5.025, Maintain Existing Water Supply, Maintaining Existing and
P
86-1.06]: Temporary Electrical System
Q SP: California Paving Asphalt Index Price Adjustment
R SP: Dispute Review Board Meetings
S SP: Interest for Late Payments
T SP: Value Analysis Meetings (Not VECPs)
U SP: Partnering meetings
V SP: Quality Control/Assurance
Other listed Supplemental Work (Describe in transmittal
memo)
W SP:
(Use only if no other code describes this supplemental
work)
Other (Describe the other specification in transmittal
X Other:
memo)
Z Default: (Use only when the first character is B)
Code Physical Asset (use this portion of Table 5-3.2 only when the first character code is C, D, F, or H )
A Building (maintenance facilities, pump stations, etc.)
B Electrical (signals, lighting, communications, electrical systems, etc.)
C Drainage (culvert, subsurface, roadway drainage, gutters, lined ditches, etc.)
D Earthwork (excavation, embankment, soil stabilization, slope protection, erosion control, etc.)
Affected Permanent
E Landscaping (plants, irrigation, etc.)

Physical Asset
F Materials (borrow or disposal sites, surplus, salvage, etc.)

G Property (fence, survey monument, easements, right-of-way obligations, etc.)
H Structure (vehicle or pedestrian)
I Base, subbase, shoulder backing
J Surfacing (pavement, pavement reinforcing, shoulders, sidewalks)
K Traffic control devices (barriers, railing, signing, delineation, etc.)
L Utility
M Wall (retaining, sound, aesthetic, etc.)
X Other (Describe the other affected permanent physical asset in transmittal memo)
Z Default (Use only when the first character is B)

Table 5-3.3. Source Document (Characters 3 and 4)
(Use Table 5-3.3 only when the first character code is C or D from Table 5-3.1)
Character 3 (General) Character 4 (Specific)

A Cooperative
A Agreement B Permit
C Right-of-Way Obligation
A Environmental Clearance
C Certificate
B Right-of-Way Clearance
A Data/Control
G Survey
B Detailed Cross-Sections
A Log of Test Borings
M Materials
B Information Handout, Brochure
A Construction detail
B Contour grading
C Electrical
D Elevation view
E Environmental mitigation
F Erosion control
G Foundation
H General cross-sections
I Irrigation
J Layout/plan view
K Mechanical
P Plan
L Pavement delineation
M Planting
N Profile
O Schedule of materials
P Signage
Q Standard Plans
R Substructure
S Superelevation
T Superstructure
U Typical section
V Utilities
A Special Provision
S Specification
B Standard Specifications
A Construction area signs
B Construction easements
C Construction staging
D Electrical
E Erosion control
T Temporary Plan F Environmentally Sensitive Area (ESA)
G Lane closure chart
H Standard Plans
I Water Pollution Control/Prevention (WPCP or SWPPP)
J Traffic handling
K Traffic management plan
A,C,G,M,
Any of Above X Other specific document (describe in transmittal memo)
P,S,T
X Other Y Other (describe in transmittal memo)
Z Default Z When the first character is either A or B

Table 5-3.4. Dispute Disposition (Characters 3 and 4)
(Use Table 5-3.4 only when the first character code is E, F, G, or H, from Table 5-3.1, representing a
Dispute Resolution)
Character 3 (Time Frame)
Code Chronological Milestone

Prior to a Differing Site Condition Management Review Committee
A
Table 5-3.1 is E or F)
character code from
(Use only when first
Potential Claims
(DSC-MRC) hearing
B Prior to a Dispute Review Board (DRB) hearing
C Prior to the Construction Contract Acceptance (CCA) date
D Prior to the Proposed Final Estimate (PFE) date

character code from Table
E Prior to a Board of Review (BOR) hearing

(Use only when first
5-3.1 is G or H)
F Prior to an Arbitration Filing

Claims
G Prior to the Arbitration Hearing
H Prior to the Arbitrators Decision
I After the Arbitrators Decision
Character 4 (Resolution Authority)

Code Description
A Entitlement, Partial Resolution (Describe unresolved issues in transmittal memo)
B Entitlement, Full Resolution
Negotiated Settlement, Partial Resolution

C (Describe unresolved issues in transmittal memo)
Negotiated Settlement, Partial Resolution

D (Describe unresolved issues in transmittal memo)
Arbitration Award, Partial Resolution (Describe unresolved issues in transmittal memo)

E (Use only with first character code from Table 5-3.1 is G or H)
Arbitration Award, Full Resolution

F (Use only with first character code from Table 5-3.1 is G or H)
X Other (Describe in transmittal memo)

5-307C Coordination and Concurrence by Others
Secure recommendation or concurrence from affected functional units and other
agencies. Concurrence is evidence of agreement but does not constitute approval of a
change order. Process all change orders for approval as described in Section 5-311,
Change Order Approval.
Use district procedures for circulating change orders for concurrence. If contacted
parties are unresponsive, in the change order memorandum, state the facts of the
circulation process to ensure the proposed change is appropriate. Obtaining
concurrence should not cause delay to the project.
The following lists some of the Caltrans functional units and reasons for seeking their
concurrence.
5-307C (1) Project Development
The project engineer must concur with all design-related change orders, including plan
or specification changes and value engineering change proposals. You may obtain
design assistance from the project engineer on some of the more complex design
changes. Remember that the project engineer is the engineer of record, and unless the
project engineer is consulted, the resident engineer may not know why some design
decisions were made.
By coordinating with the project engineer on all design and specification change
orders, a continuous and informal constructability review process develops.
Cooperation between design and construction personnel will result in better plans and
specifications and fewer change orders. Cooperation will also reduce potential for
construction delays, limit impacts on the contractor, and lessen the potential for claims.
5-307C (2) Project Management
For change orders with the following conditions, obtain concurrence from the project
manager:
Potential for significant delays to the planned work.
Unanticipated large project cost increases, including those requiring a request for
additional funds.
Changes that may be considered outside the scope or intent of the planned work.
The project managers duties relating to change orders include the following:
Monitoring project costs.
Expediting decisions by functional units as needed, so there is no delay or other
adverse affect to the contractors activities.
5-307C (3) Structures
Where changes are to be made that involve structures, Structure Construction
determines the need for the change, the intent or content of the change order, and any
methods or restrictions in doing the work. The resident engineer is responsible for
administration, including processing the change order for approval. The structure
construction engineer and other personnel in the Division of Engineering Services may
need to concur. For procedures for obtaining concurrence for structure change orders,
refer to Section 7-0.0, Contract Change Orders, of the Bridge Construction Records

5-307C (4) Materials
The district materials engineer, as well as the project engineer, must concur with all
change orders that change or modify material specifications. Also, seek concurrence
from the district materials engineer for proposed changes in structural section, slope
rates, installation of subsurface drains, removal of unsuitable material, erosion control,
and repair of slides and slipouts.
5-307C (5) Traffic
Obtain concurrence from the appropriate traffic engineer in the district for change
orders affecting traffic management plans, hours of work, detours, signing, delineation,
highway lighting, traffic signals, illuminated signs, guardrail, barriers, or any other
traffic control device or facility. Clear any proposed special sign with the district traffic
design engineer.
5-307C (6) Maintenance
Obtain concurrence from the appropriate maintenance region manager or engineer for
changes affecting maintenance facilities, lands and buildings, and maintenance
activities. Concurrence from the appropriate maintenance manager or engineer is
required for all change orders affecting the use of maintenance funds.
5-307C (7) Right-of-Way
Obtain concurrence from the district right-of-way unit for any changes to right-of-way
contracts or agreements, right-of-way fencing or alignment, or gates.
Contact the district right-of-way unit for assistance with any required rights-of-entry
permits, permanent or temporary construction easements, or agreements.
The district utility coordinator must concur with all changes involving utility work. The
district utility coordinator must also make proposed revisions to Form RW 13-14,
Notice to Owner. For information about coordinating utility work, refer to Section
3-518C, Non-Highway Facilities, of this manual.
5-307C (8) Environmental
For environmental concerns and requirements, refer to Chapter 7, Environmental
Stewardship, of this manual. Contact the district environmental unit for assistance and
concurrence with any change affecting environmental considerations or requirements
or affecting obligations or commitments to other agencies.
The environmental document on any project is valid only for the work described by the
document and shown on the plans submitted for environmental approval. For any work
proposed in addition to or as a deviation from the approved work, consult with the
district environmental unit. Significant changes may require amended or additional
environmental approval or permits. The types of changes that may require additional
consultation and approval include the following:
New materials sites.
New haul or access roads.
Previously unidentified clearing and grubbing and hazardous materials.
Increases in earthwork.
Unforeseen utility relocation.

Diversion or extraction of water from a stream not covered by a Lake/Streambed
Alteration Agreement, more commonly known as a 1601 permit, with the
Department of Fish and Game.
Use of disposal sites not specified in the contract.
Revision to allowable work windows.
5-307C (9) Locally Funded Projects
For guidelines for processing change orders on locally funded projects, refer to Section
5-310, Locally Funded State Highway Projects, of this manual.
5-308 5-308 Federal Highway Administration Change Order Requirements
Federal Highway Change orders written for projects with federal funding participation must comply with
Administration the Code of Federal Regulations and FHWA contracting requirements.
Change Order
5-308A High-Profile Projects
Requirements
High-profile projects are subject to full FHWA oversight requirements. Refer to the
California Stewardship & Oversight Agreement - Approach to Identifying High
Profile Projects, available at:
http://www.dot.ca.gov/hq/oppd/stewardship/Process_for_Identifying_and_Selectin
g_High_Profile_Projects.pdf
Early and frequent communication with the FHWA transportation engineer is essential
to ensure full compliance with all federal requirements.
5-308A (1) Federal Highway Administration Approval Requirements Major
Change Orders
Major change orders require FHWA approval. The resident engineer must obtain
approval before proceeding with a proposed change. The resident engineer may obtain
same-day verbal approval by telephone upon furnishing the FHWA transportation
engineer with the information they request. Following the verbal approval, the FHWA
transportation engineer sends the written approval electronically (e-mail, fax, or both).
The district sends a copy of the change order and change order memorandum to the
FHWA transportation engineer upon approval of the change order.
Written and signed FHWA approval is required for any of the following major change
orders:
Change order that would increase the cost greater than $200,000.
Change order that would increase the cost of anticipated supplemental work item
listed in the detail estimate greater than $200,000.
Supplemental change order above the $200,000 threshold.
Change in specifications (with the exception of lane requirements and hours of
work charts).
Change in method of payment.
Change in material processing.
Change in type or quantity of materials furnished (with the exception of minor
building materials).
Example: The change order revises aggregate to an HMA material.

Change in proprietary or sole source materials for which specific or blanket
approval has not been previously given.
Waiver to the Buy America requirements, above the minimal amount that is
allowed in Section 3-606, Certificates of Compliance, of this manual and the
project special provisions.
Value engineering change proposal.
Experimental Work Plan.
Change to federal environmental requirements such as:
1. Environmental mitigation. Refer to the Mitigation Monitoring Reporting
Record, if available.
2. Permit conditions.
3. Agreements with federal resource agencies.
Example: Revising sound wallsheight, length, location, adding auxiliary lanes,
and disturbing a site on or eligible for National Register of Historic
Places
Introduction of new social, environmental, or economic issues that need to be
addressed under applicable federal laws
Change to, or requiring of, mandatory disposal or borrow sites, Public Interest
Finding and National Environmental Policy Act (NEPA) clearance may be
needed.
Expansion of project limits beyond the limits set in the environmental document.
Form of payment (not just a change order) to a contractor resulting from a claim,
board of review, exception to proposed final estimate, district director
determination or arbitration.
Supplemental change orders to any of the above.
Change resulting in a time adjustment of 20 or more working days. Additionally, if
time is increased by more than 20 percent of the original working days, then that
change and each subsequent change order that increases time.
5-308A (2) Federal Highway Administration Approval RequirementsMinor
Change Orders
Change orders other than those listed above are considered minor. Although approval
may be granted retroactively, minor change orders require written and signed FHWA
approval. These approvals occur during FHWA construction reviews, or occur with
final approval of the project by FHWA.
5-308A (3) FHWA Denial
When FHWA declines participation in a change order, the district can proceed with the
change order by justifying it in the change order memorandum. The project manager
must concur with the change in funding.
5-308B Assigned Projects
Projects not meeting criteria for high-profile projects are considered projects from
FHWA. Caltrans is delegated the authority to administer the contract. Resident

engineers are not required to coordinate with the FHWA transportation engineer except
for those instances described in the California Stewardship & Oversight Agreement -
Approach to Identifying High Profile Projects. However, discussions for technical
guidance are encouraged. For the assigned projects, FHWA will verify compliance
with federal regulations with annual program and process reviews.
5-308B (1) Federal Highway Administration Involvement RequirementsMajor
Change Orders
There are several events that may make FHWA involvement necessary. The FHWA
transportation engineer is contacted sufficiently in advance of the project event deemed
necessary to allow their participation. In all other cases, contact the FHWA
transportation engineer as soon as practical to ensure federal concurrence and
participation.
FHWA involvement is required for any of the following major change orders:
Changes to federal environmental requirements:
1. Environmental Mitigation. Refer to the Mitigation Monitoring Reporting
Record, if available.
2. Permit conditions.
3. Agreements with federal resource agencies.
Example: Revising sound walls height, length, location, adding auxiliary lanes,
and disturbing a site on or eligible for the National Register of Historic
Places.
Introduction of new social, environmental or economic issues that need to be
addressed under applicable federal laws.
Changes for mandatory disposal or borrow sitesPublic Interest Finding and
NEPA clearance may be needed.
Waivers to Buy America requirements, above the minimal amount that is allowed
in Section 3-606, Certificates of Compliance, of this manual and the project
special provisions.
Expansion of project limits beyond the limits set in the environmental document.
5-308C All Federally Funded Projects
For each case listed in Section 5-308A (1) and 5-308B (1) of this manual, the resident
engineer contacts the FHWA transportation engineer and provides documents as
necessary. In addition to the major change orders listed above for high-profile projects
and assigned projects, there are several other issues or events that may invoke the
involvement of the FHWA. Refer to Section 5-007 Federal Highway Administration
Involvement in Contract Administration, of this manual.
For high-profile projects, the FHWA transportation engineer should indicate
concurrence on Form CEM-4903, Change Order Memorandum by signature in the
appropriate box in the Concurred By section of the form or by providing signature on
an FHWA concurrence form. In the Federal Participation section, check the
appropriate box and provide an explanation when required:
Participating: Full federal participation.

Participating in Part: Partial federal participation; provide explanation for this
decision.
None: No federal participation provided; not a federally funded project.
Non-participating (Maintenance): Project Funded by Caltrans Maintenance; no
federal participation provided.
Non-Participating: FHWA will not participate in the change order; provide
explanation for this decision.
5-309 Federal Segregation Determination on Change Orders 5-309
The resident engineer is responsible for managing project construction costs within the Federal
current construction allotment. Funds for a project may come from more than one Segregation
source, such as from state highway funds, local funds, and federal funds. For a change Determination on
order, the resident engineer must identify and segregate the funds required from each Change Orders
source. Show the proper distribution of change order funding on Form CEM-4903,
Change Order Memorandum. For more information on project funding, refer to
Section 5-2, Funds, of this manual.
At the beginning of the project, the resident engineer should receive the federal detail
estimate with an estimate for each category of funds and the applicable limits of federal
eligibility. If you do not receive this detail estimate, contact the project manager. In
some cases the FHWA transportation engineer has a color-coded plan title sheet for
more complex multiple-funded projects.
Funding sources for a change order may be different from the funding sources
indicated in the detail estimate for a particular project. If the change order funding
percentages are the same as the detail estimate, simply mark the CCO Funded Per
Contract in the Federal Segregation section on Form CEM-4903.
A change order may not be eligible for participation from one or more of the funding
sources, depending upon the location and the work to be performed. In this case, mark
the CCO Funded as Follows box and indicate the percentage of each funding
sources participation in the appropriate box. If this box is left blank or is incorrect,
Caltrans may lose federal funds that should have been secured on this project.
For example, a change order written for a project funded from both federal and other
sources may not be eligible for federal participation. In this case, the cost of the change
order must be distributed between the other funding sources. In the box in the lower
right-hand corner of Form CEM-4903, show the percentage of participation by each
funding source.
5-310 Locally Funded State Highway Projects 5-310
Generally, participation will be based on Caltrans original agreement with the Locally-Funded
contributing agency. State Highway
Before making changes that affect work for contributing agencies, ensure that such
Projects
changes are within the scope of the agreement. If not, take action (usually through the
district local projects unit) to have the agreement modified.
In the margin of the headquarters and districts copies of change orders covering the
work, obtain the signature of an authorized representative of the affected agency.
Include in the change order memorandum sufficient information to identify the portion
of the work that is applicable to the contributing agency. As soon as the change order

and memorandum are approved, send the Division of Accounting Services, Accounts
Receivable and Program Accounting sections a copy.
5-311 5-311 Change Order Approval Process
Change Order Caltrans must approve a change order, and whenever possible, the contractor should
Approval Process sign it. When the contractor signs a change order, it is referred to as executed. If the
contractor refuses to sign the change order, then Caltrans may, in some cases, approve
it unilaterally.
So that the contractor will execute the change order, make every effort possible to
reach agreement. However, do not delay the work by waiting for the contractor to
respond. If necessary, submit the change order for unilateral approval. Receipt by the
contractor of an approved change order establishes a time for protest.
When the contractor does not agree with the method or amount of the payment and
time adjustment, the resident engineer processes the change order using extra work at
force account.
If the contractor disagrees with extra work at unit price, extra work at lump sum, or
increase in contract items with a payment adjustment, the resident engineer writes the
change order using extra work at force account. If the contractor declines to accept the
change order within 7 working days, draft and process it unilaterally.
If the contractor agrees with the extra work unit of measurement and method of
payment but disagrees with the affect on time proposed by the resident engineer,
execute the change order using deferred time. Close out deferred time change orders
within 21 working days of the completed change order work.
If the change order is not protested within the specified time, it is considered an
executed change order. Refer to Section 5-1.06 [4-1.03A], Protests, of the Standard
Specifications and Section 3-403, Changes and Extra Work, of this manual.
You may routinely submit for approval without the contractors signature any
supplemental change orders written solely to increase force account funds. However,
should the extent or type of work covered in the supplemental change order differ from
that included in the original, consider writing a separate change order instead of a
supplemental change order. If it is decided to write a supplemental change order,
submit it to the contractor for acceptance.
On sensitive or complex change orders, districts are encouraged to submit a draft copy
to the Division of Construction for review and recommendation before preparing the
final version of the change order. In following this practice, however, discuss the work
with the contractor in the usual manner.
Before issuance of the proposed final estimate, resolving entitlement for potential
claims is delegated according to Table 5-4.2, Delegation of Authority, of this
manual.
5-311A Division of Construction Approval
District construction personnel may approve all change orders, except those requiring
Division of Construction approval. Division of Construction approval is required on
the following types of change orders:

Any change order that has a total absolute value exceeding $200,000.
Example:
A change order containing a $50,000 decrease of items, a $20,000 increase of
items, and $150,000 of extra work at force account would require Division of
Construction approval:
(|-$50,000| +|$20,000| + |$150,000| = |$220,000|).
Any change order that increases the cost of anticipated supplemental work listed in
the detail estimate by more than $200,000.
Once any of the above cost thresholds are reached, each associated supplemental
change order will also require Division of Construction approval.
Any change in the following:
1. Method of payment,
2. Method of materials processing,
3. Type or quality of materials to be furnished, excluding those for minor
changes to building facilities contracts,
4. Proprietary material for which specific or blanket approval has not been
previously received, or
5. Specifications, except as follows:
a. Lane Requirements and Hours of Work charts,
b. Addition of approved standard special provisions, or
c. Any editing of an approved standard special provision, in accordance with
its instructions.
Any change resulting in a time adjustment of more than 19 working days or 10
percent of original working days, whichever is greater.
Any change order that compensates the contractor for field or home office
overhead costs as the result of a final audit report issued by Division of Audits and
Investigations.
Before the contractor is allowed to commence work included in a non-delegated
change order, the Division of Construction must approve the change order or grant
prior authorization to proceed with the associated work.
5-311A (1) Change Order Determinations
The Division of Construction sometimes receives requests from the districts to review
and approve change orders that contradict policy, delegation, and change order
approval criteria. These requests are sometimes received after the district has approved
the change order and the contractor has performed the work or the contract has been
accepted. In each situation, the Division of Construction change order engineer issues a
review determination. Additional criteria include:
1. Change order work started without the Division of Constructions
authorization to proceed.
2. Change order not initiated by the district before the work has been completed.
3. Deferred time change orders not processed in a timely manner.

The Division of Construction will track these change orders and report performance to
the Division of Construction chief. This information may be used to re-evaluate the
appropriate level of change order delegation of authority to the district.
These change orders are divided into two categories: ratify post performance and
unauthorized direction, and are shown in Table 5-3.5, Division of Constructions
Change Order Direction. This table explains scope and subsequent actions for change
orders that require Division of Construction approval. This direction is communicated
in a written Division of Construction telecopy addressed to the district change order
desk.

Table 5-3.5. Division of Constructions Change Order Direction
Direction Direction Scope District Action

To Proceed Division of Construction authorization to Authorize the change order work in writing in
with the Work proceed required for change order work accordance with Standard Specifications Section
authorized prior to full execution of the 4-1.05, Changes and Extra Work. Prepare
change order. This written work change order and obtain Division of Construction
authorization by the engineer is to be issue and approve direction within 7 working
used only in an extenuating circumstance days. Execute the change order as soon as
exception basis. The authorization is possible; no later than 21 working days.
complete and satisfactorily prepared by
the district.
To Issue and Division of Construction approval granted Approve the change order in accordance with
Approve on the basis of a satisfactorily prepared Division of Construction direction including any
change order and change order required minor revisions or conditions
transmittal memorandum. designated by the Division of Construction
telecopy.
To Revise - Changes are required before Division of Revise the change order in accordance with the
Not Construction approval will be granted. Division of Construction telecopy. Submit for
Authorized reconsideration or elevate the issue for
resolution to the district construction division
chief and the assistant Division of Construction
chief.
To Process in Division of Construction approval for this Approve the change order in the district.
the District change order is not required. Authority to
approve the change order has been
delegated to the district.
Ratify Post District administration of the change order Review internal change order procedures and
Performance committed the Division of Construction to implement measures to assure future
a course of action without required transgressions are prevented.
approvals.
Request for Additional information is required for the Collect the requested information and transmit it
Information Division of Construction to evaluate the to the Division of Construction. The district may
change order. elect to revise the change order and resubmit it
when the additional information is provided.
Void Changes that are authorized or executed Void the change order.
by the district outside their delegated
authority and that are fatally flawed;
including provisions that violate state law
or federal law.
Change Division of Construction originated and Process the change order by entering it in the
Order approved a change order without district contract administration system and flagging the
Approved in involvement. Often used to expedite change order for payment.
Headquarters arbitration or other payments to the
contractor.
Unauthorized The district exercised authority outside of Review internal change order procedures and
policy or delegation. The change order implement measures to ensure future
contradicts policy, delegation, or approval transgressions are prevented
criteria. The contractor may have
performed the work without authorization
to proceed. The district may not have
initiated the change order before the work
was completed.
Other Category used for all situations that Division of Construction approval is not granted.
cannot be classified above. District complies with instructions provided by
the Division of Construction telecopy.

5-311B District Approval Limitations
Districts may not delegate below the level of construction manager the Approval
Recommended signatures on Division of Construction-approved change orders.
Only a district construction deputy director may approve change orders for value
engineering change proposals. Approval authority is determined by considering each
element of the value engineering change proposal in the context of the delegation
criteria listed above. Project engineer concurrence for all revisions of standard or
project specific design elements is required prior to approving change orders to
implement all value engineering change proposals.
District approval of the following types of change orders may not be delegated below
the level of a region construction division chief or district construction deputy director:
Project limit modifications.
Acceleration of the contract work through a decrease of contract time.
Order of work revisions.
Revision of the contract staging requirements.
District approval of the following types of change orders may not be delegated below
the level of construction manager:
Those that include deferred time.
Lane Requirements and Hours of Work charts.
Addition of approved standard special provisions.
Any editing of an approved standard special provision, in accordance with its
instructions.
District approval of other types of change orders may not be delegated below the level
of senior-level resident engineer or construction engineer. Within this delegation,
senior-level resident engineers or construction engineers may be given written
authority to approve change orders that increase the contract cost or approved
supplemental work by up to $50,000.
5-311C Division of Construction Prior Authorization
A prior authorization to proceed with change order work should be issued only on an
exception basis due to extenuating circumstances.
Whoever holds delegated authority as stated in this section must recommend approval
for all change orders requiring prior authorization to proceed.
In addition to writing and dating the prior authorization to proceed, the engineer must
include the following information:
Change order number reserved for the work.
Estimated value of the work.
Proposed method of payment.
Estimated duration of the work.
Estimate contract time adjustment needed to perform the work.
Estimated time required to execute the associated change order.

Document in the resident engineers daily report the date, time, and name of the
division change order engineer who provided advance approval to issue the prior
authorization to proceed. The change order which received the prior authorization to
proceed should be submitted to the contractor for approval within 7 working days of
the date of the prior authorization to proceed. If the contractor does not execute the
change order within an additional 7 working days, a unilateral change order must be
processed within 21 working days of the prior authorization to proceed.
5-311D District Prior Authorization to Proceed
The district should have procedures for prior authorization to proceed actions in
accordance with this section. The district procedures should clearly designate the roles
and responsibilities of the staff involved in preparing and approving change orders.
5-312 Substantiation 5-312
Each change order must be carefully considered, analyzed, and documented in the Substantiation
project records. For things to consider when preparing to write a change order, refer to
Section 5-305, Preliminary Considerations, of this manual.
5-312A Engineering Analysis
Conduct an engineering analysis for each change to the contract plans and
specifications. Consider the impact of each change on the entire project and related
facilities.
Change orders must meet all engineering and design standards unless a design
exception is approved by the Division of Design. The project engineer who stamped
the project plans is the engineer of record for the project and must concur with all
engineered changes.
5-312B Contractual Analysis
Determine the contractual basis and authority to issue each change order. Include this
information in the transmittal memorandum and change order. Use Figure 5-3.1,
Change Order Decision-Making Concept Flowchart, at the end of this section, to
assist you in this determination.
5-312C Cost Analysis
Prepare an independent force account or bid item cost analysis for comparison with the
contractors estimated cost. Accept the contractors estimated cost only if it is justified
by this analysis. Do not include costs for disputed work. Include subcontractor
markups in the cost estimate when a subcontractor will be performing extra work paid
for by unit price, payment adjustment, or lump sum. For subcontractor markup
guidelines, refer to Section 3-9, Payment, of this manual.
File in the project records any calculations made to determine extra work at unit price,
payment adjustment, or lump sum. These calculations substantiate and justify the
amount paid for extra work and are therefore subject to audit. Either show these
calculations in the change order memorandum or include a statement that the
calculations are on file in the project records.
5-312D Time Impact Analysis
A time impact analysis (TIA) illustrates the impact of each change on the scheduled
completion date or an internal milestone. The contractor submits a written TIA to the
resident engineer with each time adjustment request. Review the TIA for logic and

duration impacts to determine the time adjustment or construct an independent TIA to
determine the time adjustment. Refer to Section 8-1.02D (8), Time Impact Analysis,
of the Standard Specifications for more information regarding TIA submittals. For an
example of a TIA reference on a Change Order Memorandum, refer to Example 5-3.8,
Compensation for Critical Delay (Payment Adjustment).
5-313 5-313 Executed Change Order Copy Distribution
Executed Change For all contracts, one copy of each executed authorization to proceed, change order,
Order Copy and corresponding memorandum is electronically scanned and transmitted to the
Distribution Division of Construction file server.
Combine each executed authorization to proceed or change order and change order
memorandum for each contract change, supplemental change, and authorization to
proceed into a single Adobe Acrobat file using the following filename convention:
Filename Convention:
Contract No. CCO No. or ATP No. Supplemental No. Approval Date
Examples:
04-012024 ATP 002 S00 11-20-06.pdf
04-012024 CCO 002 S02 11-27-06.pdf
Transmit the file directly to the Division of Construction file server using the
centralized access provided to each district. Transmit approved change orders at least
once a month.
Send an email notification to the change order engineer upon transfer of any
information to the Division of Construction file server.
A desk guide to assist districts with this process is available on Division of
Constructions intranet website:
http://pd.dot.ca.gov/construction/contractmanagement/cmpage.htm.
For high-profile projects, districts are delegated authority to send one copy of each
approved change order and corresponding change order memorandum directly to the
FHWA field operations engineer assigned to the district or program administering the
contract. The method of document transfer to the FHWA field operations engineer will
be negotiated between the district and the FHWA field operations engineer on a case
by case basis.
The FHWA field operations engineer:
May issue a determination of funding ineligibility or modify the level of funding
participation for any reviewed change order.
Will communicate all funding eligibility findings by stamping the change order
and returning it to the district.
Notify districts of all changes in federal participation prior to issuance of a final
voucher.
Districts are responsible for updating the Contract Administration System for federal
participation information on change orders.

5-314 Value Engineering Change Proposals 5-314
For procedures for a value engineering change proposal, refer to Section 3-5, Control Value Engineering
of Work, of this manual. Change Proposals
Prepare value engineering change proposal change orders as a complete package, with
no deferred time or deferred cost considerations.
Give careful attention to the clauses in the change order covering payment. Value
engineering change proposal change orders may involve any combination of bid item
work, payment adjustments, and extra work at agreed price.
Prices for bid items might not represent the costs of doing either the planned or
changed work as computed on a force account basis. In this case, in addition to
increases and decreases at contract prices, include payment adjustments to reflect the
actual force account cost of increases and decreases in bid item quantities. Also, in the
analysis of cost savings, you may have to consider adjustments based on a 25 percent
overrun or underrun.
Value engineering change proposal change orders must include a payment adjustment
that returns either one half or 60 percent of the savings to the contractor. Determine the
adjustment in the following manner:
Determine the total decrease in construction cost. This decrease will be the sum of
increases and decreases in bid items at bid item unit prices, payment adjustments
including work-character change adjustments, and extra work at agreed price.
Provide for a payment adjustment to pay the contractor either one half or 60
percent of the total decrease as allowed by the specifications.
5-315 Examples of Change Orders 5-315
The following are examples of change orders and change order memorandums. Use Examples of Change
these cookbook examples and standard clauses cautiously. The examples are for Orders
guidance and general format only. For instance, the examples contain assumptions that
may or may not fit actual project situations. Also, the Standard Specifications and
special provisions in use at the time the examples were written are the basis for the
example change orders. Do not assume that your project uses the same specifications.
Base change orders on specifications included in the project.
The following list provides brief descriptions of the example change orders and
methods of payment included in this section:
Example 5-3.1 Flagging and Traffic Control (Extra Work at Force Account).
Example 5-3.2 Flagging Only (Extra Work at Agreed Unit Price).
Example 5-3.3 Resolution of an Initial Notice of Potential Claim (Payment
Adjustment).
Example 5-3.4 Compensation of Interest for Late Payment of Change Order Bills
(Payment Adjustment).
Example 5-3.5A Modify Lump Sum Bid Item with a Specified Cost Break-Down(
Payment Adjustment and Clause for No Adjustment Due to
Eliminated Work).
Example 5-3.5B Modify Lump Sum Bid Item Without a Specified Cost Break-
Down.

Example 5-3.6 Differing Site Condition (Payment Adjustment at Force Account).
Example 5-3.7 Additional Work. Change Material Specifications. Increase in Bid
Item Quantities (Work-Character Change Payment Adjustment and
Extra Work at Force Account).
Example 5-3.8 Compensation for Critical Delay (Payment Adjustment).
Example 5-3.9 Value Engineering Change Proposal (Decrease Bid Item Quantity
and Payment Adjustment).
Example 5-3.10A Additional Work. Increase Bid Item Quantities (Clause for Final
Pay Items and Extra Work at Agreed Price).
Example 5-3.10B Item Increase/Decrease and Extra Work.
Example 5-3.11A Payment Adjustment for Price Index Fluctuations (Before Paving).
Example 5-3.11B Payment Adjustment for Price Index Fluctuations (After Paving).
Example 5-3.12 Claim Entitlement.
Example 5-3.13 Resolution of Deferred Time Adjustment.
Example 5-3.14 Item Adjustment.

Example 5-3.1. Flagging and Traffic Control (Extra Work at Force Account) (1 of 3)



Example 5-3.2. Flagging Only (Extra Work at Agreed Unit Price) (1 of 3)



Example 5-3.3. Resolution of an Initial Notice of Potential Claim (Payment Adjustment) (1 of 2)

Example 5-3.3. Resolution of an Initial Notice of Potential Claim (Payment Adjustment) (2 of 2)

Example 5-3.4. Compensation of Interest for Late Payment of Change Order Bills (Payment Adjustment) (1 of 2)

Example 5-3.4. Compensation of Interest for Late Payment of Change Order Bills (Payment Adjustment) (2 of 2)

Example 5-3.5A. Modify Lump Sum Bid Item with a Specified Cost Break-Down (Payment Adjustment
and Clause for no Adjustment due to Eliminated Work) (1 of 4)




Example 5-3.5B. Modify Lump Sum Bid Item Without a Specified Cost Break-Down (1 of 3)



Example 5-3.6. Differing Site Condition (Payment Adjustment at Force Account) (1 of 2)

Example 5-3.6. Differing Site Condition (Payment Adjustment at Force Account) (2 of 2)

Example 5-3.7. Additional Work. Change Material Specifications. Increase in Bid Item Quantities (Work-
Character Change Payment Adjustment and Extra Work at Force Account) (1 of 4)




Example 5-3.8. Compensation for Critical Delay (Payment Adjustment) (1 of 4)




Example 5-3.9. Value Engineering Change Proposal (Decrease Bid Item Quantity and Payment
Adjustment) (1 of 4)




Example 5-3.10A. Additional Work. Increase Bid Item Quantities (Clause for Final Pay Items and Extra
Work at Agreed Price) (1 of 3)



Example 5-3.10B. Item Increase/Decrease and Extra Work (1 of 3)



Example 5-3.11A. Payment Adjustment for Price Index Fluctuations (Before Paving) (1 of 3)



Example 5-3.11B. Payment Adjustment for Price Index Fluctuations (After Paving) (1 of 3)



Example 5-3.12. Claim Entitlement (1 of 3)



Example 5-3.13. Resolution of Deferred Time Adjustment (1 of 2)

Example 5-3.13. Resolution of Deferred Time Adjustment (2 of 2)

Example 5-3.14. Item Adjustment (1 of 3)



Figure 5-3.1. Change Order Decision-Making Concept Flowchart

Section 4 Disputes
5-401 General
5-402 Claims Avoidance
5-403 Requests for Information, Potential Claim Records, and Claims
5-403A Requests for Information
5-403B Potential Claim Records
5-403C Documentation
5-403D Claims
5-404 Alternative Dispute Resolution
5-405 Claims Resolution Process
5-405A Issue Proposed Final EstimateTarget Day 40
5-405B Proposed Final Estimate ReturnedTarget Day 70
5-405C Preliminary Construction Claim Findings CompletedTarget Day 110
5-405D District Construction Review of Preliminary Construction Claim Findings Completed
Target Day 130
5-405E Board of Review MeetingTarget Day 160
5-405E (1) Board of Review Secretary
5-405E (2) Board of Review Member Selection
5-405E (3) Board of Review Operation
5-405E (4) Board of Review Settlements
5-405F Board of Review Report CompletedTarget Day 200
5-405G Construction Claim Findings and Draft District Director Determination of Claims
CompletedTarget Day 220
5-405H District Director Determination of ClaimsTarget Day 230
5-405I Minor B Contracts
5-405I (1) Contract AcceptedTarget Day 0
5-405I (2) Claim and Invoice SubmissionTarget Day 30
5-405I (3) Additional Information ReceivedTarget Day 45
5-405I (4) Preliminary Determination of ClaimsTarget Day 50
5-405I (5) Presentation of Unresolved ClaimsTarget Day 80
5-405I (6) Final Determination of ClaimsTarget Day 85
5-405I (7) California Victims Compensation and Government Claims Board, and Superior Court
5-406 Claim Settlements
5-406A Claim Settlement Process
5-406A (1) Claim Settlement Request Memorandum
5-406A (2) Claim Settlement Agreement
5-406B Contract Time Settlements
5-407 Claim Payments

Disputes 5-4.i
5-408 Overhead Claims
5-408A Home Office Overhead
5-408B Field Office Overhead
5-408C Contractor Submitted Audits
5-409 Audits
5-409A Audit Request Procedure
5-409B Construction Response to Audit Reports
5-410 Arbitration
5-411 Preliminary Construction Claim Findings and Category 62 Preparation
and Guidelines
5-411A Preliminary Construction Claim Findings Format
5-412 Board of Review Report Preparation and Guidelines
5-412A Format
5-412A (1) Introduction
5-412A (2) Items That Are Common to All Claims
5-412A (3) Summary of Settled Claims
5-412A (4) Individual Claim Information
5-412A (5) General Description of the Claim
5-412A (6) Contractors Position
5-412A (7) Districts Position
5-412A (8) Comments of the Board
5-412A (9) Findings of the Board
5-413 Construction Claim Findings Preparation and Guidelines
5-413A Format
5-413A (1) Title Page
5-413A (2) Table of Contents
5-413A (3) Project Chronology
5-413A (4) General Information
5-413A (5) Summary of Claims
5-413A (6) Claim Categories
5-413A (7) Claim Number, Title, and Claim Amount
5-413A (8) Description of the Claim
5-413A (11) Findings and Recommendations
5-413A (12) Tabular Reference to Supporting Information
5-413A (13) Summary of Resolved Claims in Tabular Format for All Claims
5-413A (14) Deputy District Director of Construction Signature Block
5-413A (15) Exhibits
5-413B Helpful Hints
5-413C Things to Avoid
5-414 District Director Determination of Claims Preparation and Guidelines

5-4.ii Disputes
5-415 Copy Distribution of Claim Documents
Example 5-4.1 Sample Review of Claims by Deputy District Director of Construction Notification
Letter
Example 5-4.2 Sample Board of Review Notification Letter
Example 5-4.3 Sample District Director Determination of ClaimsBoard of Review Held, Not
Attended by Contractor
Example 5-4.4 Sample District Director Determination of ClaimsMajor and Minor A Contracts
Example 5-4.5 Sample Claim Settlement Request Memorandum
Example 5-4.6 Sample Audit Request Memorandum
Example 5-4.7 Sample Summary of Delay-Related Claims
Example 5-4.8 Sample General Contract Information and Contract Chronology
Example 5-4.9 Sample Construction Claim Findings
Example 5-4.10 Sample Claim Checklist
Table 5-4.1 Required Post Acceptance Event Codes and Dates
Table 5-4.2 Delegation of Authority

Disputes 5-4.iii
Section 4 Disputes Disputes
5-401 General 5-401

The objective of this section is to provide guidance to the contract administrative team, General
including the resident engineer, the construction engineer, and other Caltrans personnel
to ensure that contract disputes, protests, requests for information, potential claims, and
claims are addressed and resolved timely and consistently.
A contract dispute is a disagreement between the contractor and Caltrans over the need
to revise the contract. Contractors initially submit disputes as requests for information
to the resident engineer. Begin the process of addressing and resolving any dispute
upon receiving the contractors request for information. Resolving a dispute involves
ascertaining the relevant facts, determining responsibilities, and compensating the
contractor if merit exists, or refusing compensation with clear reasons when no merit
exists.
Disputes stem from disagreements in the interpretation of plans, specifications, bid
proposals, material handouts, and other contract documents. The resident engineer
acknowledges each dispute upon receipt. Try to resolve disputes as early as possible, in
accordance with the contract, and at the lowest responsible level.
The resident engineer, with the support of the construction engineer, other Caltrans
resources, and district management, is responsible for administering the dispute
resolution process. Consult with additional subject matter experts to aid in the
evaluation of a dispute.
Arbitration is available 240 days after contract acceptance or when authorized by the
district directors final determination of claims letter. The arbitration process is initiated
by filing a complaint with the Office of Administrative Hearing within 90 days from
receipt of the district directors final determination of claims. The Caltrans Legal
Division is the lead for defending Caltrans in arbitration. The districts and the Division
of Construction support the Legal Divisions arbitration defense.
Provisions for contract claims are incorporated into minor B contracts based on the
California Government Code. Resident engineers must follow Section 5-405I, Minor
B Contracts, of this manual, when resolving disputes on minor B contracts.
To document contract disputes and claim resolution activities on your timesheet, use
Activity Code 1290 for federal aid projects, or Activity Code 2290 for non-federal aid
projects. For more information on these activity codes, refer to Chapter 6, Activity
Codes, of the Coding Manual.
Dispute resolution begins by gathering facts and determining the responsibilities of the
parties involved to achieve a thorough understanding of the dispute. Contractors must
provide complete information in support of the dispute or risk losing the right to pursue
the dispute as a claim and in arbitration.
After the contractor provides the necessary information, analyze the dispute and
provide a timely response in accordance with contract requirements and Caltrans

Disputes 5-4.1
policies and procedures. Take appropriate actions, within the scope of the contract and
within your authority, to resolve the dispute. If you lack the authority to resolve the
dispute, discuss the issue with the construction engineer, construction manager, and the
Division of Construction field coordinator. Promptly issue and obtain approval of a
change order if the dispute has merit. Advise the contractor in writing, explaining in
detail, reasons for the lack of merit if the contractors dispute has no merit.
5-402 5-402 Claims Avoidance
Claims Avoidance Claims avoidance is the most prudent step a resident engineer can take to minimize the
number and size of claims. Claims are minimized or avoided if the resident engineer
appropriately engages with the contractor and properly administers the contract. Partner
with the contractor, within the confines of the contract, and maintain a respectful
relationship through completion of the project. Be knowledgeable about the contract
documents, policies, and procedures, including federal and state laws applicable to the
proper administration of the contract. Knowing the contractual responsibilities will help
in the timely resolution of the contractors dispute.
Take the following suggested actions to minimize claims:
Partner with the contractor.
Investigate the situation.
Consider the facts.
Define the critical issues.
Review the appropriate contract specifications.
Communicate your position timely.
Work within the contractual constraints.
Document resolution and elevate, if appropriate.
5-403 5-403 Requests for Information, Potential Claim Records, and
Requests for Claims
Information, Contractual dispute provisions allow the contractor to claim additional compensation
Potential Claim or be denied compensation based on merit. Section 5-1.42, Requests for Information,
Records, and Claims and Section 5-1.43 [9-1.04], Potential Claims and Dispute Resolution, of the
Standard Specifications include provisions for requests for information, potential
claims, and claims.
During the course of the project, and up to receiving the proposed final estimate, the
contractor must submit a contract dispute as a request for information or potential claim
to the resident engineer. Disputes become claims when the contractor lists them as
exceptions to the proposed final estimate.
After receiving a request for information, initial potential claim record, supplemental
potential claim record, or a full and final potential claim record from the contractor,
note on the document the date and time of receipt and the name of the person who
received it.
For additional guidance refer to Section 3-521, Requests for Information and Potential
Claim Records, of this manual.

5-4.2 Disputes
5-403A Requests for Information
Section 5-1.42, Requests for Information, of the Standard Specifications requires the
contractor to submit a request for information upon recognition of any event or
question of fact arising under the contract. Resident engineers must respond to requests
for information within the time specified in the contract.
You must make every effort to respond fully to the contractor with the information
being requested. If you are unclear about what information is being requested, ask the
contractor to clarify the request. If you need more information, notify the contractor
that additional information is being sought and provide the estimated date for receiving
the additional information and completing the response. If you are unable to provide
the information being requested, respond with the reasons why the information cannot
be provided.
5-403B Potential Claim Records
Section 5-1.43 [9-1.04], Potential Claims and Dispute Resolution, of the Standard
Specifications requires the contractor to minimize and mitigate the impacts of
potentially claimed work or events. It also requires that the contractor comply with all
the provisions of this section. Failure to do so is a waiver of the potential claim and a
waiver of the right to a corresponding claim for the disputed work in the administrative
claims process and would act as a bar to arbitration.
A unique identification number must be assigned to each potential claim and the nature
and circumstances of the potential claim must not change throughout the submittal of
all three potential claim record components:
Initial Potential Claim Record
Supplemental Potential Claim Record
Full and Final Potential Claim Record
5-403C Documentation
Category 62, Disputes, of the project records must contain copies of all documents
related to every dispute on the project. This information provides the basis for
preparing the preliminary construction claim findings. Follow the procedures outlined
in Section 5-102, Organization of Project Documents, of this manual to provide a
good basis for documenting claims. Refer to Section 3-521D, Documentation
Guidelines for Disputes, of this manual for more information.
5-403D Claims
The contractor submits a written claim for an unresolved dispute by listing it as an
exception to the proposed final estimate. In addition, administrative and overhead
claims may occur as exceptions to the proposed final estimate as described in Section
9-1.17D [9-1.07B], Final Payment and Claims, of the Standard Specifications.
All claims included in the exceptions to the proposed final estimate should be
considered in the review of claims by the resident engineer for resolution before the
final estimate.
If an exception to the proposed final estimate was not previously submitted in
accordance with Section 5-1.43 [9-1.04], it is considered a new claim. This does not
apply to exceptions for administrative or overhead claims.

Disputes 5-4.3
Analyze the merit of new claims and document the claims as outlined in Section
3-521D, Documentation Guidelines for Disputes, of this manual. Include the analysis
in the preliminary construction claims findings.
5-404 5-404 Alternative Dispute Resolution
Alternative Dispute The purpose of the alternative dispute resolution process is to provide a means for
Resolution Caltrans and the contractor to resolve project disputes at the project level with the help
of a neutral party who has no financial interest in the outcome of the dispute. The
alternative dispute resolution process is not allowed for disputes solely between the
contractor and a subcontractor or for overhead type disputes.
The contractor is required to use alternative dispute resolution in order to pursue a
claim. Dispute resolution ladder (DRL), dispute resolution advisor (DRA), dispute
resolution board (DRB), and partnering are different types of alternative dispute
resolution processes available. Refer to Section 3-522, Alternative Dispute Resolution
Processes, of this manual for more information.
5-405 5-405 Claims Resolution Process
Claims Resolution The following established claims processing milestones ensure that the claims process
Process is completed within the statutory requirement of 240 days after contract acceptance.
The number of days referenced below refers to the number of calendar days elapsed
after contract acceptance. For each contract accepted, the district must record actual
milestone dates and monitor the progress of the claims resolution process.
Districts are responsible for populating and updating the Division of Constructions
claims database. This includes ensuring that specific required milestones, events, and
dates, are current and correct. Refer to Table 5-4.1, Required Post Acceptance Event
Codes and Dates. Project claims information should be maintained and updated by
the 15th of each month to ensure reliability of the data.
5-405A Issue Proposed Final EstimateTarget Day 40
The district must issue a proposed final estimate within 40 days after contract
acceptance. Issue the proposed final estimate with the understanding that the estimate
represents the final payment to the contractor.
Issuance of the proposed final estimate should not be postponed while waiting for
additional information from the contractor. Ensure that all quantity calculations and
adjustments are completed in time to process the proposed final estimate within the
target date. Send the proposed final estimate by certified mail with return receipt
requested.
5-405B Proposed Final Estimate ReturnedTarget Day 70
The contractor has 30 days after receiving the proposed final estimate to review, sign,
and respond either with or without a written statement of claims. Document the receipt
of the contractors response by postal receipt or written receipt if hand delivered.
No further action is required other than processing the final estimate if the contractor
returns the proposed final estimate indicating acceptance, or the contractor does not
return the proposed final estimate within the required 30-day period. If claims are
submitted after the 30-day period, the entire submittal must be returned to the
contractor with a cover letter stating that Caltrans will not address the claims because

5-4.4 Disputes
they were not submitted in accordance with the contract requirements, and the final
estimate must be processed.
If the contractor returns the proposed final estimate with a written statement of claims
within the 30-day period, district construction must send a copy of the contractors
claim package to the resident engineer, construction engineer, and district construction
claims engineer.
5-405C Preliminary Construction Claim Findings CompletedTarget Day 110
By target day 110, the resident engineer completes the preliminary construction claim
findings, which includes the compilation of the existing information and documents in
Category 62 of the contract records. The construction engineer sends the preliminary
construction claim findings to the deputy district director of construction. Refer to
Section 5-411, Preliminary Construction Claim Findings and Category 62,
Preparation and Guidelines, of this manual for detailed format, content, and
suggestions in preparing this document.
Review the contractors statement of claims for conformance with procedural
requirements. This review ensures that each claim, excluding overhead claims or
administrative disputes that occur after issuance of the proposed final estimate, is a
continuation of a previously submitted potential claim. If the contractor fails to comply
with the contract requirements for submitting the statement of claims, document the
failure in the preliminary construction claim findings for each claim. Failures identified
within the potential claim process should be documented in detail in Category 62 of the
project records, and should only be referenced in the preliminary construction claim
findings. Contractor failures identified in the claim process must be fully detailed
within the preliminary construction claim findings and may include, but are not limited
to the following:
Failure to provide a statement of claims within the 30-day time period.
Failure to provide the identification number corresponding to the supporting full
and final documentation of the potential claim record and the final amount of
requested additional compensation.
Failure to provide documentation in support of the final amount of the claim if
different from that stated in the full and final potential claim record.
If the contractor submits a claim without the corresponding identification number, or if
there is a disparity in the identification number, notify the contractor of the omission or
disparity. The contractor has 15 days after receiving the notification to correct the
omission or disparity. Assign an identification number if the contractor fails to correct
the omission or disparity.
If the contractors statement of claims includes administrative disputes that occurred or
were recognized after issuance of the proposed final estimate, include these items in the
preliminary construction claim findings. Administrative disputes occurring or
recognized after issuance of the proposed final estimate may include the following:
Contract item quantity payments
Changed quantity payment adjustments
Administrative deductions and withholds
Extra work

Disputes 5-4.5
Resolution of disputed labor, equipment, and materials
If administrative claims have merit, payment is made through item payments, change
orders, or by releasing withholdings. Accompany payment of these types of claims
with a letter stating that the payment resolves the respective claim in its entirety. If the
contractor does not accept the payment as full resolution, refer to Section 5-407,
Claim Payments, of this manual, for more information. The results of the attempted
resolution of these administrative disputes must be sent to the district construction
claims engineer by day 200 for incorporation into the construction claim findings.
If the statement of claims includes claims for overhead, such as field or home office,
and cost escalation associated with delays caused by Caltrans, these claims must be
supported with an audit by an independent certified public accountant (CPA). Send
these types of claims to the deputy district director of construction as part of the
preliminary construction claim findings. The Division of Audits and Investigations
may review the audit. For additional details, refer to Section 5-408, Overhead
Claims, of this manual.
5-405D District Construction Review of Preliminary Construction Claim Findings
CompletedTarget Day 130
The deputy district director of construction, or delegated authority, completes the
review of the preliminary construction claim findings and segregates the claims into the
following three categories:
Claims with entitlement
Claims to refer to a board of review
Claims of an administrative nature
The district construction claims engineer finalizes the preliminary construction claim
findings and authorizes payment for claims with entitlement.
By day 130, the deputy district director of construction reviews the preliminary
construction claims findings and uses this information to prepare the Review of
Claims by Deputy District Director of Construction notification letter. This notifies
the contractor which claims are resolved, claims which are of an administrative nature
returned to the resident engineer for further review, and which claims will or will not
be heard at a board of review meeting. Refer to Example 5-4.1, Sample Review of
Claims by Deputy District Director of Construction Notification Letter, for more
information.
5-405E Board of Review MeetingTarget Day 160
The board of review convenes when the deputy district director of construction or a
delegated authority decides that certain claims may warrant further analysis by a board
of review. The target date to hold a board of review meeting is 160 calendar days after
contract acceptance. The board of review secretary must notify the contractor of the
date, time, and the location of the board of review meeting as soon as the board
members have been selected and all the necessary arrangements have been made. In
the Board of Review notification letter, state that both the contractor and Caltrans
will be allowed to make only oral presentations in support of their previously submitted
written information and that no additional written information will be accepted by the
board of review. Refer to Example 5-4.2, Sample Board of Review Notification
Letter. The resident engineer, supported by Caltrans personnel discussed below, is

5-4.6 Disputes
responsible for preparing and delivering the presentation at the board of review
meeting with support by other Caltrans personnel.
The board of review is an informal meeting allowing the contractor and Caltrans the
opportunity to make presentations in support of previously submitted written
information for claims identified within the board of review notification letter to the
contractor. The board of review listens to the presentations made by both the contractor
and Caltrans, and provides objective recommendations within the board of review
report. The board of review report should be issued within 200 days after contract
acceptance.
If requested, Caltrans personnel including district and structure personnel involved with
the contract must attend the board of review meeting to assist in presenting the claims
under review by the board. Arrange to have other personnel involved in the project
available to the board to answer questions during the meeting regarding complex
claims or for firsthand knowledge of events.
5-405E (1) Board of Review Secretary
The district assigns a secretary for the board of review. Generally, the district
construction claims engineer serves as the board secretary. Other personnel that have
organizational and writing skills may also serve as board secretary. The secretary must
do the following:
Arrange the meeting date, time, and location and notify the contractor by certified
mail at least 15 days before the meeting. In the notification letter to the contractor,
request the contractor inform Caltrans of any intentions to have legal
representation at the board of review meeting. If the contractor plans to have legal
representation at the meeting, the district should consider having a legal
representative attend as a legal advisor. A Legal Division representative is present
only to advise and counsel the board on significant legal issues. Contact the
Division of Construction field coordinator for advice on legal representation.
Notify respective Caltrans staff of the meeting date, time and location, and verify
their attendance.
Verify the attendance of the contractor, subcontractors, district and structure
personnel involved with the project, and any other Caltrans personnel before the
meeting.
Ensure board members have copies of the preliminary construction claim findings,
review of claims by deputy district director of construction notification letter,
board of review notification letter, project plans, and special provisions, two weeks
before the meeting.
5-405E (2) Board of Review Member Selection
The deputy district director of construction is responsible for selecting the board of
review members. The number of members of a board of review should be based on the
following guidelines:
Total claims up to $250,000, at least one member
Total claims between $250,000 and $1,000,000, two members
Total claims more than $1,000,000, three members

Disputes 5-4.7
Exceptions to these guidelines can be made depending on the complexity of claims.
Discuss exceptions to the guidelines with the Office of Contract Administration in the
Division of Construction. Board of review members must be selected based on the
following criteria:
The board of review members should not have been involved in the administration
of the project under consideration.
The board of review chairperson should be either the deputy district director of
construction or a delegated manager at a supervising engineer level or above, with
a minimum of 5 years of experience in construction. The chairperson should be
sourced to the district where the claim originated.
The other two members of the board of review will either be a supervising
engineer level or above with a minimum of 5 years of construction experience, or a
senior engineer level with a minimum of 8 years of construction experience. The
members may be sourced to the projects district or selected from the statewide
board of review member list.
The expertise of each board of review member should be considered relative to the
disputes under consideration.
The Division of Construction maintains and manages a statewide list of available board
of review member candidates, and provides a project-specific, member-candidate list to
the district upon request. Candidates on the board of review member list are
construction managers, retired annuitants, Division of Construction field coordinators,
or other Caltrans personnel meeting the minimum experience requirements.
5-405E (3) Board of Review Operation
The board of review will hear only those claims identified in the review of claims by
deputy district director of construction notification letter sent to the contractor. The
board will not hear or address other claims. Caltrans prohibits recording the meeting by
tape, court reporter, or video. The meeting is informal, allowing the contractor and the
district personnel to present their positions, and for all parties to exchange questions
and answers. All questions, except those of the chairperson, are directed to the
chairperson first. The meeting attendees must recognize that the chairperson controls
the meeting.
The members of the board of review must conduct the meeting as follows:
The board of review chairperson informs the meeting attendees of the procedures
and the format of the meeting.
The chairperson states that the meeting is being conducted in accordance with the
Standard Specifications, allowing a person or a board appointed by the district to
review those claims that would benefit from further review by a board of review.
Each claim issue begins with a district representative giving a brief description of
the project and the subject of the claim.
The contractor is given the opportunity to present the claim in detail as supported
by previously submitted information and documentation.
The district presents its detailed position as supported by the preliminary
construction claim findings.

5-4.8 Disputes
After both the contractor and the district make their presentations, the board may
allow rebuttals by both parties. Attendees must only respond when board members
request a response.
If the contractor attempts to submit new information regarding a claim, the board
chairperson must inform the contractor that the board does not permit additional
claims or additional information regarding claims.
If the contractor attempts to discuss a claim other than those to be heard by the
board as stated in the Review of Claims by Deputy District Director of
Construction notification letter, the board chairperson informs the contractor that
the board will not hear the issue and will not accept any additional information.
The board of review will not make decisions on claims at the meeting. After the
meeting, the board of review members and the secretary will discuss further analysis
and review of the claims.
The board of review must make decisions on claims, after reviewing the preliminary
construction claim findings and the information presented by both the contractor and
the district personnel at the board of review meeting. The board secretary compiles the
board of review report under the direction of the board chairperson, with suggestions
from the other board members. For additional details, refer to Section 5-412, Board of
Review Report Preparation and Guidelines, of this manual. The board of review
report will contain a determination of claims heard and the boards conclusions.
If the contractor did not attend a scheduled board of review meeting, the board of
review report will be based on the information contained in the preliminary
construction claim findings. Since the contractor did not attend the meeting, the claims
cannot be filed in arbitration as stated in Section 10240.2, Administrative Review, of
the Public Contract Code. If this happens, attach a letter with the district director
determination of claims explaining the situation, referencing the above noted section.
For an example of the letter, refer to Example 5-4.3, Sample District Director
Determination of ClaimsBoard of Review Held, Not Attended by Contractor.
The board members and other Caltrans personnel involved in the claims resolution
process must review drafts of the board of review report. Once all comments and
corrections have been made, the board secretary will complete the board report and
obtain the signatures of the board of review members. For complex claims with
significant statewide impact, the board members must consult with the Division of
Construction before sending the report to the district director.
5-405E (4) Board of Review Settlements
The board of review may decide that a negotiated settlement of the claims is
appropriate. The board secretary prepares the claim settlement request memorandum.
The board of review chairperson submits the claim settlement request memorandum
directly to the Division of Construction for approval. Upon approval, negotiate
settlement with the contractor in accordance with that approval. For roles,
responsibilities, and information on preparing a claim settlement request memorandum,
refer to Section 5-406A, Claim Settlement Process, and Table 5-4.2, Delegation of
Authority, of this manual.

Disputes 5-4.9
5-405F Board of Review Report CompletedTarget Day 200
After the board members have signed the board of review report, the board secretary
prepares a letter of transmittal and sends the report and the supporting documents to the
district claims unit and the district director by target day 200.
5-405G Construction Claim Findings and Draft District Director Determination of
Claims CompletedTarget Day 220
The construction claim findings will name each of the contractors claims in summary
form, listing references to the supporting documents. Incorporate into the construction
claims findings the resolution of the administrative claims by the resident engineer, the
analysis of claims which were not heard by a board of review, and the board of review
findings. For detailed information on preparing the construction claim findings, refer to
Section 5-413, Construction Claim Findings Preparation and Guidelines, of this
manual.
In addition to preparing the construction claim findings, the district construction claims
engineer prepares a draft district director determination of claims. For detailed
information on preparing the draft district director determination of claims, refer to
Section 5-414, District Director Determination of Claims Preparation and
Guidelines, of this manual.
Send the construction claim findings and the draft district director determination of
claims to the deputy district director of construction by day 220.
The deputy district director of construction approves the construction claim findings,
and then sends the findings and the draft determination of claims to the district director
for signature.
Prepare and obtain approval of a change order compensating the contractor for claims
found to have merit based on the construction claim findings. The change order must
state that the payment is for full resolution of the claim specified. Refer to Section 5-3,
Change Orders, of this manual for more information.
Run a semifinal estimate to make payment and add any additional time for approved
change orders.
5-405H District Director Determination of ClaimsTarget Day 230
The district director determination of claims is the final determination of claims and
completes the claims resolution process. The determination concludes Caltrans
administrative claims process, triggers preparation of the final estimate, and opens the
contractors 90-day arbitration filing window.
The district director reviews and approves the determination of claims. The district
construction claims engineer sends the approved determination of claims to the
contractor within 230 days after contract acceptance. Refer to Example 5-4.4, Sample
District Director Determination of ClaimsMajor and Minor A Contracts.
After the district director determination is sent, do not have any further discussion of
claims with the contractor.
District construction processes a final estimate within 30 days of sending the district
director determination of claims. For information on the final estimate, refer to Section
3-907D, Final Payment and Claims, of this manual.

5-4.10 Disputes
Before submitting a request for the final estimate, ensure change order payment has
been made for all claim determinations.
The district must store all project records in accordance with the procedures outlined in
Section 5-104, Final Construction Project Records, of this manual.
If the contractor has diligently pursued and exhausted the administrative procedures
days after contract acceptance, even if the district director determination of claims has
not been issued.
If the contractor files a case for arbitration and the final determination of claims has not
yet been issued, the district must nevertheless send a final determination of claims to
the contractor. Prepare a draft of the final determination of claims. The format of the
final determination of claims may be similar to Example 5-4.4, Sample District
Director Determination of ClaimsMajor and Minor A Contracts. Consult the
Division of Construction field coordinator and the designated attorney for guidance.
Send a draft copy of the final determination of claims to the designated attorney for
concurrence. After the designated attorney provides concurrence, the district director
approves the final determination of claims and it is sent to the contractor. Do not have
any further contact or discussion with the contractor concerning the merit of claims.
No claim can be addressed between issuing the district director determination of claims
notification letter and filing the arbitration. After arbitration is filed, any construction
contract claims settled are authorized by an approved request-for-settlement-authority
memorandum, prepared by a Caltrans attorney. The Division of Construction chief or
the deputy director for project delivery, depending on their settlement amount and
delegated authority, approves both requests.
5-405I Minor B Contracts
By law, the contractor has a maximum of 1 year from contract acceptance to file a
claim with the California Victims Compensation and Government Claims Board for
minor B contracts. If a contractor submits a potential claim record, alternative dispute
resolution will help resolve disputes and mitigate damages. Use the concepts and levels
of the dispute resolution ladder as described in Section 3-522B, Dispute Resolution
Ladder, of this manual to assist the potential claims record process.
5-405I (1) Contract AcceptedTarget Day 0
When the contract is accepted, the resident engineer discusses and attempts to resolve
any disputes. This will begin the dispute resolution process at level 1.
5-405I (2) Claim and Invoice SubmissionTarget Day 30
Within 30 calendar days following acceptance of the contract, the contractor must
submit a written claim for an unresolved dispute as part of the fully itemized invoice
covering the actual work performed. Process payment to the contractor for the
undisputed portion of the invoice. Immediately request additional information for the
unresolved claims. When the written claim is received, this ends level 1 of the dispute
resolution process. Elevate the unresolved claims to the construction engineer,
beginning level 2. Use Form CEM-6209, Elevation of a Dispute, to define the
unresolved claims when elevating to this level.

Disputes 5-4.11
5-405I (3) Additional Information ReceivedTarget Day 45
When the additional information is received for the unresolved claims, begin
preparation of the preliminary construction claim findings (refer to Section 5-411,
Preliminary Construction Claim Findings and Category 62, Preparation and
Guidelines, of this manual). Concurrently, the district construction claims engineer
prepares a draft district director determination of claims (refer to Section 5-413,
Construction Claim Findings Preparation and Guidelines, of this manual).
5-405I (4) Preliminary Determination of ClaimsTarget Day 50
If the construction engineer cannot resolve the claims, finalize the construction claims
findings and provide a copy to the contractor; this ends level 2 of the dispute resolution
process. This will serve as a preliminary determination of claims and notifies the
contractor of the opportunity to present any unresolved claims within 30 days to the
construction manager, or deputy district director of construction depending on the
districts preference. This begins level 3 of the dispute resolution process.
5-405I (5) Presentation of Unresolved ClaimsTarget Day 80
Any unresolved claims are presented, merits of the claims are discussed, and an
attempt is made to resolve the claims by the respective representatives at level 3.
5-405I (6) Final Determination of ClaimsTarget Day 85
The final determination of claims is completed by the district claims engineer and
submitted to the deputy district director of construction for approval. The approved
final determination of claims is sent to the contractor by day 85 and ends level 3 of the
dispute resolution process. The contractor can accept the districts decision, thereby
ending the process, or continue the process through the California Victims
Compensation and Government Claims Board or Superior Court, as applicable.
5-505I (7) California Victims Compensation and Government Claims Board, and
Superior Court
The Division of Construction arbitration engineer is responsible for coordinating minor
B claims with the Legal Division and for updating the database that includes tracking,
monitoring, and reporting on all minor B claims filed with the California Victims
Compensation and Government Claims Board, Superior Court, or Division of
Construction. The arbitration engineer is the point of contact regarding the status of and
providing statistics for all minor B claims filed with California Victims Compensation
and Government Claims Board, Superior Court, or Division of Construction.
The contractor has 6 months to file a complaint in Superior Court after the California
Victims Compensation and Government Claims Board or the chief, Division of
Construction rejects the contractors claim. The Legal Division is responsible for
representing Caltrans in court and expects district and headquarters construction staff to
provide assistance upon request.
5-406 5-406 Claim Settlements
Claim Settlements A negotiated claim settlement is defined as a compromise of the contract requirements
to settle a dispute in Caltrans best interest. Negotiated settlements of claims may arise
when both Caltrans and the contractor contributed to the disputed issue and total
responsibility is difficult to attribute to either party. In these situations, district
management, the board of review, or Caltrans designated attorney will explore the
possibility of settlement with the contractor.

5-4.12 Disputes
All negotiated settlements must be approved by the Division of Construction chief or
the deputy director for Project Delivery. Refer to Table 5-4.2, Delegation of
Authority, for the negotiated claim settlement authority and responsible parties.
No claim can be addressed between the district director determination of claims and the
contractors filing for arbitration.
5-406A Claim Settlement Process
When considering a decision to settle a claim, analyze Caltrans exposure to help
determine potential liability. This will serve as a guide for the settlement. The Division
of Construction field coordinator provides assistance on all settlement analyses and
should be consulted early in the process.
For consideration of settlements before arbitration, the field coordinator engages the
Legal Division. The Legal Division will consult with the district or the board of review
and provide direction for preparing a claim settlement request memorandum. For
consideration of settlements during arbitration, the case attorney prepares this
memorandum for approval.
The claim settlement request memorandum is an internal, confidential document
protected under attorney-client communication privilege and must not be given to the
contractor or included in the project files. The original claim settlement request
memorandum will be kept in the Division of Constructions confidential files. The
claim settlement request memorandum must be approved before entering into any
negotiations with the contractor.
5-406A (1) Claim Settlement Request Memorandum
The claim settlement request memorandum must include the following items:
Confidential attorney-client communication clause, prepared at the direction of
and in consultation with the Legal Division.
Project description.
Chronology.
Time extension summary.
Description of claims.
Summary of claims.
Entitlement and settlement justification.
Funding status.
Consequences of not settling.
Refer to Example 5-4.5, Claim Settlement Request Memorandum.
5-406A (2) Claim Settlement Agreement
A fully executed change order is considered the claim settlement agreement for claims
settled before the district director determination of claims is issued. The change order
must be written in sufficient detail so that it clearly describes the claims being settled,
adjustments in contract time, disposition of liquidated damages, and compensation
amount. Refer to Section 5-3, Change Orders, of this manual for standard change
order clauses. The change order memorandum must refer to the approved claim

Disputes 5-4.13
settlement request memorandum. Do not substitute a change order memorandum for a
claim settlement request memorandum.
During arbitration, the Caltrans case attorney prepares and signs a claim settlement
agreement. Agreement is reached when the opposing counsel signs the document. To
complete the administrative process, the Division of Constructions arbitration engineer
prepares a unilaterally approved change order for payment.
5-406B Contract Time Settlements
Time adjustments for reasons other than those specifically enumerated in the contract
are considered contract time settlements. Defer contract time settlements until
completion of the contract. Prepare a claim settlement request memorandum and
settlement agreement as described above for contract time settlements. Attach
CEM-2702, Overrun in Contract Time, to the memorandum. Do not record these
contract time settlements on the CEM-2701, Weekly Statement of Working Days.
5-407 5-407 Claim Payments
Claim Payments If adequate funding is available, make payment immediately when you reach
agreement with the contractor or find entitlement on a claim. Prepare and process a
supplemental funds request if there are insufficient funds for payment.
When a change order is necessary to make payment for disputed work and the
contractor refuses to sign it, issue a unilaterally approved change order in accordance
with Section 4-1.05 [4-1.03], Changes and Extra Work of the Standard
Specifications and Section 5-3, Change Orders, of this manual.
Claim payments are made in accordance with Table 5-4.2, Delegation of Authority.
For detailed information on contract payments, refer to Section 3-9, Payment, of this
manual.
5-408 5-408 Overhead Claims

Overhead Claims Overhead claims generally fall into two categories: home office overhead and field
office overhead. Overhead claims generally occur when there have been delays to the
completion of the contract. Delays caused by Caltrans to the controlling operation on
contracts with a time related overhead bid item are compensated through bid item
quantity adjustments to the time related overhead item. Refer to Section 3-905, Time-
Related Overhead, of this manual.
All other overhead claims must be supported by an audit. The contractor must provide
the required audit in accordance with Section 9-1.17D(2)(b) [9-1.07B], Overhead
Claims, of the Standard Specifications. Provide a written response regarding Caltrans
consideration of the overhead claim to the contractor before issuing the proposed final
estimate. If the resident engineer determines that a compensable delay exists, evaluate
the overhead claim through the audit process.
When a claim for overhead expenses is received without an independent CPA audit to
justify the claimed amount, notify the contractor that the submittal is incomplete and
will not be considered until an independent CPA audit report is received. Failure to
comply with the requirements justifies denying the overhead claim.

5-4.14 Disputes
5-408A Home Office Overhead
Home office overhead, or general and administrative expenses, consists of indirect
costs that are not associated with a specific project but are the costs of general facilities
and administration necessary for the contractors performance on all contracts.
5-408B Field Office Overhead
Field office overhead consists of indirect costs that are associated with a specific
project. These costs do not include costs for labor, materials, or equipment used in
performing the work.
5-408C Contractor Submitted Audits
The Division of Audits and Investigations will assist the resident engineer by
performing a preliminary check of the independent audit reports compliance with the
requirements of the American Institute of Certified Public Accountants (AICPA)
Attestation Standards.
The Division of Audits and Investigations will perform an audit of contractor
submitted audits if the following conditions exist:
The deputy district director of construction and the Division of Construction field
coordinator have made a determination that an audit is warranted.
The contractor has submitted an independent CPA audit report that conforms to
the AICPA Attestation Standards.
The Division of Construction has received and prioritized the audit request.
The contractor has fulfilled the provisions of Section 9-1.17D [9-1.07B], Final
Payment and Claims, of the Standard Specifications.
A systematic review of the contractors claim and audit is required to decide if there is
reason to proceed with a detailed analysis of the costs contained within the contractor
submitted audit.
The audit process is initiated by the contractors written request for a Caltrans audit
review of home office overhead and field office overhead by submitting exceptions to
the proposed final estimate.
If determination has been made to consider the overhead claim, verify that the
contractors claim for home office overhead or field office overhead is submitted along
with a supporting independent CPA audit report in accordance with Section 9-1.17D
[9-1.07B], Final Payment and Claims, of the Standard Specifications and with those
policies contained within the CPA Audit Desk Guide available at the Division of
Constructions intranet website. Unallowable expenses including those relating to other
businesses of the contractor must be excluded from the claimed expenses for field
office overhead and home office overhead. For typical unallowable expenses, see the
Code of Federal Regulations, Title 48, Part 31.205 (48 CFR 31.205). The independent
CPA audit report may be faxed to the Division of Audits and Investigations for
assistance in these regards. Deny the audit request if the audit report does not comply
with Section 9-1.17D [9-1.07B], Final Payment and Claims, of the Standard
Specifications.
The Division of Construction field coordinator decides if the facts and circumstances
warrant a detailed analysis requiring a state audit review. This determination may
involve significant analysis of many variables including concurrent delays as evidenced

Disputes 5-4.15
by the CPM schedule and time impact analyses. The Division of Construction field
coordinator will inform the resident engineer to deny the claim and audit request if
there is no justification.
If the audit report complies with Section 9-1.17D [9-1.07B], Final Payment and
Claims, of the Standard Specifications and the Division of Construction field
coordinator decides an audit request is warranted, draft the audit request memorandum.
Refer to Section 5-409A, Audit Request Procedure, of this manual for guidance on
requesting an audit.
5-409 Audits
The Division of Audits and Investigations provides a service to construction by
performing audits. Their audit services include:
Reviewing contractor submitted audits for overhead claims
Reviewing the contractors project files.
Auditing the contractors records.
Reviewing cost escalation claims.
Reviewing costs for contract termination.
Reviewing costs for complicated work-character changes.
Reviewing costs for complicated item adjustments.
Reviewing costs for differing site conditions.
5-409A Audit Request Procedure
When it is determined that an audit by the Division of Audits and Investigations is
needed, the deputy district director of construction gets concurrence from the Division
of Construction field coordinator and submits the audit request memorandum to the
Division of Construction. Refer to Example 5-4.6, Sample Audit Request
Memorandum, for guidance.
The memo must include the following information as appropriate:
Contract number
Contractor name
District contact persons name, title, and phone number
A justification
The justification must explain the reasons the contractor has entitlement on the claims
and the associated costs that a Caltrans audit needs to verify. If appropriate, the
justification must be accompanied by a summary of delay-related claim descriptions, a
chronology of events, and amounts. For a sample summary of delay-related claims,
refer to Examples 5-4.7, Sample Summary of Delay-Related Claims, and 5-4.8,
Sample General Contract Information and Summary of Chronology.
Upon receipt of the districts audit request memorandum, the Division of Construction
prioritizes the audit request and sends a memorandum to the audit manager, Division of
Audits and Investigations, requesting an audit. The Division of Audits and
Investigations policy is to complete the audit within 90 days after receiving the audit
request memorandum.

5-4.16 Disputes
5-409B Construction Response to Audit Reports
The initiator of the request for the audit must provide an acceptable corrective action
plan in response to audit findings and recommendations.
The Division of Construction is responsible for the corrective action plans for force
account audits authorized under Section 5-1.27 [9-1.03C], Records, of the Standard
Specifications. Approval of the district corrective action plans may not be delegated
below the level of district division chief of construction.
A corrective action plan must be submitted to the external audit chief for the Division
of Audits and Investigations.
The district will use the final audit report or draft audit findings to decide if the
contractor is due any payment adjustments. The final audit report is a matter of public
record, and its distribution is not limited.
If compensation is due, the Division of Construction field coordinator will request that
district construction processes a change order for payment in accordance with the
overhead claim administration delegation of authority in Table 5-4.2, Delegation of
Authority. Note the name of the person authorizing the change order in the change
order memorandum.
Other delay-related expenses besides overhead, such as escalated materials, equipment,
and labor costs, may be included in the contractors claim. The escalated costs may be
included in the audit request if complex. Account for simple cases of escalated costs
due to delays caused by Caltrans, unless they are easily combined into an audit for
overhead. Unlike audits for overhead, escalated cost audits may be performed before
receiving the contractors written statement of claims. An independent CPA audit is not
required to support escalated cost claims due to delays caused by Caltrans.
Force account markups are not included in any escalated cost calculation. Recovery of
additional overhead incurred due to escalated costs requires submittal of an overhead
claim with an independent CPA audit report.
5-410 Arbitration 5-410
If the contractor has diligently pursued and exhausted the administrative procedures Arbitration
days after contract acceptance even if the district director determination of claims has
not been issued. The arbitration process is initiated by filing a complaint with the
Office of Administrative Hearing.
The Caltrans Legal Division handles all construction contract arbitrations. When a
contractor files for arbitration, all contacts with the contractor regarding the specific
project must go through the designated attorney. The resident engineer, the
construction engineer, and other personnel involved with the contract, must assist in the
arbitration process. This assistance may be in the form of preparing calculations,
performing technical analysis, preparing documents, assisting in the discovery process,
or providing testimony. Keep project records at one location for ease of discovery by
the Legal Division.
The arbitration payment process is a joint effort involving the Division of Construction,
the Legal Division, the district, the Division of Budgets, and the Division of
Accounting. The Division of Construction arbitration engineer is responsible for
updating the database which includes tracking, monitoring, and reporting all arbitration

Disputes 5-4.17
cases. The Division of Construction arbitration engineer is the point of contact
regarding status of ongoing arbitration cases, coordinating arbitration payments, and
providing statistics on all arbitration cases.
5-411 5-411 Preliminary Construction Claim Findings and Category 62

Preliminary Preparation and Guidelines
Construction Claim Preparation of the preliminary construction claim findings can be completed quickly by
Findings and incorporating documents contained in Category 62 of the project records. When you
Category 62 receive exceptions to the proposed final estimate from the contractor, complete the
Preparation and preliminary construction claim findings. Refer to Example 5-4.9, Sample
Guidelines Construction Claim Findings.
5-411A Preliminary Construction Claim Findings Format
The preliminary construction claim findings consists of the following sections:
Title page
Table of contents
Project chronology
General information
List of claims
Contractors exceptions to the proposed final estimate
Exhibits obtained from Category 62, Disputes
A well-organized Category 62, Disputes, of the project records is imperative for
preparing the construction claim findings. Refer to Section 5-102C, Description of
Categories, of this manual for more details about the file categories. For each claim,
Category 62 should include:
Claim checklist, refer to Example 5-4.10, Sample Claim Checklist of this
manual
Request for Information (RFI)
Form CEM-6201D, Initial Potential Claim Record and Caltrans response
Form CEM-6201E, Supplemental Potential Claim Record and Caltrans
response
Form CEM-6201F, Full and Final Potential Claim Record and Caltrans
response
All correspondence
Districts position paper for the DRB
Contractors position paper for the DRB
DRB recommendation
Resident engineer diaries
Assistant resident engineer diaries
Applicable parts of plans and specifications
Relevant change orders

5-4.18 Disputes
Photographs
Calculations and analysis
Weekly Statement of Working Days
Critical path method schedules
Other pertinent information
Refer to Section 5-405D, District Construction Review of Preliminary Construction
Claim Findings CompetedTarget Day 130 of this manual for more information.
5-412 Board of Review Report Preparation and Guidelines 5-412
The district construction claims engineer and deputy district director of construction Board of Review
use the board of review report to complete the construction claim findings that is the Report
basis of the district director determination of claims. Preparation and
In preparing the board of review report, the board members should follow the Guidelines
guidelines below:
State opinions, facts, positions, conclusions, determinations, and recommendations
in the report. However, the important items to be presented are facts, contract
language, and the results of applying the contract to the facts.
Do not use words such as think, feel, and believe.
Quantify all items. If the contractor was inefficient, state that conclusions basis. If
such inefficiency occurred frequently, state how many times and over what time
frame.
Do not use tables within the board recommendations.
Begin each individual claim on a new page.
Do not include any language indicating that the reports findings comprise the final
determination. For all claims, the district director makes the final determination.
The following establishes the format, content, and guidelines for writing the board of
review report and the board of review recommendations. For a sample of a board of
review report, contact the Office of Contract Administration in the Division of
Construction
5-412A Format
A board of review report follows the general format below:
5-412A (1) Introduction
The board of review report will start with an introductory paragraph describing the
board meeting attendees and date of occurrence.
5-412A (2) Items That Are Common to All Claims
List items such as the chronology and general information.
5-412A (3) Summary of Resolved Claims
Reference claims that were entirely or partially settled.

Disputes 5-4.19
5-412A (4) Individual Claim Information
Reference each individual claim number, title, and the amount.
5-412A (5) General Description of the Claim
Briefly describe the nature of the claim.
Quote directly from the contractors request for information (RFI), potential claim
records, or written statement of claims. Add any other pertinent information provided
in other documentation.
The districts position must be compiled from the responses to potential claim records,
and supported by exhibits including related correspondence.
5-412A (8) Comments of the Board
In this section of the report, include the following:
Any new material or change in position if raised by the contractor at the board
meeting.
Any board requests for additional information or analysis and any general
discussion of that information or analysis.
Other information the board considers relevant to the issue.
The following are some examples of clauses that may be used in this section:
At the board of review meeting, the contractor informed the board .
At the board of review meeting, the contractor submitted additional information
to support the contractors claim.
At the request of the board, the resident engineer reviewed the contractors
submittal and noted.
The resident engineer informed the board.
At the request of the board.
5-412A (9) Findings of the Board
Format this section of the board of review report as a series of bullets listing the boards
conclusions and providing the boards findings. The bullets will convey the boards
reasoning and follow a progression that illustrates what was required, what happened,
and what the board concluded was relevant to its recommendation. The following are
some examples of phrases that may be used in this section, beginning with the
statement, The board concluded that:
The contract provided for.
The work included.
Based on bid item number [xx], description.
The contract further provided.
The contract time is subject to extensions for.
Work began on [date].

5-4.20 Disputes
By correspondence dated [date]... the contractor directed the resident engineers
attention to.
The contractor requested issuance of a change order to provide compensation
for.
On [date] the contractor submitted request for information, dated [date].
On [date] the contractor submitted an initial potential claim record, dated [date].
On [date] the contractor submitted a supplemental potential claim record, dated
[date]... a claimed cost of $ value and a claimed delay of [number] days.
On [date] the resident engineer responded to the contractors supplemental
potential claim record and directed the contractors attention to Section [xx] of the
On [date] the contractor submitted the full and final potential claim record, dated
[date]... with the claimed cost of $ value and a claimed delay of [number] days.
On [date] the resident engineer responded to the contractors full and final
potential claim record.
With the return of the proposed final estimate, the contractor included a
corresponding claim for $ [value] and a claimed delay of [number] days.
The contractor has been compensated for the work of bid item number [xx] and
that the contractor is not entitled to any additional compensation for that work.
For each claim, the conclusions will be ended with a recommendation statement such
as, Therefore, it is recommended that the claim be allowed [or denied] in the amount
of $ [value].
Facts and findings about what actually occurred, including only facts the board knows
with certainty. Guesses or unverified information should not be used in the conclusion.
The board of review report should specifically address any prior dispute resolution
advisor or dispute resolution board findings and recommendations pertaining to the
claim, and provide its conclusions. Particular attention must be paid when the board of
reviews conclusion disagrees with those findings and recommendations.
5-413 Construction Claim Findings Preparation and Guidelines 5-413
The board of review report is incorporated as a part of the construction claim findings. Construction
The construction claim findings provide the basis for the district director determination Claim Findings
of claims. The district construction claims engineer prepares the construction claim Preparation and
findings by refining the preliminary construction claim findings. Incorporate claims Guidelines
resolved and status, unresolved administrative claims addressed by the resident
engineer, and claims addressed by the board of review. When preparing the
construction claim findings document, consider that the document is used by a Caltrans
attorney if claims are filed in arbitration.
Concurrently, the district construction claims engineer prepares the draft district
director determination of claims. Refer to Section 5-414, District Director
Determination of Claims Guidelines, of this manual.
The district construction claims engineer transmits the construction claim findings to
the deputy district director of construction for approval.

Disputes 5-4.21
The district construction claims engineer then transmits the construction claim findings
and the final district director determination of claims to the district director for
approval.
The following sections provide format, content, and guidelines for preparing the
construction claim findings. For an illustrative sample of the format and content of
construction claim findings, refer to Example 5-4.9, Sample Construction Claim
Findings.
5-413A Format
The construction claim findings follow the format below:
5-413A (1) Title Page
The title page states the following:
Construction Claim Findings.
Contract identification data such as contract number, district, county, route, post
mile, and federal project number, if applicable.
Applicable Standard Specifications and Standard Plans.
Names of the contractor, resident engineer, and other personnel with significant
involvement.
Date.
5-413A (2) Table of Contents
Number all pages in the table of contents.
5-413A (3) Project Chronology
The project chronology includes the following:
Advertisement date
Bid opening date
Contract award date
Contract approval date
First working day (date and working day number)
Date contractor began work
Working days specified (number of days)
Computed completion date (date and working day number)
Change order time adjustment (number of days)
Nonworking days (number of days)
Working days not worked on controlling operation (number of days)
Extended date for completion (date and working day number)
Project completion date
Contract acceptance date
Overrun in contract time (number of working and calendar days)

5-4.22 Disputes
5-413A (4) General Information
The general information section should be presented in a narrative format, and include
the following:
Description of the work
Contractors bid amount
Proposed final estimate amount
Date the proposed final estimate was sent to the contractor
Date the contractor returned the proposed final estimate with exceptions
Total number and amount of claims submitted
5-413A (5) Summary of Claims
Provide the following information:
Identification numbers and titles
Claimed amounts
Recommended payments
Remaining amounts
5-413A (6) Claim Categories
Show the segregation of claims into the following categories:
Administrative claims
Claims heard by board of review
Claims not heard by board of review
5-413A (7) Claim Number, Title, and Claim Amount
A boldfaced, underlined title bar will be used for each claim. In the left-hand column,
place the claim number. In the middle column, position the claim title. In the right-hand
column locate the claim amount, including days claimed.
5-413A (8) Description of the Claim
Provide the following information:
An explanation of what caused the claim.
Pertinent statements of facts related to the issue, not beliefs or opinions.
A reference to the applicable specifications relating to the claim. You may include
a separate section titled Applicable Specifications, listing the section numbers
and excerpts.
The circumstances leading to each claim. Use facts supported with exhibits that
include daily reports or letters.
Relevant dates if the claim includes time considerations.
A statement of actions and responses made by Caltrans and the contractor.
The method and time of notification of the claim.

Disputes 5-4.23
Quote directly from the contractors RFI, potential claim records, or written statement
of claims. Add any other pertinent information provided in other documentation. Do
not interpret the contractors position. If the contractor has not stated the basis for the
claim, note that the basis was not stated. State whether a cost analysis was submitted.
Provide the information in the following order:
Full and Final Potential Claim Record
Supplemental Potential Claim Record
Initial Potential Claim Record
Contractors RFI pertaining to the claim
Reference table to contractors supporting exhibits
The districts position must be compiled from the responses to potential claim records,
and supported by exhibits including related correspondence. Additional arguments
supporting the districts position are not required. If the contractor provides reasons for
changing the amount of requested additional compensation from that stated in the full
and final documentation, additional opposing statements may be included.
Provide the information in the following order:
Resident engineers response to the Full and Final Potential Claim Record.
Resident engineers response to the Supplemental Potential Claim Record.
Resident engineers response to the RFI.
A list of exhibits including change orders for partial resolution of the potential
claim, photographs, critical path method analysis, cost analysis, correspondence,
and diaries.
Include a separate section stating deficiencies if the contractor has failed to comply
with Section 9-1.17C [9-1.07B], Proposed Final Estimate, of the Standard
Specifications.
5-413A (11) Findings and Recommendations
State the districts conclusions on the merit of the claim in bullets, following the format
of the board of review report.
Briefly state the reason for the conclusions based on the information provided.
Recommend denial if there is no merit, but do not deny the claim. Only the district
director has the authority to deny the claim.
5-413A (12) Tabular Reference to Supporting Information
5-413A (13) Summary of Resolved Claims in Tabular Format for All Claims
5-413A (14) Deputy District Director of Construction Signature Block
5-413A (15) Exhibits
Include the following exhibits as appropriate:
Copy of the contractors written statement of claims

5-4.24 Disputes
Correspondence
Cost data
RFIs and potential claim records
Detailed chronology of correspondence, other documents, or events
Critical path method schedule, time impact analysis, or revised schedule
Photographs
5-413B Helpful Hints
When preparing the construction claim findings, the following hints may be helpful:
Identify specific references in the following manner: Section [xx] of the special
provisions requires.
Quote all excerpts. Avoid paraphrasing them.
Include all pertinent correspondence.
Include pertinent photographs.
Identify the central issue, identify irrelevant contentions, and provide a response to
every relevant contention that the contractor makes.
Use exact dates and numbers.
State whether days are working or non-working.
When referring to days, when applicable, include the month, day number, and
year.
5-413C Things to Avoid
When preparing the construction claim findings, avoid the following:
Using the words denied, rejected, or determined. Only the district director
can use these terms in the district director determination of claims.
Including a copy of Sections 1 through 9 of the Standard Specifications.
Making the background section of the districts position a chronology of letters or
events. Write the background as a narrative, referencing any relevant letters or
events, if appropriate.
Including correspondence, photographs, or other exhibits that have no direct
bearing on the claim.
5-414 District Director Determination of Claims Preparation and 5-414
Guidelines District
The district director makes the final determination of claims in consideration of the Determination of
construction claim findings and supporting documents. The district director Claims
determination of claims is a stand-alone document and does not reference the board of Preparation and
review report, or construction claim findings. The district director determination is Guidelines
presented in a bulleted format, listing the construction claim findings.
For a sample district director determination of claims see Example 5-4.4, Sample
District Director Determination of ClaimsMajor and Minor A Contracts, of this
manual.

Disputes 5-4.25
Once the district director determination of claims is completed, send it to the contractor
by hand delivery or deposit in the U.S. mail. Issue the final estimate in writing.
Once the district director determination of claims is submitted to the contractor, there
should be no further contact or discussion concerning merits of claims. If the contractor
pursues unresolved claims in arbitration, Caltrans Legal Division coordinates any
necessary responses.
5-415 5-415 Copy Distribution of Claim Documents

Copy Distribution of The district must process and distribute copies of claims documents produced during
Claim Documents the claims resolution process. The district is also responsible for retaining copies in the
project files.

5-4.26 Disputes
Example 5-4.1. Sample Review of Claims by Deputy District Director of Construction
Notification Letter (1 of 2)
STATE OF CALIFORNIA - BUSINESS, TRANSPORTATION AND HOUSING AGENCY EDMUND G. BROWN Jr., Governor
[Resident Engineers OFFICE NAME in all caps]
[REs Address]
[REs City, State Zip]
[REs] PHONE: [(area code) XXX-XXXX]
[REs] FAX: [(area code) XXX-XXXX] Flex your power!
TTY 711 Be energy efficient!
www.dot.ca.gov
CERTIFIED MAIL RETURN RECEIPT REQUESTED
[Date]
[Dist-EA]
[Dist-Co-Rte-PM]
Federal Aid Project: [FA#]
[Contractors name]
[Contractors title]
[Name of contractors business]
[Address]
[City, State ZIP]
Subject: Review of Claims
Ladies and Gentlemen:
I have reviewed your exceptions to the Proposed Final Estimate and have made the following
determinations:
Resolved claims
Claim ID Title Amount
[List claims that have been resolved]
Administrative claims being further reviewed by the resident engineer

[List administrative claims sent to the resident engineer for further review]
Claims that will not benefit from a review by a board of review

[List claims that will not be heard by a board of review]
Claims that will be heard by a board of review

[List claims that will be heard by a board of review]

Disputes 5-4.27
Example 5-4.1. Sample Review of Claims by Deputy District Director of Construction
Notification Letter (2 of 2)
[Contractors name]
[Date]
Page 2 of 2
You will be notified of the date, time and the location of the board of review meeting in a follow up letter.
In accordance with Section 9-1.17D, Final Payment and Claims, of the 2010 Standard Specifications
(Section 9-1.07B, Final Payment and Claims, of the 2006 Standard Specifications), your attendance at
the board of review meeting is mandatory.
Sincerely,
____________________________
[Deputy District Director of Constructions name]
Deputy District Director of Construction
cc: Board of Review Secretary

Resident Engineer
Structure Representative
Construction Engineer
Area Bridge Engineer
Construction Manager
District construction claims engineer
Division of Construction Field Coordinator
Division of Construction Office of Contract Administration


5-4.28 Disputes
Example 5-4.2. Sample Board of Review Notification Letter (1 of 2)
[REs Address]
www.dot.ca.gov
[Date]
[Dist-EA]
[Dist-Co-Rte-PM]
[Contractors name]
[Contractors title]
[Address]
[City, State ZIP]
Subject: Board of Review Meeting

Following up on the Review of Claims by Deputy District Director of Construction notification letter
sent to you on [date], the district construction has scheduled a board of review meeting to be held at
[time] on [date] at [location] to hear the following claims:

[List claims to be heard by the board of review as shown on the Review of Claims by Deputy District
Director of Construction Notification Letter]
Both the contractor and Caltrans will be afforded the opportunity to make verbal presentation in support
of their previously submitted written positions on the claim(s) listed above.
Caltrans policy requires that an attorney from the Legal Division be present if the contractor intends to
be represented by legal counsel at the board of review. Please advise in writing if you plan on having
legal representation in this matter.


Disputes 5-4.29
Example 5-4.2. Sample Board of Review Notification Letter (2 of 2)
[Contractors name]
[Date]
Page 2 of 2
In accordance with 9-1.17C, "Proposed Final Estimate" of the 2010 Standard Specifications (Section 9-
1.07B, Final Payment of Claims, of the 2006 Standard Specifications), your attendance at the board of
review meeting is mandatory.
Sincerely,
[Board of Review Secretarys name]

Board of Review Secretary
cc: Resident engineer
Structure representative
Construction engineer
Area bridge engineer
Construction manager
District construction claims engineer
District construction office
Board of review members
Division of Construction field coordinator
Deputy district director of construction
Division of Construction, Office of Contract Administration


5-4.30 Disputes
Example 5-4.3. Sample District Director Determination of ClaimsBoard of Review Held and Not
Attended by the Contractor
[REs Address]
www.dot.ca.gov
[Date]
[Dist-EA]
[Dist-Co-Rte-PM]
[Contractors name]
[Contractors title]
[Address]
[City, State ZIP]

On [date of board of review meeting], the district convened a board of review meeting for the
purpose of reviewing the following claims:

[List claims referenced in the Board of Review Meeting Notification Letter]
Your absence at that meeting, an administrative procedure set forth in the contract as part of the Caltrans
claim process, has nullified those claims.
The final estimate is being issued as authorized by 9-1.17C, "Proposed Final Estimate," of the 2010 Standard
Specifications (Section 9-1.07B, Final Payment of Claims, of the 2006 Standard Specifications), in
accordance with the district directors final determination of claims sent to you on [date]. Payment in the
amount of [dollars] on claim numbers [1, 2, etc.] is included on the final estimate. This amount fully resolves
claim numbers [1, 2, etc.]. Enclosed is a copy of the final estimate.
The claims resolution process under the contract is now concluded.
Sincerely,
____________________________
Deputy District Director of Construction
Attachment

Disputes 5-4.31
Example 5-4.4. Sample District Director Determination of ClaimsMajor and Minor A Contracts
(1 of 2)
[REs Address]
www.dot.ca.gov

[Date]
[Dist-EA]
[Dist-Co-Rte-PM]
[Contractors name]
[Contractors title]
[Address]
[City, State ZIP]
Subject: Final Determination of Claims
District [district number] has reviewed the [number of exceptions] exceptions [claims] that
[contractors name] filed in response to the proposed final estimate. These exceptions total $ [amount].
On [date], [contractors employees names] of [contractors name] and District [district number] staff
met with the Board of Review and supported their positions on claims submitted to the Board of Review
as identified in the Review of Claims by Deputy District Director of Construction notification letter
dated [date]. The board of review subsequently issued its findings and recommendations and submitted
its report.
In addition, claim identified in Review of Claims by Deputy District Director of Construction

notification letter dated [date] as not benefiting from a Board of Review hearing have been separately
investigated by district personnel and referred to me within the construction claim findings. Having
considered the information submitted to me, I have made the following determination, in accordance
with the authority vested in me under provisions of the contract:
Claim No. X Claim Description $[Amount Claimed]

1. That.
2. That.
3. Etc.

5-4.32 Disputes
Example 5-4.4. Sample District Director Determination of ClaimsMajor and Minor A Contracts
(2 of 2)
[Contractors name]
[Date]
Page 2 of 2
Claim No. Y Claim Description $[Amount Claimed]

1. That.
2. That.
3. Etc.
Summary
The payment of each of the various claims is summarized as follows:
Claim No. Description $ Amount Claimed $ Amount Paid

X $ [Amount] $ [Amount]
Y $ [Amount] $ [Amount]
TOTAL $ [SUM] $ [SUM]
This concludes Caltrans administration of the claims process. The district will process the final estimate in
accordance with this Final Determination of Claims.
If you wish to pursue this matter further, arbitration is available, as provided in Section 9-1.22, "Arbitration,"
of the 2010 Standard Specifications. (Section 9-1.10, Arbitration, of the 2006 Standard Specifications). You
must file a complaint in arbitration within 90 days of receipt of this final decision at the following address:
Office of Administrative Hearings
Public Works Contract Arbitration Program
2349 Gateway Oaks Drive, Suite 200
Sacramento, CA 95833-4231
The copy of your complaint also must be served on the following:

Department of Transportation
Chief Counsel, Legal Division
1120 N Street MS 57
Sacramento, CA 95812
Sincerely,
_______________________
District Director - District XX
cc: District construction file


Disputes 5-4.33
Example 5-4.5. Sample Claim Settlement Request Memorandum (1 of 4)
State of California Business, Transportation and Housing Agency
Memorandum Flex your power!

Be energy efficient!
To: [Name] Date: [mm/dd/20xx]
[Title]
DEPUTY DIRECTOR File: [District-EA]
DISTRICT DIRECTORS [District, County-Road, Post Marker]
DIVISION CHIEFS
From: [Name]
District [XX] Director
Subject: CLAIM SETTLEMENT REQUEST

Confidential Attorney-Client Communication
Offer prepared at the direction of and in consultation with the Legal Division
As authorized by Public Contract Code Section 9201, District [XX] of the Department of Transportation requests your
confirming signature of approval to settle all contract claims on this project submitted by [contractors name] (contractor)
and its subcontractors. The district seeks authorization to pay the contractor a total of [$$$,$$$.$$] to settle all outstanding
claims. The following facts summarize the districts [or Board of Reviews] recommendation that paying this amount to
settle all claims will best serve the interest of the state.
Project Description
[Include information such as brief description of the project, contractors name, bid amount, and proposed final estimate
amount.]
Chronology
Event Date
Advertisement date [mm/dd/20xx]
Bid opening date [mm/dd/20xx]
Contract award date [mm/dd/20xx]
Contract approval date [mm/dd/20xx]
First working day (date and working day number) [mm/dd/20xx]
Date contractor began work [mm/dd/20xx]
Working days specified (number of days) [mm/dd/20xx]
Computed completion date (date and working day number) [mm/dd/20xx]
Change order time adjustment (number of days) [mm/dd/20xx]
Nonworking days (number of days) [mm/dd/20xx]
Working days not worked on controlling operation (number of days) [mm/dd/20xx]
Extended date for completion (date and working day number) [mm/dd/20xx]
Project completion date [mm/dd/20xx]
Construction contract acceptance (CCA) date [mm/dd/20xx]
Overrun in contract time (number of working and calendar days) [mm/dd/20xx]
Date Proposed Final Estimate (PFE) was issued [mm/dd/20xx]
Date contractors exceptions to PFE were received [mm/dd/20xx]

5-4.34 Disputes
Claims Settlement Request CONFIDENTIALDO NOT DISTRIBUTE Page 2 of 4

Contract #
Time Extension Summary

Event Calendar Days
Working (calendar) days specified [XXX]
Time extension granted for change orders [XXX]
Time extension granted for Holidays [XXX]
Time extension granted for Contractor Requested Suspension [XXX]
Time extension granted for Entitlement Claims [XXX]
Time extension remaining in dispute [XXX]
Time extension for director days [XXX]
Description of Claims
On [mm/dd/20xx], the contractor submitted # exceptions to the proposed final estimate for a total amount of
[$$$,$$$.$$].
The contractor describes each claim as follows:
[Describe what happened to initiate the claim. Describe the location, the persons, and the events that led to
the claim. Discuss the Departments responsibility, any partial resolution of the claim, and the change order
issued to partially resolve the claim. Discuss the remaining value of the claim.]
Summary of Claims
The district has concluded its entitlement analysis of the claims and determined that the contractor is entitled
to additional compensation for the claims summarized below:
Original Unresolved District / BOR
Claimed Claimed Recommended
Claim # Description $ Amount $ Amount $ Amount
Prime Contractor Claims
X Extra work [$$,$$$.$$] [$$,$$$.$$] [$$,$$$.$$]
X Late payment [$$,$$$.$$] [$$,$$$.$$] [$$,$$$.$$]
X Extended field office overhead [$$,$$$.$$] [$$,$$$.$$] [$$,$$$.$$]
X Extended home office overhead [$$,$$$.$$] [$$,$$$.$$] [$$,$$$.$$]
Subcontractor Claims
X Subcontractor underpayment [$$,$$$.$$] [$$,$$$.$$] [$$,$$$.$$]
Subtotal [$$,$$$.$$] [$$,$$$.$$] [$$,$$$.$$]
Interest [$$,$$$.$$] [$$,$$$.$$] [$$,$$$.$$]
Total [$$,$$$.$$] [$$,$$$.$$] [$$,$$$.$$]


Disputes 5-4.35

Contract #
Entitlement and Settlement Justification

The following justifies entitlement and settlement of the previously described claims.
[Discuss items such as the following to justify entitlement or settlement of the various claims.]
Disputed project features include . . .
Impacted construction operations include . . .
During construction many contractual changes and additions took place . . .
During construction the following unanticipated events and conditions were encountered . . .
The above-described changes and problems caused the following impacts: . . .
The general nature of this work was different because . . .
A significant amount of delay in completion of the project was experienced because . . .
The contractors direct costs increased because . . .
The contractors overhead costs increased because . . .
These disputes should be resolved because of the following entitlement contract provisions: . . .
These disputes should be settled because . . .
[Discuss the total claims amount, interest, and costs as a whole. Summarize each claim as shown below.]
Claim Entitlement Settlement Interest Line Total
# Description $ Amount $ Amount $ Amount $ Amount
X Extra work [$$,$$$.$$] [$$,$$$.$$] [$$,$$$.$$] [$$,$$$.$$]
X Late payment [$$,$$$.$$] [$$,$$$.$$] [$$,$$$.$$] [$$,$$$.$$]
X Extended field office overhead [$$,$$$.$$] [$$,$$$.$$] [$$,$$$.$$] [$$,$$$.$$]
X Extended home office overhead [$$,$$$.$$] [$$,$$$.$$] [$$,$$$.$$] [$$,$$$.$$]
X Subcontractor underpayment [$$,$$$.$$] [$$,$$$.$$] [$$,$$$.$$] [$$,$$$.$$]
Totals [$$,$$$.$$] [$$,$$$.$$] [$$,$$$.$$] [$$,$$$.$$]
Funding Status
[Discuss the total cost of the contract to date, the source of funding, and whether available funds are adequate
to pay for the settlement of the claims or if supplemental funds need to be secured.]
[Discuss projects funding, remaining contingency balance, zeroed out bid items and change orders.]
[If supplemental funds are to be secured, address the process that will be used to obtain the funds, that is, G-
11, G-12, SFR-CTC vote, or funds from local partners. Estimate when the funds would become available.]
Consequences of Not Settling
[State the risk exposure to the Department if certain claims are not settled and the contractor decides to file
for arbitration. Make a reference to the legal, expert witness and engineering support costs that would be
expended to defend the Department in the arbitration proceedings.]
Recommendation
[State the districts recommendation for resolution of these construction claims.]


5-4.36 Disputes

Contract #
[Refer to Table 5-4.2, Delegation of Authority.]

Prepared by:
and
[Name] Date [Name] Date
Chair, Board of Review Assistant Chief Counsel
[or District Claims Engineer] Legal DivisionContracts
Recommended by:

Deputy District Director, Construction Field Coordinator
District [XX] Division of Construction

District Director Chief
District [XX] Division of Construction
[when amount is >$1million, otherwise delete] [when amount is >$1million, otherwise delete]
Approved by:

Chief Deputy Director
Division of Construction Project Delivery
[when amount is $1million, otherwise delete] [when amount is >$1million, otherwise delete]


Disputes 5-4.37
Example 5-4.6. Sample Audit Request Memorandum
State of California Business, Transportation and Housing Agency

Memorandum Flex your power!

Be energy efficient!
To: [Name], CHIEF Date: [mm/dd/20xx]
File: [Optional
From: [Name], CHIEF

Office of Contract Administration
Subject: REQUEST FOR STATE AUDIT
The contractor, [name] returned exceptions to the proposed final estimate, dated [date], and specified
[overhead, escalated cost, or impacted item work] claims due to a state-directed suspension as shown
on the attached summary of delay related claims. The contractor was permitted to work on non-
controlling items of work during the period of suspension. Caltrans directed the suspension for a
redesign of most of the project.
Project work involved the removal and replacement of concrete pavement with fast-setting hydraulic
cement concrete.
It is requested that Caltrans audit determine if additional compensation for overhead and escalated
costs is owed to the contractor for this project. The justification for this request is as follows:
Contract time was extended by the suspension by more than 15 percent

The contractor worked an additional season (as evidenced by the effect on the scheduled
completion date) due to the suspension.
The district contact for project information will be [name], [resident engineer or claims engineer], at
[telephone number].
Attached is an independent certified public accountant audit report, submitted by the contractor in
conformance with Section 9-1.17C, "Proposed Final Estimate" of the 2010 Standard Specifications
(Section 9-1.07B, Final Payment of Claims, of the 2006 Standard Specifications). Summary of
delay related claims, general contract information, and the delay related chronology of the project is
also attached. The Division of Construction field coordinator has included a signature of concurrence
with this request as shown below.
___________________________ ___________________________
[Name], Field Coordinator [Name], Deputy District Director
Division of Construction Construction


5-4.38 Disputes
Example 5-4.7. Sample Summary of Delay-Related Claims
Contract No.
Contractor
Claim Claim Description Amount District

No. Claimed Analysis
(A) (B)
Delay Claims
3 Field Office Overhead $22,011.06 $0.00
4 Home Office Overhead $11,655.88 $0.00
5 Labor Cost Increases $5,987.00 $0.00
6 Material Cost Increases $7,685.00 $7,685.00
7 Material Storage Costs $3,877.00 $0.00
Impacted/Unproductive Item Work

8 Item #4 - Traffic Control $8,012.98 $0.00
9 Item #9 - Roadway Excavation $4,409.76 $4,409.76
Subcontractor Claims
12 WWW Fence Co. Material Costs $9,894.03 $9,894.03
13 Electrical Experts, Inc. Labor Cost Increases $2,288.09 $0.00
TOTALS $75,820.80 $21,988.79
(A) Amounts claimed are those indicated by contractor.

(B) Amounts which district staff can research and analyze for possible entitlement.
(C) Amounts should be audited for possible entitlement.

Disputes 5-4.39
Example 5-4.8. Sample General Contract Information and Contract Chronology
GENERAL CONTRACT INFORMATION
The bridge work to be done consists, in general, of constructing earthquake retrofit modifications on the
following bridges as shown on the project plans and briefly described below:
Bridge Description and Bridge Numbers

New CIDH piles with connecting pile extensions and anchor heads constructed at every fourth bent (148
new piles), and 3,520 composite column casings installed on existing pile extensions.
The bid amount was: $ 4,899,362.00

The final cost was: $ 5,204,479.07
The proposed final estimate (PFE) was mailed to the contractor on September 28, 2012 and was returned
with exceptions on October 25, 2012. The total amount claimed was $1,636,903.82.
CHRONOLOGY
CALENDAR WORKING NO. OF
EVENT DATE DAY NO. DAYS
Contract Approved 10/4/2010
Working Day Begin 10/19/2010 402
Begin Work 6/21/2012 556
Working Days Specified or Bid 180
CO Days Extension 0
Other Days Extension 4
Non-working Days
Weather 89
Suspension Days 210
Extended Completion Date 9/24/2012 885
Work Completed 8/22/2012 863
Contract Accepted 8/24/2012 865
Contract Overran 0 Working Days ( 0 Calendar Days)

5-4.40 Disputes
Example 5-4.9. Sample Construction Claim Findings (1 of 9)
CENTRAL REGION
05-123454
05-Scr-1-17.5/26.0
CONSTRUCTION CLAIM FINDINGS
FOR PROJECT IN DISTRICT 5
ON STATE ROUTE 1
LOCATED IN
SANTA CRUZ COUNTY IN AND

NEAR SANTA CRUZ AT VARIOUS LOCATIONS FROM SAN LORENZO BRIDGE
TO LAGUNA ROAD
March 26, 2013
Applicable Standard Specifications 2010 Edition

Applicable Standard Plans 2010 Edition
CONTRACTOR Contractors Corporate Identification
RESIDENT ENGINEER Name
STRUCTURE REPRESENTATIVE Name
CONSTRUCTION ENGINEER Name
BRIDGE CONSTRUCTION ENGINEER Name
CONSTRUCTION MANAGER Name
DISTRICT CLAIMS ENGINEER Name
BOR CHAIRPERSON Name
BOR MEMBER Name
BOR MEMBER Name
DEPUTY DISTRICT DIRECTOR OF CONSTRUCTION Name

Disputes 5-4.41
TABLE OF CONTENTS
Project Chronology .......................................................................................................................................................... 3
General Information ......................................................................................................................................................... 4
Summary of Claims ......................................................................................................................................................... 4
Non-Administrative Claims:
Claim #1 PCC Pavement Grinding Claim (ID #46) ......................................................................................... 4
Background ........................................................................................................................................................ 6
Applicable Specifications.................................................................................................................................. 6
Notification of Claim......................................................................................................................................... 6
Contractors Position ......................................................................................................................................... 6
Districts Position............................................................................................................................................... 6
Findings .............................................................................................................................................................. 8
Claim #2 Differing Site Condition Claim - CIDH Piling at San Lorenzo Bridge (ID #34) .............................
Background ..........................................................................................................................................................
Applicable Specifications....................................................................................................................................
Notification of Claim...........................................................................................................................................
Contractors Position ...........................................................................................................................................
Districts Position.................................................................................................................................................
Board of Review Findings ..................................................................................................................................
Administrative Claims:
Claim #3 ...................................................................................................... Item 27Reconstruct Fence11.6M
Background ..........................................................................................................................................................
Findings ................................................................................................................................................................
Claim #4 .............................................................................................. Item 124Rock Slope Protection10M3
Background ..........................................................................................................................................................
Findings ................................................................................................................................................................
Claim #5 ....................................................................................................................... CO #11DEWRs 6 and 8
Background ..........................................................................................................................................................
Findings ................................................................................................................................................................
Summary of Resolved Claims...........................................................................................................................................
Signatures............................................................................................................................................................................
Exhibits ...............................................................................................................................................................................

5-4.42 Disputes
Claim #1PCC Pavement Grinding Claim (ID #46) Exhibits

Exhibit 1 Contractors RFI ...........................................................................................................................1 Sheet
Exhibit 2 Resident Engineers Letter ......................................................................................................... 2 Sheets
Exhibit 3 Contractors Initial Potential Claim Record................................................................................1 Sheet
Exhibit 4 Contractors Supplemental Potential Claim Record ................................................................ 2 Sheets
Exhibit 5 Resident Engineers Response................................................................................................... 2 Sheets
Exhibit 6 Contractors Full and Final Potential Claim Record .............................................................. 10 Sheets
Exhibit 8 Contractors DRB Position Paper.............................................................................................. 8 Sheets
Exhibit 9 Districts DRB Position Paper ................................................................................................... 7 Sheets
Exhibit 10 DRBs Recommendation ........................................................................................................... 5 Sheets
Exhibit 11 Contractors Response to DRB Recommendation.....................................................................1 Sheet
Exhibit 12 Resident Engineers Response to DRB Recommendation ........................................................1 Sheet
Exhibit 13 Specification Excerpts ................................................................................................................ 2 Sheets
Exhibit 14 Plan Sheet Excerpts .................................................................................................................... 3 Sheets
Exhibit 15 Resident Engineers Photographs .............................................................................................. 3 Sheets
Exhibit 16 Diaries.......................................................................................................................................... 9 Sheets
Claim #2Differing Site Condition ClaimCIDH Piling at San Lorenzo Bridge (ID #34) Exhibits
Exhibit 1 Contractors Differing Site RFI ...................................................................................................1 Sheet
Exhibit 2 Resident Engineers Determination Letter................................................................................ 2 Sheets
Exhibit 3 Contractors Initial Potential Claim Record .................................... ...1 Sheet
Exhibit 4 Contractors Supplemental Potential Claim Record ................................................................ 2 Sheets
Exhibit 6 Contractors Full and Final Potential Claim Record ................................................................ 5 Sheets
Exhibit 8 Contractors DRB Position Paper.............................................................................................. 8 Sheets
Exhibit 9 Districts DRB Position Paper ................................................................................................... 7 Sheets
Exhibit 10 DRBs Recommendation ........................................................................................................... 5 Sheets
Exhibit 11 Contractors Response to DRB Recommendation.....................................................................1 Sheet
Exhibit 12 Resident Engineers Response to DRB Recommendation........................................................1 Sheet
Exhibit 13 Materials Information Handout ................................................................................................. 9 Sheets
Exhibit 14 Log of Test Borings .................................................................................................................... 2 Sheets
Exhibit 15 Resident Engineers Photographs .............................................................................................. 3 Sheets
Exhibit 16 Diaries.......................................................................................................................................... 9 Sheets
Exhibit 17 Contractors Basis for Changed Amount of Compensation ......................................................1 Sheet
Exhibit 18 Board of Review Report ............................................................................................................ 9 Sheets

Disputes 5-4.43
Claim #3 Item 27Reconstruct FenceExhibits

Exhibit 1 Contractors Written Statement of Claim for Item 27.............................................................. 2 Sheets
Exhibit 2 Resident Engineers Response Letter..........................................................................................1 Sheet
Claim #4 Item 124Rock Slope ProtectionExhibits
Exhibit 1 Contractors Written Statement of Claim for Item 124..............................................................1 Sheet
Exhibit 2 Resident Engineers Response Letter..........................................................................................1 Sheet
Claim #5 CO #11DEWRs 6 and 8Exhibits
Exhibit 1 Contractors Written Statement of Claim for CO #11-DEWRs 6 and 8 ................................... Sheet
Exhibit 2 CO #11 - DEWR 6 .......................................................................................................................1 Sheet
Exhibit 3 CO #11 DEWR 8 ......................................................................................................................1 Sheet
Exhibit 4 Resident Engineers Response Letter........................................................................................ 2 Sheets

5-4.44 Disputes
PROJECT CHRONOLOGY
WORKING NO. OF
EVENT DATE DAY NO. DAYS
Advertisement date 02/15/2011
Bid opening date 05/25/2011
Contract award date 06/27/2011
Contract approval date 07/18/2011
First working day 08/02/2011 599
Begin work 08/03/2011 600
Working days specified 300
Computed completion date 10/17/2012 901
ContracChange order time adjustment 8
Non-working days 6
Suspension days 14
Working days that contractor did not work on the controlling operation 11
Extended date for completion 12/14/2012 940
Date work completed 12/06/2012 934
Contract acceptance date 12/06/2012 934
Overrun in contract time 0 working days (= 0 calendar days)
GENERAL INFORMATION
This project consisted of constructing a cast-in-place, prestressed, concrete box girder bridge supported on
cast-in-drilled-hole concrete piling. Also, existing highway 1 was realigned with portland cement concrete
pavement over aggregate base over imported borrow.
The bid amount was $12,654,308.00. The proposed final estimate was $13,013,459.85.
The proposed final estimate was mailed to the contractor on January 14, 2013, and was returned with five (5)
exceptions on February 12, 2013. The total amount of the exceptions is $48,302.62.
SUMMARY OF CLAIMS
Claimed Recommended Remaining
Claim ID No./Title Amount Payment Amount
1 (ID #46) PCC Pavement Grinding Claim $ 25,209.00 $ 0.00 $ 25,209.00
2 (ID #34) Differing Site Condition Claim 18,482.00 0.00 18,482.00
3 Item 27 Reconstruct Fence 11.6M 2,030.00 0.00 2,030.00
4 Item 124 Rock Slope Protection 10M3 1,925.00 1,925.00 0.00
5 CO #11 DEWRs 6 and 8 656.62 314.67 341.95
Total Claim Amounts $ 48,302.62 $ 2,239.67 $ 46,062.95

Disputes 5-4.45
NON-ADMINISTRATIVE CLAIMS:
CLAIM #1 PCC PAVEMENT GRINDING CLAIM (ID #46) $25,209.00
Background [Use background from resident engineers response to full and final documentation of potential
claim in conjunction with guidelines in Section 5-413A(8), Description of the Claim, of the Construction
Manual.]
Section 10-1.01, Order of Work, of the special provisions and Sheet SC-1 of the project plans require the
contractor to construct this project in multiple stages and describe PCC pavement of variable widths and
orientations relative to the lane lines.
On March 8, 2012, the contractor completed profilographing the PCC pavement surface from stationing 10 +
240 to 12 + 010 and found that multiple areas exceeded the profile index requirements of Section
40-1.01D(13)(d), Concrete Pavement Smoothness, of the Standard Specifications. The contractor proposed
that a change order be executed to modify the profile index requirements (see Exhibit 1) by a request for
information (RFI) on March 9, 2012. The resident engineer required the contractor to remedy the deficient
areas to conform to the final finishing requirements (see Exhibit 2). The contractor submitted an initial
potential claim record on March 14, 2012 (see Exhibit 3) followed by a supplemental potential claim record
(see Exhibit 4). The resident engineer provided a response to the supplemental potential claim record finding
no merit in the contractors potential claim (see Exhibit 5).
The contractor referred this dispute issue to the dispute review board. The dispute review board heard the
subject of this claim and issued a unanimous recommendation on June 14, 2012 in Caltrans favor (see Exhibit
10).
This issue was not heard by a board of review.
Applicable Specifications
Special provisions: Section 10-1.01, Order of Work (see Exhibit 13)
Standard Specifications: Section 40-1.01D(9), Concrete Pavement
Smoothness
Section 40-1.01D(13)(d), Concrete Pavement
Smoothness (see Exhibit 13)
Notification of Claim
Date of RFI: March 9, 2012 (see Exhibit 2)
Initial Potential Claim Record: March 14, 2012 (see Exhibit 3)
Supplemental Potential Claim Record: March 29, 2012 (see Exhibit 4)
Full and Final Potential Claim Record: May 31, 2012 (see Exhibit 6)
Notification was timely?: Yes
Contractors Position [Use the contractors potential claim submittals in conjunction with guidelines in
Section 5-413A (9), Contractors Position, of the Construction Manual.]
Exhibits 1, 3, 4, 6, 8, and 11 are documents in which the contractor has stated their position on this dispute.
These exhibits provide the contractors consistent basis for claim in this matter. The contractors detailed
position in this matter is taken verbatim from their supplemental potential claim record dated March 29, 2012:

5-4.46 Disputes
We should be compensated for the additional cost of grinding the PCC pavement between stationing 10+240 and
12+010. Because of the staging requirements that provide necessary traffic handling throughout the contracts duration,
we were required to utilize a variety of construction methods in constructing the PCC pavement that consisted of
variable widths and orientations. This non-standard construction has caused numerous irregularities in the finished
surface of the PCC pavement. It is obvious that the profile index requirements Section 40-1.01D(13)(d), Concrete
Pavement Smoothness, of the Standard Specifications did not contemplate such constraints as experienced on this
contract. It is therefore unreasonable for us to absorb the grinding costs in obtaining the profile index demanded by the
State.
Districts Position [Use the resident engineers responses in conjunction with guidelines in Section 5-413A (10),
Districts Position, of the Construction Manual.]
The districts position in this matter is stated in exhibits 2, 5, 7, and 9. The following compilation provides the districts
position on this issue:
The contractors claim for additional compensation associated with grinding of PCC pavement to meet the profile
index requirements Section 40-1.01D(13)(d), Concrete Pavement Smoothness, of the Standard Specifications is
without merit. The contractor has stated that the staging requirements of the contract in conjunction with construction
of PCC pavement in variable widths and orientations created the non-compliant profile index of the finished surfaces in
question. District maintains that the primary cause leading to the remedial grinding of PCC pavement was due to the
contractors lack of quality control in placing PCC pavement.
The contract specified the staging requirements within Section 10-1.01, Order of Work, of the special provisions and
on the Sheet SC-1 of the Project Plans. While the staging requirements of this contract may have influenced the
contractors means and methods utilized in constructing the PCC pavement, these constraints were not unknown at
time of bid and were not changed during the course of the contract. In addition, the contractors own profilographs
show many areas where PCC pavement surfaces were produced within the profile index requirements and that many of
these areas involved pavement of variable widths along multiple orientations. These results along with satisfactory
results from other contracts with similar constraints and construction methods verify that profile index requirements can
be met without remedial grinding if proper care is taken during the placement operations. The contractor was informed
of these facts by the resident engineer on multiple occasions as evidenced in exhibits 2, 5, and 7.
Profile index requirements on finished PCC pavement surfaces are contractually defined Section 40-1.01D(13)(d),
Concrete Pavement Smoothness, of the Standard Specifications. The contractors argument that these requirements
should not be applied to the PCC pavement for this contract is without merit. The department has consistently utilized the
profile index requirements on finished PCC pavement surfaces constructed in stages. The only exception to this practice
is when portions of the existing pavement are to remain in the finished contract. In such cases, the department will
contractually exclude those areas and related transitions from the profile index requirements. On this contract there is no
existing PCC pavement that remained in the final PCC pavement from stationing 10 + 240 to 12 + 010.
In summary, the remedial grinding of PCC pavement performed by the contractor to meet the contractual profile index
requirements is due to the contractors own means and methods utilized in constructing said pavement. Had the
contractor exercised additional quality control during placement of the PCC pavement, the need for remedial grinding
would have been significantly reduced or eliminated in its entirety. The contract payments made per cubic meter for
PCC pavement constitute full payment for pavement meeting all contract requirements including profile index
requirements. The contractors claim in this matter is without merit.

Disputes 5-4.47
Findings and Recommendations

That the contract details the PCC pavement work to be performed including staging requirements shown
on project plan sheet SC-1 and as specified in Section 10-1.01, Order of Work, of the special provisions.
That the contractor constructed PCC pavement between stationing 10+240 and 12+010 between the dates
of September 12, 2011 and March 5, 2012.
That this PCC pavement was constructed in multiple stages of variable widths and multiple orientations
relative to the lane lines.
That the contractor profilographed the completed PCC pavement surfaces on March 8, 2012.
Section 40-1.01D(13)(d), Concrete Pavement Smoothness, of the Standard Specifications.
That the contractor requested a change order on March 9, 2012 to modify profile index requirements for
the PCC pavement.
That on March 13, 2012 the resident engineer denied the contractors request for a change order to modify
the profile index requirements for the PCC pavement and requested the contractor provide details for how
the non-compliant areas of the PCC pavement would be remedied.
That on March 14, 2012 the contractor submitted an initial potential claim record for grinding PCC
pavement along with a proposal for remedial work.
That on March 16, 2012 the resident engineer accepted the contractors proposal for correcting the non-
compliant PCC pavement.
That the grinding of PCC pavement areas to meet profile index requirements occurred between the dates
of April 2, 2012 and April 4, 2012.
That the contractor submitted each potential claim document in conformance with timeframes specified in
the contract.
That the contractor submitted this dispute as an exception to the proposed final estimate within the
contractual timeframe specified in the contract.
That the contractor requested $25,209.00 for this claim issue which corresponds to the full and final
documentation of potential claim.
That the resident engineers letter dated March 13, 2012 and resident engineers responses to the
supplemental notice of potential claim and full and final documentation of potential claim correctly
reference the contract requirements with respect to final finishing surface requirements (profile index) of
the PCC pavement Section 40-1.01D(13)(d), Concrete Pavement Smoothness, of the Standard
Specifications.
That Section 40-1.01D(13)(d), Concrete Pavement Smoothness, of the Standard Specifications provides
the payment provisions for PCC pavement, which includes full compensation for doing all the work
involved in constructing the PCC pavement, complete in place, as shown on the plans, and as specified in
the specifications. That the contractors means and methods utilized in constructing the PCC pavement
were the cause for the non-compliant finished surfaces of PCC pavement.
That the contractor was capable of meeting the required finish surface requirements as demonstrated at
other locations with similar geometric constraints that met the required profile index.
That additional quality control on the contractors part would have reduced or eliminated the need for
remedial grinding of PCC pavement surfaces.
That remedial costs associated with grinding PCC pavement surfaces to meet required profile index
requirements specified in the contract are to be borne by the contractor in their entirety.
That the contractor has been properly paid through bid item payments and no further compensation is due.
That it is recommended the claim be denied.

5-4.48 Disputes
SUMMARY OF RESOLVED CLAIMS

Claim No. Title Amount Claimed Recommended Payment
1 (ID #46) PCC Pavement Grinding Claim $25,209.00 Unresolved
2 (ID #34) Differing Site Condition Claim $18,482.00 Unresolved
3 Item 27 Reconstruct Fence 11.6M $ 2,030.00 $ 0.00
4 Item 124 Rock Slope Protection 10M3 $ 1,925.00 $ 1,925.00
5 CO #11 DEWRs 6 & 8 $ 656.62 $ 314.67
SIGNATURES
Respectfully submitted,
____________________________________________________
[DISTRICT CONSTRUCTION CLAIMS ENGINEERS NAME]
Claims Engineer
Findings Approved,
_________________________________________________________________
[DEPUTY DISTRICT DIRECTOR OF CONSTRUCTIONS NAME]
Deputy District Director, Construction

Disputes 5-4.49
Example 5-4.10. Sample Claim Checklist (1 of 2)
Identification Number________________________________________________
Title______________________________________________________________
Notification Details
Date Date On Time Amount Claimed

Written notice/protest _________ Yes__ No__ $_____________
Initial NOPC _________ Yes__ No__ $_____________
Supplemental NOPC _________ Yes__ No__ $_____________
Full and Final Doc _________ Yes__ No__ $_____________
State Response
Date Merit On time
To Supplemental Yes No Yes No
Comments _______________________________________________________
Date Merit On time

To Full and Final Yes No Yes No
Doc Comments _______________________________________________________
Background
Contractor Position
District Position
5-4.56 Disputes
DRB Information [if applicable]
DRB held Yes___ No___ Date
DRB Recommendation in favor of: State___ Contractor___
DRB Accepted by: State: Yes___ No___ Contractor: Yes___ No___
Payment detail CCO No. Amount
Comments________________________________________________________________________________
_________________________________________________________________________________________
_________________________________________________________________________________________
_________________________________________________________________________________________

5-4.50 Disputes
Example 5-4.10. Sample Claim Checklist (2 of 2)
Exhibits x = included
Contractors exceptions to PFE ____
Written notice or protest ____
Initial NOPC (6201 A) ____
Supplemental NOPC (6201 B) ____
Full & Final Documentation (6201 C) ____
State response ____
To Supplemental NOPC ____
To Full and Final Documentation ____
Other correspondence ____
Dispute Review Board ____
State position paper ____
Contractor position paper ____
DRB recommendation ____
Diaries ____
Resident Engineer ____
Assistant ____
Plan sheets ____
Specifications ____
Contract Change Orders ____
Photographs ____
Calculations & analysis ____
Weekly Statement of Working Days ____
CPM Schedules ____
Other (list)

Disputes 5-4.51
Table 5-4.1. Required Post Acceptance Event Codes and Dates
Event
Definition Applicable Date
Code
Use the date that the arbiters decision
ACD Arbitration Case Determination
(determination) is made.
Use the date that the contractor filed his complaint

ACF Arbitration Case Filed
with the Office of Administrative Hearing.
Use the first hearing date that the parties meet with
ACH Arbitration Case Hearing
the arbitrator to present the facts of the case.
Use the date that the ACP was deposited in the U.S.
ACP Arbitration Case Payment Processed Postal Service or that the ACP was hand-delivered to
the contractor.
Use the issuance date of the board of review

BORR Board of Review Recommendation
recommendation report.
District Claim Settlement Memorandum Sent to Use the date that the district sent the memorandum
DCS
Headquarters Construction to Headquarters Construction.
Use the date that the district sent the final district
DDD District Director Determination Sent to Contractor director determination of claims letter to the
contractor; regardless of who signed the letter.
Review of Claims by the Deputy District Director Use the date that the district sent the letter to the
DDS
of Construction Sent to the Contractor contractor.
Input the date that all district expenditures were

DED District Expenditures Done
completed.
Proposed Final Estimate Returned with Use the date that the contractor returned the PFE
Administrative Exceptions, Including Item Work designated by the earliest date stamp by the mail
PFEAE
Exceptions, CCO Work, and Extra Work Bill room or resident engineer. Internal routing time is not
Exceptions considered in this event date code.
Use the date that the contractor returned the PFE

designated by the earliest date stamp by the mail
PFEC Proposed Final Estimate Returned with Claims
room or resident engineer. Internal routing time is not
considered in this event date code.
Use the date that the contractor returned the PFE

Proposed Final Estimate Returned without designated by the earliest date stamp by the mail
PFENE
Claims and Administrative Exceptions. room or resident engineer. Internal routing time is not
considered in this event date code.
Use the date that the contractor received the

PFER Proposed Final Estimate Received
proposed final estimate.
Use the date that the contractor is sent the proposed

PFES Proposed Final Estimate Sent to the Contractor
final estimate by certified mail.

5-4.52 Disputes
Table 5-4.2. Delegation of Authority (1 of 4)
Claims Resolution
Period Item(s) Entitlement Authority1
Before issuance Notices, protests,

Authority to approve change orders resolving entitlement may be delegated under
of the proposed and potential 2
the authority to approve change orders .
final estimate claims
Authority to approve change orders resolving entitlement may be delegated under

the authority to approve change orders2.
From return of the For change orders subject to district approval:
proposed final
estimate Deputy district director of construction approves. Authority may be delegated to
construction managers, but not to construction engineers.
Send copy to the Division of Construction change order engineer.
Claims (Overhead claims3)
For change orders subject to Division of Construction approval:

To deputy district Deputy district director of construction signs under submitted by on change
director of order memorandum4.
constructions
letter Division of Construction field coordinator provides signature of approval on
change order memorandum4.
(Overhead claims3)
Approvals of change orders resolving entitlement are subject to the district directors
determination and the delegation of authority for change orders2.
From deputy For change orders subject to district approval:

district director of Deputy district director of construction approves. Authority may be delegated to
constructions construction managers, but not to construction engineers.
letter Send copy to the Division of Construction change order engineer.
(Overhead claims3)
Claims
For change orders subject to Division of Construction approval:
Deputy district director of construction signs under submitted by on change
To District Director order memorandum4.
Determination of Division of Construction field coordinator signs recommending approval on
Claims change order memorandum4.
Division of Construction chief signs approval on change order memorandum .
4
(Overhead claims3)

Disputes 5-4.53
Claims Resolution
Period Item(s) Negotiated Settlement Authority6
Approval authority and responsibilities for a confidential claim settlement request depend
on the settlement amount, as folllows2,7,11:
Settlement Responsible Party Action

$1.0M District, in consultation with Prepares request8
From start of work the Legal Division
Deputy district director of Recommends approval
construction
Deputy district director of Submits request for approval4
construction
Division of Construction field Recommends approval
Notices, protests, coordinator
claims, and potential Division of Construction chief Approves
claims
> $1.0M District, in consultation with Prepares request8
the Legal Division
To deputy district Deputy district director of Recommends approval
director of construction
constructions letter District director Recommends approval9
District director Submits request for approval
coordinator
Division of Construction chief Recommends approval
Project Delivery deputy director Approves
Approval authority and responsibilities for a confidential claim settlement request depend
on the settlement amount, as folllows2,7,11:

From deputy district $1.0M District, in consultation with Prepares request8
director of the Legal Division
constructions letter Deputy district director of Recommends approval
construction
Deputy district director of Submits request for approval9,10
construction
coordinator
Claims Division of Construction chief Approves
> $1.0M District, in consultation with Prepares request8

the Legal Division
To District Director construction
Determination of District director Recommends approval
Claims10 District director Submits request for approval9,10
coordinator
Division of Construction chief Recommends approval

5-4.54 Disputes
Arbitration
Period Item(s) Negotiated Settlement Authority12
Approval authority and responsibilities for the confidential Request for Settlement
Authority memorandum resolving claims in arbitration depend on the settlement
amount, as folllows13:

$1.0M Legal Division14 Prepares request
From filing of
arbitration Legal Division Recommends approval
Legal Division Submits request for approval
construction
Division of Construction field Recommends approval15
Request for coordinator
settlement Division of Construction chief Approves
> $1.0M Legal Division14 Prepares request

Legal Division Recommends approval
Legal Division Submits request for approval
To arbitration Deputy district director of Recommends approval
hearing construction
coordinator
15
District director Recommends approval
Division of Construction chief Recommends approval15
Settlements Use negotiated settlement authority request for settlement item for the period
reached before the from filing of arbitration to arbitration hearing (above).
arbitrator issues a Division of Construction issues the change order and notifies the district to
decision process estimate.
Follow the same level of approval authority and memorandum preparation as for
Arbitrator issues a settlement shown above.
decision award to
Arbitration contractor District processes request for additional funding, if required.
The Division of Construction issues the change order and notifies the district to
process estimate.
Division of Construction establishes an accounts receivable with the Division of

Arbitrator issues a Accounting.
decision award to
Caltrans Division of Construction coordinates additional judicial remedies with the Legal
Division, if required.
Notes:
1.
Entitlementmerit, even partial, requiring compensation under Public Contract Code, section 10227 and
Section 3-403,"Changes and Extra Work," of this manual.
2.
Section 5-311, " Change Order Approval Process, of this manual.

Disputes 5-4.55
Notes (continued):
3.
Approval authority on change order memorandum for overhead entitlement:
Field office overhead: <$200K, Division of Constructions field coordinator
$200K to $1.0M, Division of Construction chief
>$1.0M, Project Delivery deputy director
Home office overhead: $1.0M, Division of Construction chief
>$1.0M, Project Delivery deputy director
4.
Revise the change order memorandum as appropriate.
5.
The District Director Determination (DDD) is Caltrans final written decision of the claims. After the DDD is
issued, no further discussion with the contractor regarding claims should occur.
6.
Negotiated Settlementaccording to Public Contract Code section 9201 and Section 5-406, "Claim
Settlements."
7.
Attach the change order and change order memorandum to the claim settlement request and submit it to the
Division of Construction. Attach form CEM-2702, "Overrun in Contract Time, to the claim settlement request
if recommending action related to time extensions, liquidated damages, or engineering and inspection costs.
The Division of Construction change order engineer will provide authorization or notify the district to
authorize approval. File the approved claim settlement request in the Division of Construction confidential
files. Destroy all drafts.
8.
The Division of Construction field coordinator, deputy district director of construction, Legal Division
representative, Division of Construction chief, and FHWA transportation engineer meet to discuss the
settlement offer. If the offer is greater than $1.0M, the Project Delivery deputy director may also attend.
9.
The deputy district director of construction is responsible for obtaining FHWA concurrence with the
settlement on high-profile and non-delegated projects.
10.
The district, after obtaining approval from the Division of Construction field coordinator, negotiates the
settlement and submits the settlement request to the district director.
11.
The claim settlement request is the written decision of the claim. After the claim settlement request is
approved, no further discussion with the contractor regarding the settled claim should occur.
12.
Negotiated Settlementaccording to Public Contract Code section 9201 and Section 5-406, "Claim
Settlements."
13.
Attach form CEM-2702, "Overrun in Contract Time," to the claim settlement request if recommending action
related to time extensions, liquidated damages, or engineering and inspection costs.
14.
The Division of Construction field coordinator, deputy district director of construction, Legal Division
representative, Division of Construction chief, and FHWA transportation engineer meet to discuss the
settlement offer. If the offer is greater than $1million, the Division of Project Delivery deputy director may
also attend.
15.
The Division of Construction field coordinator is responsible for obtaining FHWA concurrence with the
settlement on high-profile and non-delegated project.

5-4.56 Disputes
Section 5 Emergency Contract Administration

5-501 General
5-502 Emergency Force Account Contracts
5-503 Specifications
5-504 Selection of Resident Engineer and Support Staff
5-505 Contractor Selection and Notification
5-506 Initial Stages of the Project
5-507 Tracking Costs
5-508 Prosecution of the Work
5-509 Functional Unit Support
5-510 Public Relations and Communication

Emergency Contract Administration 5-5.i
Emergency
Section 5 Emergency Contract Administration Contract
Administration
5-501 General 5-501
An emergency contract is a G-11 resolution that is authorized by a directors order. A General
directors order is a document that approves the use of special authority, delegated by
state law, to set aside normal contracting procedures so that Caltrans can quickly
initiate and complete emergency work sooner than can be done under normal
processes. The district maintenance unit has the responsibility to obtain a directors
order for emergency work. Directors orders may also be obtained to prevent the
imminent threat of catastrophic damage.
The Public Contract Code, Section 1102, defines an emergency as a sudden
unexpected occurrence that poses clear and imminent danger, requiring immediate
action to prevent or mitigate the loss or impairment of life, health, property, or essential
public services.
Currently, a district director can approve emergency contracts costing up to $270,000.
For emergency work exceeding this threshold amount, the director or delegated deputy
director has approval authority.
For guidelines on directors orders, supplemental directors orders, and supplemental
funds, refer to the Caltrans Division of Maintenance intranet site at:
http://onramp.dot.ca.gov/hq/maint/orway/ha23/index.htm
Deputy Directive 26, Use of Directors Orders, also covers directors orders.
A number of different types of emergency contracts exist. District construction division
is usually involved in emergency force account contracts and emergency informal bid
contracts. Emergency informal bid contracts occur once the initial disaster response is
accomplished. The district design unit will prepare plans and specifications for this
type of contract. For contract administration, follow the normal procedures outlined in
this manual.
This section provides guidelines to assist resident engineers in administering
emergency force account (EFA) and emergency limited bid (ELB) contracts. The EFA
& ELB Desk Guide is available to aid construction staff and is on the Division of
Construction, Office of Contract Administration intranet site:
http://projdel.dot.ca.gov/construction/contractmanagement/cpm/EFA_ELB_guidel
ines.pdf
5-502 Emergency Force Account Contracts 5-502
When time is of the essence to reopen a roadway or facility, or the need to prevent Emergency Force
imminent failure exists, a no-bid (sole-source) emergency contract is allowed when Account Contracts
covered by a directors order. The Division of AdministrationProcurement and
Contracts (DPAC) typically prepares and executes these service contracts. The resident
engineer becomes the contract manager on a force account contract once work begins.

Emergency Contract Administration 5-5.1
Form ADM-0366, Confirmation of Verbal Agreement for Rates and Conditions on
Emergency Force Account Highway Projects, is the document that allows the
contractor to begin work with verbal approval.
When using the form, which is limited to the highest level of emergency, the work
should begin within a day. For written prior approval, the emergency work should
begin within a few days of written approval. Do not permit the contractor to begin
work until the proper approvals have been obtained.
5-503 5-503 Specifications
Specifications The contract manager prior to the beginning of work will select the appropriate form
depending on the federal funding status and if the project is an EFA or ELB. In the
description portion of Form ADM-0366, add the following:
A brief description of the work and estimated total cost.
The location and limits of the work.
The business enterprise participation goals, if required.
The statement: All work will be paid for in accordance with Section 9-1.04
[9-1.03], Force Account, of the Caltrans Standard Specifications dated [year] as
amended by the attached provisions.
Contact DPAC for boilerplate contract and sample provisions on emergency force
account and emergency limited bid contracts.
5-504 5-504 Selection of Resident Engineer and Support Staff
Selection of Resident The construction engineer must establish adequate staffing levels to ensure control of
Engineer and work, testing, and documentation, and to ensure current contract files and fund
Support Staff expenditures. To put an individual in responsible charge at the site, the construction
engineer must also expeditiously assign a resident engineer.
When structure work is necessary, use personnel from the Office of Structure
Construction.
5-505 5-505 Contractor Selection and Notification
Contractor Selection District construction should appoint a construction engineer as contractor selection
and Notification coordinator. The district maintenance unit, contractor selection coordinator, and the
construction engineer should coordinate their efforts to select a contractor for an
emergency contract. The unit that selects, contacts, and notifies the contractor varies in
each district. Generally, Caltrans prefers that district construction handle these duties
because these divisions are most aware of local contractors varying capabilities. The
Division of Maintenance maintains a registry of contractors available for emergency
contracts.
When selecting a contractor for an emergency contract, consider factors such as the
following:
Availability of resources
Mobilization response time
Proven management abilities

5-5.2 Emergency Contract Administration
Current contractors license
Corporate cooperation
Some local contractors can be as responsive and effective as a larger firm, so for quick
emergency response, if the smaller firm is available and selecting that firm would
prevent delaying other ongoing Caltrans work, consider the smaller firm.
When resource conflicts occur between ongoing and emergency work, and the selected
contractor is the best for the emergency contract, district construction must determine
the best course of action.
To avoid work conflicts, generally keep to a minimum the number of contractors;
however, on large emergency contracts, multiple contractors may be necessary.
A representative from the Caltrans unit coordinating contractor selection will meet with
a representative from the selected contractor to sign Form ADM-0366. A senior-level
engineer or higher must also sign Form ADM-0366 when district construction
coordinates the selection of the contractor.
5-506 Initial Stages of the Project 5-506
A directors order may take several days to obtain. However, in severe emergencies it Initial Stages of
is possible for the district maintenance unit to obtain verbal approvals by telephone in the Project
less than a day from the director or delegated deputy director.
While the directors order is being obtained, representatives from the appropriate
district units and divisions, such as district construction, maintenance unit, design unit,
and environmental unit, should meet to discuss repair alternatives, cost estimates, and
anticipated work duration.
The estimated cost and duration should be realistic. To cover unexpected situations, it
is appropriate to place adequate cost and contingency time in the estimates.
During the initial meeting with the contractor, the resident engineer should discuss the
scope of work, the proposed types of equipment and personnel, and expectations for
performance.
Specifically document all discussions regarding safety. The discussions should include
the nature of the operations, interaction with traveling public, worker fatigue, code of
safe practices, and designation of the contractors safety officer. Top priorities are the
safe passage of public traffic through or around the work and the safety of workers.
Develop a traffic management plan for the project.
5-507 Tracking Costs 5-507
The directors order allows you to proceed with the emergency contract work. It Tracking Costs
describes the works scope and limits of the work, funding allocation, and duration.
You are legally allowed to authorize fund expenditures up to the directors order
amount.
On emergency force account contracts, daily costs can be significant. Resident
engineers or other project staff must include complete records of labor, equipment, and
materials in the daily report. At the end of each shift, reach agreement with the
contractor on this work. Make a daily estimate of costs based on the daily report.
Encourage the contractor to submit a weekly bill itemizing labor, equipment, and
material used on the contract.

During administration of an emergency force account or emergency limited bid
contract, the resident engineer must ensure that the cost of work performed by the
prime contractor and all subcontractors does not exceed available funding. The resident
engineer authorizes only work within the general scope of the damage assessment form
(USDOT/FHWA DAF) and forecasts expenditure of available funds to ensure work
performed does not exceed funding of the directors order and any approved
supplemental directors orders. Refer to Section 5-2, Funds, for the G-11 additional
funds process.
Use the extra work billing system to facilitate cost tracking. The project can be set up in
Contract Administration System (CAS) after the approval of the confirmation of verbal
agreement and prior to the contract approval, but progress pay estimates cannot be
requested until the contract is approved in ERP Financial InfraStructure (E-FIS). EFA
and ELB projects in CAS use the district and expenditure authorization (EA) rather
than the DPAC contract number. Payment for all emergency contracts estimated at
greater than the minor B contract limit in construction cost go through the CAS. Minor
B contracts must have an EA ending in 5 in accordance with the Division of
Accountings Accounting Manual. Do not put phase 5 contract EAs into CAS.
Receiving records are used to compensate emergency force account and emergency
limited bid contract work for minor B contracts. The existing procedure for use of
receiving records (Form FA-1226A, Receiver) remains the same.
The Division of Construction, Office of Contract Administration website includes two
new links to emergency contracting informationEmergency Contracting (DPAC),
and Emergency Contracting (Maintenance):
http://pd.dot.ca.gov/construction/contractmanagement/cmpage.htm
http://admin.dot.ca.gov/pc/index.shtml
http://onramp.dot.ca.gov/hq/maint/orway/ha23/index.htm
The DPAC intranet website includes a progress tracking document named EFA
Status. The report shows progress of all EFA and ELB contracts, and includes the
requisition number (RQS), EA, and DPAC contract numbers, as well as the name of
the contracts analyst. The website also contains updated Form ADM-0366, emergency
contract processing guidelines, and RQS number training:
http://admin.dot.ca.gov/pc/index.shtml
The Maintenance intranet website contains updated information about directors
orders, supplemental directors orders, supplemental funds requests, damage
assessment forms, and boilerplate state and federal emergency force account and
emergency limited bid contracts:
http://onramp.dot.ca.gov/hq/maint/
For additional information on force account billing and record keeping, refer to Section
3-9, Payment, of this manual.
5-508 5-508 Prosecution of the Work

Prosecution of the The resident engineer must define the work to be done but only provide general
Work direction for accomplishing the work. Generally, the contractor must select the means
and methods to be used.

5-5.4 Emergency Contract Administration
The following list contains items that the resident engineer must perform or of which
the resident engineer must be aware:
As the work progresses, work plans will probably need adjusting. If you believe
the emergency work is not progressing as quickly as it should, seek management
advice, and discuss with the contractor ways to increase production. Be innovative
by using the following:
1. Concurrent operations.
2. Multiple shifts.
3. Local material sites.
4. Detours to limit the effects on traffic.
5. Equipment and resources most appropriate for the changing circumstances of
the work to be performed.
Although cost effectiveness is always desirable, in some emergency situations
production must predominate, sometimes requiring excess equipment to sit idle to
gain overall production.
Ensure that the means and methods the contractor proposes are safe and
appropriate.
To ensure that environmental mitigation, compliance requirements, and
commitments are adhered to, always coordinate with your contractor selection
coordinator, environmental-construction liaison, district or regional environmental
office, and project manager.
Continuously try to prevent improper storm water runoff. Some operations may
have unavoidable sediment runoff. To ensure the timely involvement of regulatory
agencies, have prior discussions with them, both during the emergency and in the
future.
The governors emergency proclamation for a disaster may temporarily waive the
regulations of the Surface Mining and Reclamation Act of 1975 (SMARA). This
waiver is intended to allow Caltrans to use non-SMARA certified locations if no
other option is available to reopen a closed facility during the height of an
emergency. (Mining operations determined to be in compliance are listed on the
AB 3098 SMARA Eligible List. Obtain this list from the Division of Construction
or the Department of Conservation website:
http://www.conservation.ca.gov/omr/ab_3098_list/Pages/Index.aspx
5-509 Functional Unit Support 5-509
District management must assign a project manager to emergency contracts. The Functional Unit
project manager will assist the resident engineer in coordinating support from other Support
Caltrans units, other government agencies, the community, and legislators. To allow
you more time to properly administer the contract, fully use the project manager and
other appropriate units.
5-510 Public Relations and Communication 5-510
Caltrans management and the public need accurate project information. To provide this Public Relations
information, follow the guidelines and procedures in Section 1-2, Public Relations, and
of this manual. When estimating completion dates, be realistically conservative. Communication

Chapter 6-
Sampling and Testing
Chapter 6 Sampling and Testing
Section 1 Sample Types and Frequencies
6-101 General
6-101A References
6-102 Types of Sampling and Testing
6-102A Preliminary Samples and Tests
6-102B Initial Samples and Tests
Table 6-1.1 Time Required for Source Testing
6-102B (1) Unprocessed Soils and Aggregates
6-102B (1a) Stone from Ledges and Quarries
6-202C (1b) Material Sites of Sand, Gravel, or Soil
6-102B (2) Processed Aggregates
6-102C Acceptance Samples and Tests
Table 6-1.2 Time Required for Materials Acceptance Tests
Table 6-1.3 Time Required for Products Acceptance Tests
6-102D Dispute Resolution Samples
6-102E Investigation Samples and Tests
6-102F Research Samples and Tests
6-103 Field Sampled Material Identification for Testing
Example 6-1.1 Sample Cylinder Label
Example 6-1.2 Sample Cylinder Label
6-104 Shipping of Field Samples
6-105 Acceptance Records
6-106 Project Materials Certification
6-107 Materials Acceptance Sampling and Testing
TablesMaterials Acceptance Sampling and Testing Requirements
Table 6-1.4 Earthwork (2010 Standard Specifications Section 19)
Table 6-1.5 Stabilized Soils (2010 Standard Specifications Section 24)
Table 6-1.6 Aggregate Subbases (2010 Standard Specifications Section 25)
Table 6-1.7 Aggregate Bases (2010 Standard Specifications Section 26)
Table 6-1.8 Cement Treated Bases (2010 Standard Specifications Section 27)
Table 6-1.9 Concrete Bases (2010 Standard Specifications Section 28)
Table 6-1.10 Treated Permeable Bases (2010 Standard Specifications Section 29)
Table 6-1.11 Bituminous Seals (2010 Standard Specifications Section 37)
Table 6-1.12 Hot Mix Asphalt (2010 Standard Specifications Section 39)
Table 6-1.13 Concrete Pavement (2010 Standard Specifications Section 40)
Table 6-1.14 Concrete Structures (2010 Standard Specifications Section 51)
Table 6-1.15 Concrete (2010 Standard Specifications Section 90)
Table 6-1.16 Miscellaneous

Sample Types and Frequencies 6-1.i
Section 1
Section 1 Sample Types and Frequencies Sample Types
and Frequencies
6-101 General 6-101
Sampling and testing materials and products must be in accordance with contract General
specifications. Sampling and testing are of equal importance for assuring materials and
products meet acceptance specifications.
Samplers must be familiar with materials handling and processing methods to assure
representative samples are obtained. Samplers should be sufficiently knowledgeable
about test methods to ensure compatibility between sample and test procedure.
Samples for acceptance must be taken in accordance with California Test 125,
Structural Sections, or sampling requirements in specifications. For California Tests,
samplers must be qualified testers in accordance with the Independent Assurance
Manual.
It is the resident engineers responsibility to ensure the safety of the sampler. In
accordance with Material Plant Quality Program (MPQP) or California Test 109,
Method for Testing of Material Production Plants, the district weights and measures
coordinator inspects material plants for safety in areas that the sampler will enter.
In certain situations, to ensure sampler safety, the contractor will take acceptance
samples for Caltrans. Where specified, the sampler must witness the contractor taking
acceptance samples. The sampler must determine when the sample is taken and then
observe that the sample is taken in accordance with California Test 125, or sampling
requirements in specifications. The sampler must take possession of the sample from
the contractor and transport it to a Caltrans office or the testing laboratory.
The resident engineer is responsible for the chain of custody for material acceptance
samples. Material acceptance samples and dispute resolution samples must be in
Caltrans possession from the sampling point. Adequate sample storage facilities must
be arranged for at construction field offices or other Caltrans facilities. The chain of
custody for material samples is an important part of Caltrans quality assurance
program.
6-101A References
Independent Assurance Manual, Division of Engineering Services, Materials
Engineering and Testing Services, State of California Department of
Transportation, available at:
http://www.dot.ca.gov/hq/esc/Translab
California Test (CT-___), Division of Engineering Services, Materials Engineering
and Testing Services (METS), State of California Department of Transportation,
available at:

Sample Types and Frequencies 6-1.1
American Association of State Highway and Transportation Officials, American
Society for Testing and Materials, and other test methods are available at the IHS
Standards Expert intranet website:
http://onramp.dot.ca.gov/hq/des/spi/
Material Plant Quality Program, Division of Construction, State of California
Department of Transportation, available at:
http://www.dot.ca.gov/hq/construc/hma/MPQP.pdf
6-102 6-102 Types of Sampling and Testing
Types of Sampling The following are the types of sampling and testing used by Caltrans.
and Testing
6-102A Preliminary Samples and Tests
Preliminary samples and tests are made prior to award of a contract. Construction
personnel rarely perform preliminary sampling and testing. The district materials
engineer is responsible for preliminary sampling and testing. Such tests are used for
design purposes, and to provide data for the materials information package for
prospective bidders.
6-102B Initial Samples and Tests

Initial samples and tests are performed on materials proposed for use in the project.
These initial tests determine whether proposed materials sources, local materials, or
products meet the specifications.
Construction personnel may sample potential sources. For soils and aggregate tests,
send samples to the district materials lab. Tests may be performed by the district
materials laboratory or METS, depending on their respective capabilities.
Sampling and testing potential local materials is not mandatory unless specified.
Charge the contractor for the cost of sampling and testing potential local materials
sources in accordance with Section 6, Control of Materials, of the Standard
Specifications.
The normal time required for testing initial source samples of potential local materials
sources is shown in Table 6-1.1.
Table 6-1.1. Time Required for Source Testing
Material Time
Aggregates for hot mix asphalt 2 weeks
Aggregates for cement treatment 4 weeks
Aggregates for concrete mixture 4 weeks
Aggregates for concrete pavement 60 days
Screenings for seal coats 2 weeks
Soils (R-Value) 3 weeks
Untreated base materials 3 weeks

6-1.2 Sample Types and Frequencies
6-102B (1) Unprocessed Soils and Aggregates
The following discussion is primarily applicable to initial sampling and sampling
performed for reasons other than specification compliance, although the same
precautions apply when sampling for specification compliance.
6-102B (1a) Stone from Ledges and Quarries

Inspect the ledge or quarry face to determine any variations in strata, or in portions of
the ledge. Observe and record differences in color and structure. Obtain separate
samples of unweathered stone from all strata that appear to vary in color and structure.
6-102B (1b) Material Sites of Sand, Gravel, or Soil

Select samples representing the different materials available in the deposit. If the
deposit is worked as an open face or pit, take the samples by channeling the face so that
they will represent material that visual inspection indicates may be used. It is necessary,
especially in small deposits, to excavate test holes some distance in back of, and
parallel to, the face to determine the extent of the supply. The number and depth of
these test holes depend on the quantity of material to be used from the deposit. Obtain
samples from open test pits by channeling a face of the test pit in the same manner as
sampling a face of a materials site, described above. Do not include material in the
sample that will be stripped from the pit as overburden. Obtain separate samples from
the face of the bank and from the test holes. If visual inspection indicates that there is
considerable variation in the material, obtain separate samples at different depths.
Use test holes to sample deposits that have no open faces. When sampling material
sites, select depth and spacing of test holes considering the probable method of
operating the pit. In general, dozers will combine the material laterally. A shovel will
remove the material vertically. Test results in a spotty pit may be misleading to the
extent that operations may be too expensive to make the required grading.
If possible, use a dozer or shovel to open up the pit before sampling rather than
depending on test holes.
6-102B (2) Processed Aggregates

Sample processed aggregates from locations such as stockpiles, transportation units,
conveyors, or windrows in accordance with California Test 125, Methods of Test for
Sampling Highway Materials and Products Used in the Roadway Structural Sections.
6-102C Acceptance Samples and Tests

Acceptance tests are generally performed on materials that will be incorporated into the
work. Some acceptance tests are performed on materials already incorporated into the
work. Acceptance sampling and testing should begin as soon as the material is
delivered or in place.
Sample materials at the locations specified in the Standard Specifications or special
provisions. If the sampling location is not specified, sample at the location indicated in
the materials acceptance sampling and testing requirements tables in Section 6-107 of
this manual. Regardless of location, sample randomly and within the frequency
specified to obtain representative samples of the material used in the work.
Some acceptance tests may be performed on a priority basis which extends the normal
time for performing acceptance tests for other projects.

Use the priority designation for the first few acceptance samples of each construction
material. Use priority for quality control/quality assurance verification tests for
acceptance. Use the priority designation for all samples if the material being supplied
is of questionable quality or if the construction means and methods or source of
materials changes. For priority tests, indicate if there is a preference for telephone,
faxed, or emailed test results on Form TL-0101, Sample Identification Card, along
with the telephone number of the person who is to receive them.
For priority and normal processing times for acceptance tests of materials, refer to
Table 6-1.2.
Table 6-1.2. Time Required for Materials Acceptance Tests
Priority Test Normal Test
Material (Business Days) (Business Days)
Aggregates for hot mixed asphalt 3 7
Aggregates for cement treatment 5 7
Aggregates for concrete 3 7
Screenings 3 7
Soils (R-value) 5 7
Untreated base materials 7 12
Hot mixed asphalt 3 7
Hot mixed asphalt 5 30
California Test 371
Asphalt binder 3 15
Asphalt rubber binder 3 15
Asphaltic emulsion 3 15
Asphalt modifier 3 15
Crumb rubber modifier 3 7
Portland cement 3 30
The minimum time required for acceptance tests of products is shown in Table 6-1.3.
Table 6-1.3. Time Required for Products Acceptance Tests

Minimum Time
Product (Business Days)
Coating tests 3
Expansion joint material 3
Fencing, all types 2
Guide posts 3
Geosynthetic fabrics 3
Geosynthetic fabrics (UV testing) 45
Metal guardrail 7
Pavement markers 4
Prestressing steel 10
Reinforcing steel and wire 2
Rubber (accompanied by manufacturers test report) 3
Rubber (without test report) 14
Structural steel 10
Type B joint seal 7
6-102D Dispute Resolution Samples

Code of Federal Regulations Section 637.207, Quality Assurance Program,
paragraph (a)(1)(iii), states, If the results from the quality control sampling and testing
are used in the acceptance program, the STD [state transportation department] shall
establish a dispute resolution system. The dispute resolution system shall address the

resolution of discrepancies occurring between the verification sampling and testing and
the quality control sampling and testing. When specified, the engineer must split
acceptance test samples and store the split samples in case of a disputed test result. The
Caltrans quality assurance program requires split samples to be stored in a facility
under state control in case they are needed for dispute resolution.
6-102E Investigation Samples and Tests

Specific materials or workmanship problems such as pavement failures, difficulty in
achieving percent of maximum theoretical density or inconsistent test results, may
require special samples and tests. When materials problems are encountered, contact
the district materials engineer. The district materials engineer may request help from
METS and the Division of Construction. METS will request all acceptance test results
and contractor quality control test results along with material-specific additional
samples and tests in order to conduct a forensic investigation.
6-102F Research Samples and Tests

Pilot projects usually have special requirements for sampling and testing of materials.
Projects developed around research needs usually require larger samples and more
frequent testing than what is required by Caltrans acceptance testing minimum
frequencies. The unit that requested the research project will provide oversight for all
of the special sampling and testing requirements.
6-103 Field Sampled Material Identification for Testing 6-103

Samples must be properly identified so the testing laboratory can function efficiently Field Sampled
and report results to the project in a timely manner. In addition, accuracy in identifying Material
where the material was placed in the project can be very useful if the material must be Identification for
rejected by the engineer and then removed by the contractor. Testing
For requesting faster processing of samples, use the priority designation as discussed
in Section 6-102C, Acceptance Samples and Tests, of this manual.
For field material samples, except for concrete cylinder compressive strength, use
Form TL-0101, Sample Identification Card. For concrete cylinder compressive
strength, use Form TL-0502, Field Sample of Portland Cement Concrete Sample
Card.
In general, prepare Form TL-0101 as follows:
Fill in every blank space with complete information, including the quantity and lot
of material sampled.
The Location of Source must clearly indicate the place (that is, behind paver,
stockpile, cold feed belt) where the sample was taken.
Indicate Normal for laboratory processing of sample or Priority if test result is
needed quickly.
If the sample was taken at the request of the contractor from local deposits as a
potential source in accordance with Section 6-2.04 [6-2], Local Materials, of the
Standard Specifications, note this under Remarks. Request that the district
materials laboratory provides the cost of testing so that Caltrans can be reimbursed
by the contractor.

To protect the sample identification card against moisture or stains, place it in a
plastic bag or shipping label protector.
Distribute copies as shown on the form on the same day the sample is shipped.
Prepare Form TL-0101 in accordance with the following details based on the type
of material:
o Aggregate sources must comply with the State Mining and Reclamation Act
(SMARA) of 1975. Ensure sources of aggregates are indicated and include the
SMARA listing number. Mining operations determined to be in compliance
are listed on the AB 3098 SMARA Eligible List. The SMARA listing number
can be obtained at the Department of Conservation website:
http://www.consrv.ca.gov/omr/Pages/Index.aspx
o For hot mixed asphalt (HMA) sample be sure to:
1. Identify the HMA plant producing the material.
2. Identify the job mix formula (JMF) producer identification number.
3. Include the type of mix and aggregate grading specified.
4. Under Remarks include the grade and source of the asphalt binder.
5. Under Remarks include the percentage of asphalt binder designated in
the JMF.
o For asphalt binder sample be sure to:
1. Identify the HMA plant using the material.
2. Identify the source of asphalt binder.
A list of approved asphalt suppliers is available at:
http://www.dot.ca.gov/hq/esc/Translab/ormt/fpmcoc.htm
For non-approved suppliers identify the refinery and shipment number for
each truckload.
o For tack coat sample be sure to:
1. Identify the source of the asphalt binder or asphaltic emulsion.
2. Under Remarks include the dilution rate (50/50 or 60/40) for asphaltic
emulsions or enter Not Diluted.
o If the specification has requirements based on the use of the material, include
the intended use under Remarks. This is especially important for electrical
conductors, as the applicable specifications depend on where and how the
conductor is used.
Prepare Form TL-0502, Field Sample of Portland Cement Concrete Sample
Card, for each pair of cylinders shipped in the same carton as follows:
o Fill in every blank space with complete information.
o Indicate sources of aggregates and include the SMARA listing number.
Aggregate sources must comply with the SMARA. Mining operations
determined to be in compliance are listed on the AB 3098 SMARA Eligible

List. The SMARA listing number can be obtained at the Department of
Conservation website:
http://www.consrv.ca.gov/omr/Pages/Index.aspx
o Indicate in the space for water the total weight of water used per cubic yard of
cementitious material in the mix based on actual weight (not design weight).
o Under Remarks, indicate the specified concrete strength.
o Under Remarks, indicate if the unit weight of the hardened concrete
cylinders is required. The testing laboratory will not furnish unit weight data
unless it is specifically requested.
o To protect the sample card against moisture or stains, place it in a plastic bag
or shipping label protector.
o Distribute copies as shown on the form on the same day the sample is shipped.
A uniform system for marking cylinders is used. This system consists of the contract
number and the sample number. The sample number consists of a series of digits
separated by dashes (-) to indicate: method of storage for curing, age at which cylinders
are to be tested; the cylinder number of the pair, or group of five, which is to be tested;
and project coding. Use a flow pen to mark the cylinders.
Following are examples of the cylinder marking system.
Example 6-1.1. Sample Cylinder Label
Contract No. 03-100844

Sample No. 1-28-1/5_ _ _ _ _
Date Cast ______________
For Sample No. shown in Example 6-1.1:

The first digit indicates method 1 storage for curing.
The second two digits indicate that the cylinder is to be tested at 28 days.
The 1/5 set indicates that it is the no. 1 cylinder of 5 cylinders. The no. 2 cylinder
would be marked 2/5 and so on for the remaining cylinders of the group.
The last four spaces are reserved for any project coding consisting of numbers,
letters, or a combination of both.
Note if only one sample card was made for two cylinders, the third symbol on the card
would be 1,2/5.
Example 6-1.2. Sample Cylinder Label
Contract No. 03-100844

Sample No. 2-14-2/2_ _ _ _
Date Cast _____________
For Sample No. shown in Example 6-1.2:

The first digit indicates method 2 storage for curing.
The second two digits indicate that the cylinder is to be tested at 14 days.

The 2/2 set indicates that it is the no. 2 cylinder of a group of 2 cylinders.
The last four spaces are reserved for any project coding consisting of numbers,
letters or a combination of both.
Note if one sample card is made for the two cylinders, the third symbol on the card
would be 1,2/2.
6-104 6-104 Shipping of Field Samples

Shipping of Field Based on turnaround time needed to receive a test result, ship samples from the job site
Samples to the laboratory using the most economical mode of transportation available consistent
with the time element involved. Do not accumulate samples at the project site to save
transportation costs.
Concrete cylinders are shipped to the laboratory in accordance with California
Test 540, Method of Test for Making, Handling, and Storing Concrete Compressive
Test Specimens in the Field. Cylinders are shipped without removing the mold and
are packed in cardboard containers available at the district warehouse. Each carton
holds two cylinders.
If the district laboratory is equipped to test concrete cylinders, they should be shipped
there. Otherwise cylinders may be delivered either to the Southern Regional Lab at
13970 Victoria Street, Fontana, CA 92336, or METS at 5900 Folsom Boulevard,
Sacramento, CA 95819, whichever is more convenient. Ship concrete cylinders within
the time limits specified in California Test 540 or the test result cannot be used as an
acceptance test.
Samples are not to be shipped c.o.d. (cash on delivery) to district materials laboratories,
the Southern Regional Lab, or METS.
6-105 6-105 Acceptance Records
Acceptance Records Keep records of all samples and tests in the project files as permanent job records.
Monitor acceptance testing by using Form CEM-3701, Test Result Summary.
Corrective action or retesting of failing tests must be noted in the Remarks column of
the form.
Documentation of the reason materials represented by failing tests were incorporated
into the project must be included in the project files. For more information on
procedures to follow in the case of failing tests, refer to Section 3-6, Control of
Materials, of this manual.
It is not necessary to secure separate samples for each project when two or more
projects receive materials from the same source. File a copy of the test report with each
project.
6-106 6-106 Project Materials Certification

Project Materials When construction work on the project is complete, prepare Form CEM-6302, Final
Certification Materials Certification. Use the form to certify that, other than for the exceptions
listed on the form, the results of tests performed on acceptance samples show that the
materials used in the work controlled by sampling and testing conform to the approved
plans and specifications.

If exceptions exist, check the exceptions box and note all nonconforming materials on
the form. The following are examples of nonconforming materials that must be noted
as exceptions:
Materials accepted by applying a specified pay factor or deficiency adjustment,
such as for hot mix asphalt, concrete pavement, or rapid-strength concrete.
Materials out of operating range but within contract compliance for which a
specified payment deduction was made.
Materials not in compliance with the as-bid contract plans or specifications for
which a change order was approved to accept the material.
Materials that require certificates of compliance but one or more have not been
submitted.
Sign the form and put the original in the project files. Send a copy to district
construction and, if the project is subject to Federal Highway Administration (FHWA)
construction oversight activities, send another copy to the FHWA California division
administrator. The name and address of the FHWA California division administrator is
available at:
http://www.fhwa.dot.gov/cadiv/
6-107 Materials Acceptance Sampling and Testing 6-107

Sampling and testing materials and products must be in accordance with contract Materials
specifications. Sampling and testing are of equal importance for assuring materials and Acceptance
products meet acceptance specifications. Sampling and
The tables on the following pages contain Caltrans minimum sampling and testing Testing
requirements for materials acceptance. The frequency of sampling and testing indicated
in the tables is to be used under normal conditions. Materials that are marginal in
meeting the specifications should be sampled and tested on a more frequent basis.
Request Priority testing for samples taken on potentially marginal materials.
When shown in the tables that testing frequencies may be adjusted, document any
adjustment through a Memo to File. Place the Memo to File in the appropriate part
of Category 37 of the project files.
Close adherence to the sample size requirements shown in the tables will prevent
unnecessary delays and expense of obtaining supplementary samples to complete tests.
Refer to Section 6-105 Acceptance Records, of this manual for documenting
acceptance tests results. For more information on procedures to follow in the case of
failing tests, refer to Section 3-6, Control of Materials, of this manual.

Table 6-1.4. Materials Acceptance Sampling and Testing Requirements:
Earthwork (2010 Standard Specifications Section 19) (1 of 3)
Sample Size & Sampling

Acceptance
Test Test Method Container Location Remarks
Test Frequency
Size (See Note 1)
STRUCTURE BACKFILL (Section 19-3.02B)
Sieve California If material is uniform
Analysis Test 202 and well within
1 every 3000 tons
Materials site or specification limits,
50 lb or 2000 cu yd;
Sand California stockpile frequency may be
see Remarks
Equivalent Test 217 decreased to 1 per
day
1 every 2000 sq
Project site in yd and test Relative compaction
Sample for
Relative California accordance with compaction at test is required at each
California Test
Compaction Test 231 California Test every 8 in. of location structure
216
231 thickness, backfill is placed
see Remarks
Wet common-
composite test
Relative 1 every relative
Maximum California maximum value may
35 lb compaction test compaction test,
Wet Density Test 216 be used in accordance
site locations see Remarks
with California Test
231.
PERVIOUS BACKFILL (Section 19-3.02C)
If material is uniform
and well within
1 every 3000 tons
Sieve California specification limits,
50 lb Stockpile or 2000 cu yd,
Analysis Test 202 frequency may be
see Remarks
decreased to 1 per
day
BASEMENT MATERIAL (Section 19-5)
R-value used in
project designs are
usually conservative
and do not need to be
field verified; when
Test to verify R-
testing done for R-
value if differing
California value in the materials
R-Value 50 lb Project site site conditions are
Test 301 report are incomplete
encountered,
because of preproject
see Remarks
conditions then
additional R-value
testing should be
requested to verify
design R-value
Sample for
Relative California California Test 1 every 2000 sq
California Test
Compaction Test 231 216 yd
216
Relative
Maximum Wet California 1 every relative
35 lb compaction test
Density Test 216 compaction test
site locations


Acceptance
Test Frequency
Size (See Note 1)
EMBANKMENT (Section 19-6)
1 every 2000 sq
Project site in
Sample for yd and test
Relative California accordance with
California Test compaction at
Compaction Test 231 California Test
216 every 8 in. of
231
thickness
Wet common-
composite test
Relative 1 every relative
Maximum California maximum value
35 lb compaction test compaction test,
Wet Density Test 216 may be used in
site locations see Remarks
accordance with
California Test 231
GEOSYNTHETIC REINFORCED EMBANKMENT (Section 19-6.02B)
Plasticity California Materials site or 1 per source prior
Index Test 204 stockpile to use
50 lb
California Materials site or 1 per source prior
pH
Test 643 stockpile to use
If material is
uniform and well
Prior to use,
within specification
Sieve California 1 every 3000 tons
50 lb Stockpile limits, the
Analysis Test 202 or 2000 cu yd,
frequency may be
see Remarks
decreased to 1 per
day
IMPORTED BORROW (Section 19-7)
Test for R-value
only when an R-
value is specified
for import borrow
in the special
California Import borrow 1 per source,
R-Value 50 lb provisions; if
Test 301 source see Remarks
material at import
borrow source is
not uniform,
increase testing
frequency
SHOULDER BACKING WITH RECLAIMED AGGREGATES (Section 19-9)
Sieve California If material is
Analysis Test 202 uniform and well
1 every 3000 tons
Materials site or within specification
50 lb or 2000 cu yd,
Sand California stockpile limits, frequency
see Remarks
Equivalent Test 217 may be decreased
to 1 per day


Acceptance
Test Frequency
Size (See Note 1)
SHOULDER BACKING (Section 19-9)
Crushed California Materials site or 1 per project prior
Particles Test 205 stockpile to use
California Materials site or 1 per project prior
Durability
Test 229 stockpile to use
50 lb
California
Test 212 Materials site or 1 per project prior
Unit Weight
Rodding stockpile to use
Method
Sieve California If material is uniform
Analysis Test 202 and well within
1 every 3000 tons
Materials site or specification limits,
50 lb or 2000 cu yd,
Sand California stockpile frequency may be
see Remarks
Equivalent Test 217 decreased to 1 per
day
Note:
1. See California Test 125 for sampling procedures.

Stabilized Soils (2010 Standard Specifications Section 24) (1 of 2)
Sample Size Sampling

Acceptance
Test Test Method & Container Location Remarks
Test Frequency
Size (See Note 1)
Lime
Must be on
Authorized
One 10-lb
Various Initial sample Materials List and
sample for
properties; provided by certificate of
See Standard each type Each 100 tons of
must comply contractor; compliance must
Specifications and source of lime, 2 per day
with Standard subsequent accompany each
Section 24- lime; maximum;
Specifications sampling from shipment;
2.02B use a 2-qt see Remarks
Section 24- mid-point of recommend 1
airtight
2.02B. delivery acceptance test
container
per 5 samples of
lime
LIME TREATMENT
DETERMINATION OF LIME APPLICATION RATE
Prior to soil
Unconfined stabilization work To determine
California Test
Compressive Native soils; test and if source of appropriate lime
373
Strength each type of lime changes; content
100 lb see Remarks
material to be
Optimum treated
California Test Prior to soil
Moisture
373 stabilization work
Content
VERIFICATION OF LIME APPLICATION RATE AND STABILIZED SOIL MIXTURE
To determine if
Building Each 40,000 sq ft,
Lime Drop pan/ application rate is
paper or pan Surface receiving 2 per day
Application calibration pan within 5% of
of known lime minimum; see
(Dry Form) method ordered application
area Remarks.
rate
Volumetric To determine if
Each 40,000 sq ft,
Lime measurement Determined application rate is
Slurry holding 2 per day
Application that is then over known within 5% of
tank minimum; see
(Slurry Form) reduced to lime area ordered application
Remarks
weight rate
Phenolphthalein Each day at five
Uniformity of Taken after
alcohol Representative separate
Mixed N/A completion of initial
indicator areas locations; see
Stabilized Soil mixing
solution spray Remarks
Each day at five
separate locations
Moisture
Representative to verify
Content of California Test 0.25 lb each Taken during
areas at mid contractors
Mixed 226 sample mellowing period
depth quality control
Stabilized Soil
tests; see
Remarks
1 every 4000 sq
Gradation of
California Test Representative yd, 1 per day Taken prior to
Mixed 25 lb
202 areas minimum; see compaction
Stabilized Soil
Remarks

Stabilized Soils (2010 Standard Specifications Section 24) (2 of 2)

Acceptance
Test Frequency
Size (See Note 1)
COMPLETED TREATED SOIL
1 every 2000 sq
Project site in
Sample for yd and test
California Test compaction at
216 every 6 in. of
231
thickness
Wet common-
1 every relative composite test
Relative
Maximum California compaction test; maximum value may
Wet Density Test 216 see Remarks be used in
site locations
accordance with
California Test 231
As necessary for
Random locations verification of
Dimensions Measurement N/A in place after stabilized soil
compaction thickness and
surface grades
ASPHALTIC EMULSION (Curing Seal Method Only)
Various
properties Based on Each shipment must
based on asphaltic be accompanied by
asphaltic emulsion type 1 each shipment; a certificate of
From spray bar of
emulsion type used; see 1-gal plastic jug see Remarks compliance;
distributor truck
used; see Standard recommend 1
Standard Specifications random test from
Specifications Section 94 samples taken
Section 94
Note:

Aggregate Subbases (2010 Standard Specifications Section 25)

Acceptance
Test Frequency
Size (See Note 1)
AGGREGATE SUBBASE Class 1, Class 2 and Class 3
If material is
Every 3000 tons uniform and well
Sieve California or 2000 cu yd; within specification
Analysis Test 202 see Remarks and limits, frequency
Note 2 may be decreased
Materials site or to 1 per day
50 lb
stockpile If material is
Every 3000 tons uniform and well
Sand California or 2000 cu yd; within specification
Equivalent Test 217 see Remarks and limits, frequency
Note 2 may be decreased
to 1 per day
R-value testing
may reduced to
minimum 1
acceptance test
per project when
test records
Every 3000 tons
California Materials site or demonstrate that
R-Value 50 lb or 2000 cu yd;
Test 301 stockpile material from the
see Remarks
same source, and
having comparable
grading and sand
equivalent values,
meets minimum R-
value requirements
Project site in
Sample for
California Test Every 2000 sq yd
216
231
Wet common-
composite test
Relative Every 2000 sq yd;
Maximum California maximum value
Wet Density Test 216 see Remarks may be used in
site locations
accordance with
California Test 231
As necessary for Verify thickness of
Dimensions N/A N/A Random locations
acceptance aggregate subbase
Notes:
2. If material is outside the specification limits sample and test representative material every 500 cu yd so that deductions may
be taken for noncompliant material.

Aggregate Bases (2010 Standard Specifications Section 26)

Acceptance
Test Frequency
Size (See Note 1)
AGGREGATE BASES Class 1, Class 2, and Class 3
If material is uniform
Every 3000 tons and well within
Sieve California or 2000 cu yd; specification limits,
Analysis Test 202 see Remarks and frequency may be
Note 2 decreased to 1 per
Materials site or day
50 lb
stockpile If material is uniform
Every 3000 tons and well within
Sand California or 2000 cu yd; specification limits,
Equivalent Test 217 see Remarks and frequency may be
Note 2 decreased to 1 per
day
R-value testing may
reduced to minimum
1 acceptance test
per project when
test records
Every 3000 tons demonstrate that
California Materials site or
R-Value 50 lb or 2000 cu yd; material from the
Test 301 stockpile
see Remarks same source, and
having comparable
grading and sand
equivalent values,
meets minimum R-
value requirements
Durability test not

Durability California Materials site or 1 per project;
50 lb required for Class 3
Index Test 229 stockpile see Remarks
aggregate base
2 daily when
Moisture 25 lb aggregate base is
Test 226 stockpile
paid for by weight
Project site in
Sample for
California Test Every 2000 sq yd
216
231
Wet common-
composite test
Relative
Maximum California Every 2000 sq yd, maximum value
Wet Density Test 216 see Remarks may be used in
site locations
accordance with
California Test 231
As necessary for Verify thickness of
Dimensions N/A N/A Random locations
acceptance aggregate base
Notes:
2. If material is outside the specification limits sample and test representative material every 500 cu yd so that deductions may be
taken for noncompliant material.

Cement Treated Base (2010 Standard Specifications Section 27) (1 of 2)

Acceptance
Test Frequency
Size (See Note 1)
CEMENT TREATED BASE Class A or Class B
AGGREGATE
California
Gradation
Test 202, 1 every 3000 tons
(Sieve
California or 2000 cu yd,
Analysis) 40 lb Stockpile
Test 105 minimum 1 per
Sand California day of production
Equivalent Test 217
AGGREGATE Class B
R-Value
100 lb for
(with & California Materials site or
aggregate Prior to production
without Test 301 stockpile
qualification
cement)
CEMENT
Recommend 1
Various
acceptance test per
Properties
See Standard 1 each 100 tons project for cement
Must comply
Specifications CTB plant or of cement, 2 per from approved
with Standard 8 lb
Section 90- cement spreader day maximum; suppliers and
Specifications
1.02B(2) see Remarks certificate of
Section 90-
compliance with each
1.02B(2)
shipment.
WATER
California
Chlorides Clean 2-qt Water supplies for
Test 422 1 per source;
plastic jug with At point of use domestic use do not
California see Remarks
Sulfates lined, sealed lid need to be tested.
Test 417
COMPLETED MIX Class A
If first 3 days of
production test records
Compressive California See California In place prior to 1 per day; demonstrate materials
Strength Test 312 Test 312, Part II compaction see Remarks are in compliance,
recommend test every
5 days of production.
COMPLETED MIX Class B
Recommend R-value
testing be reduced to 1
every 10,000 cu yd
when test records
demonstrate that
1 every 3000 tons
California In place prior to material from the
R-Value 50 lb or 2000 cu yd;
Test 301 compaction same source, and
see Remarks
having comparable
grading and sand
equivalent values,
meets the minimum R-
value requirements

Cement Treated Base (2010 Standard Specifications Section 27) (2 of 2)

Acceptance
Test Frequency
Size (See Note 1)
COMPLETED MIX Class A and Class B
1 every 1500 tons
Cement California See California In place prior to or 1000 cu yd,
Titration Test 338 Test 338, Part I compaction minimum 1 per
day of production
Optimum California See California Materials site or
Prior to production
Moisture Test 312 Test 312 stockpile
Moisture California 10 lb in sealed In place prior to
2 daily
Content Test 226 container compaction
Project site in
Sample for
Relative California accordance with 1 every 2000 sq
California Test
Compaction Test 231 California Test yd
216
231
Wet common-
California composite test
Relative
Maximum Test 216, 1 every 2000 sq maximum value
Wet Density California yd; see Remarks may be used in
site locations
Test 312 accordance with
California Test 231
Random locations
Thickness N/A N/A Project site as necessary for
verification
CURING SEAL (Asphaltic Emulsion)
Various
Properties in
See Standard Certificate of
accordance Spray bar on the
Specifications 2-qt plastic jug Each truckload compliance required
with Standard distributor truck
Section 94 with each shipment
Specifications
Section 94
Note:

Concrete Bases (2010 Standard Specifications Section 28)
Lean Concrete Base (1 of 2)
Test Acceptance
Test Container Location Remarks
Method Test Frequency
Size (See Note 1)
AGGREGATE
Sand California
Equivalent Test 217
1 sample for each
50 lb 3000 tons or 2000
Test 202, stockpile
Sieve Analysis cu yd
California
Test 105
AGGREGATE Qualification
Compressive
strength of Aggregate
laboratory 200 lb for samples must be
Prior to
mixtures California aggregate Materials site or submitted at least
production;
(recommended Test 548 qualification stockpile 45 days prior to
see Remarks
minimum intended use
cement
content)
CEMENT
Recommend 1
Various
acceptance test
properties,
See Standard Each 100 tons of per project for
must comply
Specifications cement, 2 per day cement from
with Standard 8 lb Concrete plant
Section 90- maximum; approved suppliers
Specifications
1.02B(2) see Remarks and certificate of
Section 90-
compliance with
1.02B(2)
each shipment
WATER
California Water supplies for
Chlorides Clean 2-qt
Test 422 1 per source; domestic use do
plastic jug with At point of use
California see Remarks not need to be
Sulfates lined, sealed lid
Test 417 tested
ADMIXTURES: Air Entraining Agents
Prior to sampling
and testing,
contact METS for
brands which may
Air entraining
be used prior to
properties,
See Standard 1-qt can or As new supplies sampling and
must comply
Specifications plastic bottle of arrive on job site testing when
with Standard Concrete plant
Section 90- liquid, 2 lb of or each time properly certified;
Specifications
1.02E powder brand is changed samples must
Section 90-
reach METS at
1.02E
least 1 week prior
to use; untested
brands require 5
weeks prior to use

Concrete Bases (2010 Standard Specifications Section 28)
Lean Concrete Base (2 of 2)
Acceptance
Test Frequency
Size (See Note 1)
ADMIXTURES: Water Reducers or Set Retarders
Prior to sampling
and testing, contact
METS for brands
which may be used
As new supplies prior to sampling
Claimed
ASTM C494 1-qt can of arrive on job site and testing when
properties,
Type A or liquid, 2 lb of Concrete plant or each time properly certified;
chloride
Type F powder brand is changed; samples must reach
identification
see Remarks METS at least 1
week prior to use;
untested brands
require 5 weeks
prior to use
COMPLETED MIXTURES
At least once for
Ball California
N/A every 4 hours of
Penetration Test 533
See production
ASTM C172 At least once for
California
Air Content N/A each day's
Test 504
production
As required for
Dimensions N/A N/A Random locations verification of
thickness
CURING COMPOUND
Each shipment must
have certificate of
compliance that
includes:
Curing
1. Test results for
Compound
tests specified in
Type 3 must ASTM C309
Section 90-
comply with Pigmented, 1 every shipment;
1-qt can At time of use 1.01D(6) of
Standard Type 2, Class see Remarks
Standard
Specifications A
Specifications
Section 90-
2. Certification that
1.03B(3)
material was
tested within 12
months before
use
Note:

Treated Permeable Bases (2010 Standard Specifications Section 29) (1 of 3)
Asphalt Treated Permeable Base (ATPB)
Test Acceptance
Test & Container Location Remarks
Method Test Frequency
Size (See Note 1)
AGGREGATE
Percentage Combined two
California
Crushed 40-lb canvas
Test 205
Particles bags
Los Angeles Prior to
Rattler California (see Note 2) production and
(at 500 Test 211 Stockpile or plant minimum 1
revolutions) or bins random for every
50,000 tons or
Batch 160 lb less of paving
California
Film Stripping (proportioned
Test 302
per bin
percentages)
Gradation Combined two 1 for every 4
California 20-lb canvas
(Sieve hours of
Test 202 bags
Analysis) production
(see Note 3)
Stockpile or plant Recommend 1
or
bins 1 for every 4 acceptance test
Cleanness California
Batch 40 lb hours of per day if 3
Value Test 227
(proportioned production consecutive days
per bin tests are over 62
percentages )
ASPHALT
Certificate of
Various
compliance
properties Based on
required for each
based on asphalt type
Asphalt feed line shipment; if
asphalt type used; see
1-qt can connecting plant 1 per day asphalt binder
used; see Standard
storage tanks source is not on
Standard Specifications
approved list,
Specification Section 92
sample and test
Section 92
asphalt before use
COMPLETED MIX
California
Test 310 or
1 for every 4
Asphalt California 40 lb in metal Loose mix behind
hours of
Content Test 362 or containers paver
production
California
Test 379

Cement Treated Permeable Base (CTPB)
Acceptance
Test Frequency
Size (See Note 1)
AGGREGATE
Los Angeles Prior to production
Rattler California and minimum 1
50 lb Stockpile
(loss at 500 Test 211 random for every
revolutions) 25,000 cu yd
California
Soundness Stockpile Prior to production
Test 214
50 lb
California
Durability Stockpile Prior to production
Test 229
1 for every 4
Gradation
California hours of
(Sieve
Test 202 production;
Analysis)
see Note 4
40 lb Stockpile 1 for every 4
Recommend 1
hours of
Cleanness California acceptance test per
production;
Value Test 227 day if 3 consecutive
see Remarks and
test over 80
Note 4
CEMENT
Cement,
Recommend 1
various
Must comply acceptance test per
properties; 1 for each 100
with Standard project for cement
must comply tons, 2 per day
Specifications 8 lb Concrete plant from approved
with Standard max; see
Section 90- suppliers with
Specifications Remarks
1.02B(2) certificate of
Section 90-
compliance
1.02B(2)

Cement Treated Permeable Base (CTPB)
Acceptance
Test Frequency
Size (See Note 1)
WATER
California
Chlorides Clean 2-qt Water supplies for
Test 422 At point of use; 1 per source;
plastic jug with domestic use do not
California see Remarks see Remarks
Sulfates lined, sealed lid need to be tested
Test 417
ASTM C 191
Setting Time or
ASTM C 266
Mortar
Compressive ASTM C109 Contact METS
Water supplies for
Strength for required At point of use; 1 per source;
domestic use do not
quantity of see Remarks see Remarks
Coloring need to be tested
Must comply water sample
Agents
with Standard
Alkalis Specifications
Section 90-
Specific
1.02D
Gravity
Notes:
2. Store one 40-lb canvas bag for dispute resolution.
3. Store one 20-lb. canvas bag for dispute resolution.
4. If test records determine that aggregate gradation or cleanness value is close to specification limit or outside the specification
limits, sample and test concrete every 300 cu yd so that deductions may be taken for noncompliant material.

Bituminous Seals (2010 Standard Specifications Section 37) (1 of 2)

Acceptance
Test Frequency
Size (See Note 1)
Asphaltic Emulsion and Asphaltic Emulsion for Flush Coat
Various
properties in
See Section
accordance
94 of
with Section Certificate of
Standard 2-qt plastic
94 of Transport tanker Each shipment compliance required
Specifications jug
Standard with each shipment
or special
Specifications
provisions
or special
provisions
Polymer Modified Asphaltic Emulsion
AASHTO T
Viscosity
59
AASHTO T
Sieve Test Certificate of
59
1-qt can Transport tanker Each shipment compliance required
AASHTO T with each shipment
Demulsibility
59
Torsional California
Recovery Test 332
Asphalt Rubber Binder or Modified Asphalt Binder
Various
properties in Certificate of
See special
accordance 1-qt can Transport tanker Each shipment compliance required
provisions
with special with each shipment
provisions
Screenings
California
LA Rattler
Test 211
% Crushed California
50 lb Stockpile Once per project
Particles Test 205
California
Film Stripping
Test 302
Sieve California
Twice daily
Analysis Test 202
30 lb Stockpile
Cleanness California
Once daily
Value Test 227
Sand for Flush Coat
Sieve California
Analysis Test 202

Bituminous Seals (2010 Standard Specifications Section 37) (2 of 2)

Acceptance
Test Frequency
Size (See Note 1)
Slurry Seal Aggregate
California
Film Stripping
Test 302
Durability California
Index Test 229
California
Sieve Test 202,
Analysis California
30 lb Stockpile Once daily
Test 105
Sand California
Equivalent Test 217
Micro-Surfacing Aggregates
Los Angeles
Rattler California
(Loss at 500 Test 211
revolutions)
Percentage of 50 lb Stockpile Once per project
California
Crushed
Test 205
Particles
Durability California
Index Test 302
Sieve California
Analysis Test 202
30 lb Stockpile Once daily
Sand California
Equivalent Test 227
Note:

Hot Mix Asphalt (2010 Standard Specifications Section 39) (1 of 5)
Sample
Sampling
Test Size & Sampling Acceptance Test
Test Location Remarks
Method Container Frequency Frequency
(See Note 1)
Type
AGGREGATE
Production start-up
California evaluation. For
Gradation Test 202, 1 for each standard and method
(Sieve California Combined 750 tons, process: minimum 2
two 20-lb HMA plant
Analysis) Test 105, 1 per day per day of paving
(see Note 2) Laboratory canvas bags minimum For QCQA process:
Procedure 9 (see Note 3) 1 random for every
3750 tons of paving
or
Production start-up
Batch 40 lb evaluation. For
(proportioned 1 for each standard and method
HMA plant or
Sand California per bin 750 tons, process: minimum 2
before lime
Equivalent Test 217 percentages) 1 per day per day of paving
treatment
minimum For QCQA process:
1 random for every
3750 tons of paving
Production start-up
1 for each
LA Rattler HMA plant or evaluation, and
California 750 tons,
(100 before lime minimum 1 random for
Test 211 1 per day
Revolutions) treatment every 50,000 tons or
minimum
less of paving
Production start-up
1 for each
LA Rattler HMA plant or evaluation, and
(500 before lime minimum 1 random for
Test 211 1 per day
Revolutions) treatment every 50,000 tons or
minimum
less of paving
Combined Production start-up
Percent two 40-lb 1 for each
HMA plant or evaluation, and
Crushed California canvas bags 750 tons,
before lime minimum 1 random for
Particles Test 205 (see Note 4) 1 per day
treatment every 50,000 tons or
(Course) minimum
less of paving
or
Production start-up
1 for each
Percent Batch 160 lb HMA plant or evaluation, and
Crushed (proportioned before lime minimum 1 random for
Test 205 1 per day
Particles (Fine) per bin treatment every 50,000 tons or
minimum
percentages) less of paving
Production start-up
1 for each
Fine AASHTO HMA plant or evaluation, and
750 tons,
Aggregate T304, before lime minimum 1 random for
1 per day
Angularity Method A treatment every 50,000 tons or
minimum
less of paving
Production start-up
1 for each
Flat and HMA plant or evaluation, and
ASTM D 750 tons,
Elongated before lime minimum 1 random for
4791 1 per day
Particles treatment every 50,000 tons or
minimum
less of paving
.

Sample
Sampling
(See Note 1)
Type
ASPHALT BINDER
Certificate of
compliance
Various
required for
properties
Asphalt feed each shipment;
based on See
1-qt line 1 per day of 1 per day of HMA if asphalt
asphalt type Standard
wide-mouth connecting HMA production; binder source
used (see Specification
can the plant production see Remarks is not on
Standard Section 92
storage tanks approved list,
Specification
sample and
Section 92)
test asphalt
before use
ASPHALT RUBBER BINDER
See
Asphalt Asphalt feed Certificate of
Standard 1-qt Production start-up
Rubber line compliance
Specification wide-mouth 1 every lot evaluation and 1
Binder connecting to required for
Section 39- can random per 5 samples
Properties the HMA plant each lot
1.02D
For safety,
Asphalt Asphalt feed
Laboratory 1-gal engineer may
Rubber line 1 every lot;
Procedure wide-mouth 1 every lot witness
Binder connecting to see Remarks
LP-11 can contractor
Viscosity the HMA plant
perform test
Certificate of
compliance
required for
each shipment;
See
Base Asphalt 1-qt Production start-up if asphalt
Standard Asphalt Each
Binder wide-mouth evaluation and 1 binder source
Specification storage tank shipment
Properties can random per 5 samples is not on
Section 92
approved list,
sample and
test asphalt
before use
ASTM D445
Asphalt 1-qt Sample port
ASTM D 92 Each
Modifier wide-mouth on tanker 1 random per project
ASTM D shipment
Properties can truck
2007
CRM scrap
tire:
Laboratory Two 2.5-lb in
Crumb
Procedure gallon zip-
Rubber
LP-10 lock bags Each
Modifier CRM bulk bag 1 random per project
California CRM high shipment
(CRM)
Test 208 natural:
Properties
ASTM D 297 Two 2.5-lb in
gallon zip-
lock bags
.

Sample
Sampling
(See Note 1)
Type
HOT MIX ASPHALT MIX
Production
Samples
start-up Production start-up
AASHTO 10 lb, should be
Moisture Loose mix evaluation, evaluation, and
T304, sealed metal tested within 1
Content behind paver and minimum 1 per project
Method A container hour of
minimum 1 during paving
sampling
per project
Production start-up
evaluation. For
California 1 for each standard and method
Asphalt Binder Test 397 or Loose mix 750 tons, process: minimum 1
Content California behind paver 1 per day per day of paving
Test 382 minimum For QCQA process:
1 random for every
3,750 tons of paving
Production start-up
1 for each
evaluation, and
California Loose mix 750 tons,
Stability minimum 1 random
Test 366 behind paver 1 per day
for every 10,000 tons
minimum
or less of paving
Testing
Production start-up
1 for each frequency can
Maximum evaluation. For
California Loose mix 750 tons, be modified
Theoretical standard and QCQA,
Test 309 behind paver 1 per day per California
Density minimum 1 random
140 lb, minimum Test 375, Part
test per day of paving
cardboard 5D-5
boxes
(see Notes 5 Production start-up
1 for each
and 6) evaluation, and
Air Void California Loose mix 750 tons,
minimum 1 random
Content Test 367 behind paver 1 per day
for every 25,000 tons
minimum
of paving
Report only if
Production
Production start-up the adjustment
start-up
evaluation, and for asphalt
Voids Filled California Loose mix evaluation, 1
minimum 1 random binder content
with Asphalt Test 367 behind paver every 25,000
for every 25,000 tons target value is
tons of
of paving less than
paving
0.3%
Report only if
Production
Production start-up the adjustment
start-up
Voids in evaluation, and for asphalt
California Loose mix evaluation, 1
Mineral minimum 1 random binder content
Test 367 behind paver every 25,000
Aggregate for every 25,000 tons target value is
tons of
of paving less than
paving
0.3%

Sample
Sampling
(See Note 1)
Type
HOT MIX ASPHALT MIX Continued
Production Production start-up Report only if
start-up evaluation, and the adjustment
See Hot Mix
Dust California Loose mix evaluation, 1 minimum 1 for asphalt
Asphalt,
Proportion Test 367 behind paver every 25,000 random for every binder content
page 3 of 5
tons of 25,000 tons of target value is
paving paving less than 0.3%
HOT MIX ASPHALT MIX Construction Process QC/QA
Only for QC/QA:
150 lb (see production start-up
Production Report only; do
Note 7), evaluation, and
Moisture California Loose mix start-up not use test
sealed minimum 1 per
Susceptibility Test 371 behind paver evaluation, 1 result for
metal project during
per project acceptance
containers paving; see
Remarks
HOT MIX ASPHALT MIX Type A and RHMA-G using
Warm Mix Asphalt or Type A HMA with Greater Than 15 Percent Reclaimed Asphalt Pavement
Production
start-up
Production start-up
evaluation,
75 lb, evaluation, and
and
Moisture California sealed Loose mix minimum 1
minimum 1
Susceptibility Test 371 metal behind paver random for every
random for
containers 50,000 tons of
every 50,000
paving
tons of
paving
Production
start-up
Production start-up
evaluation,
75 lb, evaluation, and
AASHTO and
Hamburg sealed Loose mix minimum 1
T 324 minimum 1
Wheel Track metal behind paver random for every
(Modified) random for
containers 50,000 tons of
every 50,000
paving
tons of
paving

Sample
Sampling Acceptance
Test Size & Sampling
Test Location Test Remarks
Method Container Frequency
(See Note 1) Frequency
Type
PAVEMENT SMOOTHNESS
Pavement Entire final Entire final Areas exempt

Straightedge N/A N/A
surface surface surface; see from Inertial
Remarks Profiler
Entire final
surface
excluding
specified areas
Inertial Profiler requiring
AASHTO R 56
for Mean Each 0.1 Pavement Entire final Entire final straightedge.
& AASHTO R
Profile Index mile surface surface surface; see May use
57
and Areas of Remarks contractor-
Localized furnished profiles
Roughness provided that
engineer
witnessed profile
testing
TACK COAT
Based on
asphalt type
Spray bar on
used (see 1-qt
Asphalt asphalt Each truck 1 random per
Standard wide-mouth
Binder distributor load project
Specifications can
truck
Section 92)
Based on
emulsion type Spray bar on
Asphaltic used (see 1-gal emulsion Each truck 1 random per
Emulsion Standard plastic jug distributor load project
Specifications truck
Section 94)
As necessary
California Test for verification
Spread Rate N/A Pavement N/A
339 of tack coat
spread rate
Notes:
2. When using RAP, adjust gradation by the correction factor determined under Laboratory Procedure 9.
3. Store one 20-lb canvas bag for dispute resolution.
4. Store one 40-lb canvas bag for dispute resolution
5. Need twelve 8X8X3 boxes or eight 8X8X4 boxes. Store six 8X8X3 or four 8X8X4 for dispute resolution.
6. For Open Graded Friction Course, 40-lb sample size and use metal containers in place of cardboard boxes.
7. Contractor ships 75 lb to district material laboratory for testing and 75 lb to METS for testing.

Concrete Pavement (2010 Standard Specifications Section 40) (1 of 8)

Acceptance
Test Frequency
Size (See Note 1)
AGGREGATE: Coarse Aggregate
Prior to production
1 for every 4,000 cu
Los Angeles and minimum 1
yd if initial test
Rattler California random for every
See Note 2 Stockpile shows abrasion
(loss at 500 Test 211 25,000 cu yd or
loss greater than
revolutions) less of paving;
40%
see Remarks
Recommend 1
acceptance test per
Prior to production
day if 3 consecutive
and minimum 1
tests over 80;
Cleanness California for every 600 cu
25 lb Stockpile increase sampling
Value Test 227 yd, 1 per day
to 1 for every 300
minimum;
cu yd (deductive lot)
see Remarks
with engineers
authorization
Recommend 1
acceptance test per
Prior to production day if 3 consecutive
and minimum 1 tests are within
Sieve California for every 600 cu operating range;
50 lb Belt feed
Analysis Test 202 yd, 1 per day increase sampling
minimum; to 1 for every 300
see Remarks cu yd (deductive lot)
with engineers
authorization
AGGREGATE: Fine Aggregate
Prior to production
Organic California or when
See Note 2 Stockpile
Impurities Test 213 contamination is
suspected
California
Durability See Note 2 Stockpile Prior to production
Test 229
Recommend 1
acceptance test per
Prior to production
day if 3 consecutive
and minimum 1
tests over 80;
Sand California for every 600 cu
25 lb Stockpile increase sampling
Equivalent Test 217 yd, 1 per day
to 1 for every 300
minimum;
cu yd (deductive lot)
see Remarks
with engineers
authorization


Acceptance
Test Frequency
Size (See Note 1)
AGGREGATE: Fine Aggregate Continued
Recommend 1
Prior to production acceptance test per day
and minimum 1 if 3 consecutive tests are
Sieve California Test for every 600 cu within operating range;
50 lb Belt feed
Analysis 202 yd, 1 per day increase sampling to 1
minimum; see for every 300 cu yd
Remarks (deductive lot) with
engineers authorization
AGGREGATE: Coarse & Fine Aggregate
California Test Prior to production
Specific
206, and when
Gravity & See Note 2 Stockpile
California Test aggregate source
Absorption
207 changes
Soundness for fine
California Test
Soundness See Note 2 Stockpile Prior to production aggregate waived if
214
durability is 60
Sieve Analysis
Recommend 1
(combined
gradation
determined
California Test for every 600 cu within operating range;
with fine and N/A
202 yd, 1 per day increase sampling to 1
coarse
aggregate
sieve
analyses)
CEMENTITIOUS MATERIALS
Cement, Various Cement must be on
Properties; Authorized Material List;
See Standard Sample each 100
must comply cement accepted based on
Specifications tons of cement, 2
with Standard 8 lb Concrete plant certificate of compliance
Section 90- per day maximum;
Specifications with each shipment;
1.02B(2) see Remarks
Section 90- recommend 1 verification
1.02B(2) test per 5 samples
.


Acceptance
Test Frequency
Size (See Note 1)
CEMENTITIOUS MATERIALS Continued
Supplementary
Cementitious
SCMs must be on
Materials
Authorized Material
(SCM),
See Standard Sample each 100 List; SCM accepted
various
Specifications tons of SCM, 2 based on certificate of
properties; 8 lb Concrete plant
Section 90- per day maximum; compliance with each
must comply
1.02B(3) see Remarks shipment; recommend
with Standard
1 verification test per 5
Specifications
samples
Section 90-
1.02B(3)
WATER
California Clean 2-qt
Chlorides Water supplies for
Test 422 plastic jug with 1 per source;
At point of use domestic use do not
California lined, sealed see Remarks
Sulfates need to be tested
Test 417 lid
ASTM C 191
Setting Time or
ASTM C 266
Mortar
Water supplies for
Strength for required 1 per source;
quantity of see Remarks
Agents
with Standard
Section 90-
Specific
1.02D
Gravity
ADMIXTURE: Air Entraining Agent
Must be on Authorized
Air Entraining
Material List and
Properties;
See Standard 1-qt can or certificate of
must comply Sample each
Specifications plastic bottle compliance must
with Standard Concrete plant shipment ;
Section 90- of liquid, 2 lb accompany each
Specifications see Remarks
1.02E of powder shipment; recommend
Section 90-
1.02E)
samples
CHEMICAL ADMIXTURE: Water Reducers or Set Retarders
Material List and
ASTM C494
Claimed certificate of
Type A, B, D, 1-qt can of Sample each
properties, compliance must
F or Type G liquid, 2 lb of Concrete plant shipment;
chloride accompany each
California powder see Remarks
identification shipment; recommend
Test 415
samples
Note:

Sample Size
Sampling Acceptance
Test Test Method & Container Remarks
Location Test Frequency
Size
CONCRETE
AASHTO T Engineer may use
160 Modified contractor-provided test
Prior to
See Standard Set of three During mix design result for acceptance;
Shrinkage production;
Specifications 4 x 4 x 11 in. process test result must be within
see Remarks
Section 90- 3 years of contract
1.01D(3) authorization date
4 specimens Prior to production
Coefficient of JPCP report only
AASHTO T from single and 1 random per
Thermal Field qualification CRCP test result for
336 concrete project; see
Expansion acceptance
sample Remarks
When beams are
California Test molded and when
Point of concrete
Concrete 533 See test uniformity is
delivery into the
Uniformity method questionable,
work
ASTM C 143 minimum 2 per
day
Point of concrete
Concrete California Test When uniformity
100 lb delivery into the
Uniformity 529 is questionable
work
1 set of 2
beams
1 set per age for
6 x 6 x 32 in.
each 1,000 cu yd, Recommend frequency of
(min.) for Point of concrete
Modulus of California Test 1 per day every 2,000 cu yd if after
centerpoint delivery into the
Rupture 523 minimum; see 10 sets all tests are in
loading or work
Remarks and compliance
6 x 6 x 20 in.
Note 3
(min.) for third-
point loading
Point of concrete 1 every day of
California Test See test Only test when air
Air Content delivery into the production;
504 method entrainment is specified
work see Remarks

Sample Size &

Sampling Acceptance
Test Test Method Container Remarks
Size
PAVEMENT
4-in.-diameter
See Section 4-
California core, full 1 every 1200 sq
Thickness 4004 of this
Test 531 thickness of yd
manual
pavement
Dowel Bar
Measurement 1 test every 700 Each test consists of 2
Alignment 4-in.-diameter Transverse
and sq yd; see cores, one on each end
and Concrete core size pavement joints
Inspection Remarks of dowel bar
Consolidation
Tie Bar
Measurement 1 test every 4000 Each test consists of 2
Alignment 4-in.-diameter Longitudinal
and sq yd; see cores, one on each end
and Concrete core size pavement joints
Inspection Remarks of tie bar
Consolidation
1 test for each
Coefficient of California Each test consists of 5
N/A Pavement surface day of paving; see
Friction Test 342 measurements
Remarks
Measurement Entire final
Smoothness - Areas exempt from
with 12-ft N/A Pavement surface surface; see
Straightedge Inertial Profiler
straightedge Remarks
Smoothness -
Inertial
Entire final surface
Profiler for AASHTO R
Entire final excluding specified
Mean Profile 56 and
Each 0.1 mile Pavement surface surface; see areas requiring
Index and AASHTO R
Remarks straightedge
Areas of 57
Localized
Roughness

Concrete Pavement (Standard Specifications Section 40) (6 of 8)

Acceptance
Test Frequency
Size
MISCELLANEOUS CONCRETE PAVEMENT MATERIALS
BAR REINFORCING
Two 30-in.-
Bar See Standard
long samples
Reinforcing; Specifications
See Standard of each size
must comply Section 52 and as
Specifications for each
with Standard necessary for Each shipment must have
Section 40- shipment Job site
Specifications verification if certificate of compliance
1.02 and (epoxy-coated
Section 40- quality is
Section 52 prefabricated
1.02 and questionable; see
bar
Section 52 Remarks
reinforcement)
TIE BARS
Two 30-in.-
long samples See Standard
Tie Bars;
of each size Specifications
must comply See Standard
for each Section 52 and as
with Standard Specifications
shipment necessary for Each shipment must have
Specifications Section 40- Job site
(epoxy-coated verification if certificate of compliance
Section 40- 1.02 and
or epoxy- quality is
1.02 and Section 52
coated questionable; see
Section 52
prefabricated Remarks
reinforcement)
TIE BAR COUPLERS
As necessary for
verification if
Each shipment must have
Job site quality is
certificate of compliance
questionable;
see Remarks
TIE BAR BASKETS
Tie Bar
Baskets; must 1 per project and
See Standard
comply with as necessary for
Specifications
Standard 1 tie bar verification if Each shipment must have
Section 40- Job site
Specifications basket quality is certificate of compliance
1.02 and
Section 40- questionable;
Section 52
1.02 and see Remarks
Section 52
DOWEL BARS
Two 30-in.-
long samples See Standard
Dowel Bars;
of each size Specifications
must comply See Standard
for each Section 52 and as
with Standard Specifications
shipment necessary for Each shipment must have
Specifications Section 40- Job site
(epoxy-coated verification if certificate of compliance
Section 40- 1.02 and
or epoxy- quality is
1.02 and Section 52
coated questionable;
Section 52
prefabricated see Remarks
reinforcement)

Sample Size & Sampling Acceptance Test

Test Test Method Remarks
Container Size Location Frequency

DOWEL BAR BASKETS
Dowel Bar
Baskets; must
See Standard 1 per project and as
comply with
Specifications necessary for Each shipment must
Standard 1 dowel bar
Section 40- Job site verification if quality have certificate of
Specifications basket
1.02 and is questionable; compliance
Section 40-
Section 52 see Remarks
1.02 and
Section 52
CHEMICAL ADHESIVE FOR DRILLING AND BONDING TIE BARS AND DOWEL BARS
Chemical adhesive
As necessary for must be on
Chemical 1 prepackaged
verification if quality Authorized Material
Adhesive cartridge per Job site
is questionable; List; each shipment
Properties shipment
see Remarks must have certificate
of compliance
SILICONE JOINT SEALANT
Silicone Joint
Sealant; must
See Standard As necessary for
comply with 1 prepackaged Each shipment must
Specifications verification if quality
Standard cartridge per Job site have certificate of
Section 40- is questionable;
Specifications shipment compliance
1.02 see Remarks
Section 40-
1.02
ASPHALT RUBBER JOINT SEALANT
Asphalt Rubber
Joint Sealant;
See Standard As necessary for
must comply Each shipment must
Specifications 1-qt wide-mouth verification if quality
with Standard Job site have certificate of
Section 40- can is questionable;
Specifications compliance
1.02 see Remarks
Section 40-
1.02)
PREFORMED COMPRESSION SEAL
1 sample per size
Preformed of seal for each As necessary for
Each shipment must
Compression shipment. verification if quality
ASTM D 2628 Job site have certificate of
Joint Seals Contact METS for is questionable;
compliance
Properties sample see Remarks
dimensions
BACKER RODS
1 sample per size
of backer rod for As necessary for
Each shipment must
Backer Rod ASTM D 5249, each shipment. verification if quality
Job site have certificate of
Properties Type 1 Contact METS for is questionable;
compliance
sample see Remarks
dimensions

Sample Size &

Sampling Acceptance
Size
JOINT FILLER MATERIAL
1 sample per
As necessary for
thickness for
verification if Each shipment must
Joint Filler each shipment,
ASTM D 994 Job site quality is have certificate of
Properties 6 in. by full
questionable; compliance
width of
see Remarks
material
EPOXY POWDER COATING
1 per batch and
Must be on the
Epoxy 4 oz, within as necessary for
Contractor Authorized Material List;
Powder airtight verification if
supplier sample to each shipment must
Coating container for quality is
ship to METS have certificate of
Properties each batch questionable;
compliance
see Remarks
CURING COMPOUND
Each shipment must
have certificate of
compliance that
Curing
includes:
Compound
1. Test results for the
no. 1 or no. 2; ASTM C309
tests specified in
must comply Pigmented, 1 every shipment;
1-qt can At time of use Section 90-1.01D(6) of
with Standard Type 2, see Remarks
Standard
Specifications Class B
Specifications
Section 90-
2. Certification that the
1.03B(3)
material was tested
within 12 months
before use
Notes:
2. For initial testing, provide 100 lb of 1-1/2 in. x 3/4 in., 75 lb of 3/4 in. x No. 4, 75 lb of pea gravel, and 50 lb of sand. Use this
material for California Test 202, 206, 207, 211, 213, 214, 217, 227, and 229.
3. If concrete modulus of rupture is close to specification limit or outside the specification limits, sample and test concrete every
1000 cu yd so that deductions may be taken for noncompliant material.

Concrete Structures (2010 Standard Specifications Section 51) (1 of 5)

Acceptance
Test Frequency
Size (See Note 1)
Prior to production
Los Angeles and minimum 1 1 for every 4,000 cu yd,
Rattler California random for every if initial test shows
(loss at 500 Test 211 25,000 cu yd or abrasion loss greater
revolutions) less of concrete; than 40%
see Remarks
Recommend 1
and minimum 1 if 3 consecutive tests
Cleanness California for every 600 cu over 80. Increase
25 lb Stockpile
Value Test 227 yd, 1 per day sampling to 1 for every
minimum; see 300 cu yd (deductive
Remarks lot) with engineers
authorization
Recommend 1
acceptance test per day
Prior to production
if 3 consecutive tests
and minimum 1
are within operating
Sieve California for every 600 cu
50 lb Belt feed range; increase
Analysis Test 202 yd, 1 per day
sampling to 1 for every
minimum; see
300 cu yd (deductive
Remarks
lot) with engineers
authorization
Prior to production
suspected
California
Test 229
Recommend 1
1 every 600 cu yd, if 3 consecutive tests
Sand California 1 per day over 80. Increase
25 lb Stockpile
Equivalent Test 217 minimum; see sampling to 1 for every
Remarks 300 cu yd (deductive
lot) with engineers
authorization


Acceptance
Test Frequency
Size (See Note 1)
AGGREGATE: Fine Aggregate Continued
Recommend 1
Sieve California Test for every 600 cu within operating range;
50 lb Belt feed
Analysis 202 yd, 1 per day increase sampling to 1
Specific
206, and when
Absorption
207 changes
Soundness for fine
California Test
214
durability is 60
Sieve Recommend 1
Prior to production
Analysis acceptance test per day
and minimum 1
(combined if 3 consecutive tests are
for every 600 cu
gradation California Test within operating range;
N/A yd, 1 per day
determined 202 increase sampling to 1
minimum; see
with fine and for every 300 cu yd
Remarks
coarse sieve (deductive lot) with
analyses) engineers authorization
Cement, Cement must be on
various Authorized Material List;
Sample each 100
properties; See Standard cement accepted based
tons of cement, 2
must comply Specifications on certificate of
8 lb Concrete plant per day
with Standard Section 90- compliance with each
maximum; see
Specifications 1.02B(2) shipment; recommend 1
Remarks
Section 90- verification test per 5
1.02B(2) samples


Acceptance
Test Frequency
Size (See Note 1)
CEMENTITIOUS MATERIALS Continued
Supplementary
Cementitious
Materials SCMs must be on
(SCM), Sample each 100 Authorized Material List;
See Standard
various tons of SCM, 2 SCM accepted based on
Specifications Concrete plant
properties; 8 lb per day certificate of compliance
Section 90-
must comply maximum; with each shipment;
1.02B(3)
with Standard see Remarks recommend 1 verification
Specifications test per 5 samples
Section 90-
1.02B(3)
WATER
California Test Clean 2-qt
422 plastic jug 1 per source; see
California Test with lined, Remarks
417 sealed lid
ASTM C 191
Setting Time or
ASTM C 266
Mortar
Contact
Compressive ASTM C109
METS for Water supplies for
Strength 1 per source; see
required At point of use domestic use do not
Remarks
Coloring quantity of need to be tested
Must comply
Agents water sample
with Standard
Section 90-
Specific
1.02D
Gravity
ADMIXTURES: Air Entraining Agent
Air Entraining Must be on Authorized
Properties; Material List and
See Standard 1-qt can or
must comply Sample each certificate of compliance
Specifications plastic bottle
with Standard Concrete plant shipment; see must accompany each
Section 90- of liquid, 2 lb
Specifications Remarks shipment; recommend 1
1.02E of powder
1.02E samples
CHEMICAL ADMIXTURES: Water Reducers or Set Retarders
ASTM C494 Material List and
Claimed
Type A, B, D, 1-qt can of Sample each certificate of compliance
properties,
F or Type G liquid, 2 lb of Concrete plant shipment; see must accompany each
chloride
California Test powder Remarks shipment; recommend 1
identification
samples

Structures Concrete (2010 Standard Specifications Section 51) (4 of 5)

Acceptance
Test Frequency
Size (See Note 3)
CONCRETE
AASHTO T Engineer may use
160 Modified contractor provided test
Set of three Prior to
See Standard During mix design result for acceptance;
Shrinkage 4 x 4 x 11 production; see
Specifications process test result must be within
in. Remarks
Section 90- 3 years of contract
1.01D(3) authorization date
As necessary to
No deductions for cement
Concrete truck assure accuracy
California Test See test content will be made
Yield discharge chute of mix design;
518 method based on results of
minimum 2 per
California Test 518
each mix design
When
compressive test
California Test specimen is
Concrete truck
Concrete 533 See test fabricated & when
discharge chute
Uniformity method uniformity is
ASTM C143 questionable,
minimum 2 per
day
Concrete truck
Concrete California Test When uniformity is
100 lb discharge chute
Uniformity 529 questionable.
1 set per age for

every 300 cu yd
concrete or as
required for
acceptance;
California Test 1 set of 2 For trial batches, see
Concrete truck minimum 1 set per
Compressive 540, cylinders, Standard Specifications or
discharge chute project and mix of
Strength California Test 6 x 12 in., for job special provisions and
concrete for each
521 each test Section 6-3 of this manual
days production
of critical
structural
elements; see
Remarks
1 every 4 hours of
production and Where air is specified for
Concrete truck
California Test See test when test freeze-thaw resistance, a
Air Content discharge chute
504 method specimens are minimum of 1 every 30 cu
fabricated; see yd
remarks.


Acceptance
Test Frequency
Size (See Note 1)
CURING COMPOUND
Each shipment must
have certificate of
compliance that
Curing includes:
Compound, 1. Test results for tests
must comply specified in Section
1 every shipment;
with Standard ASTM C309 1-qt can At time of use 90-1.01D(6) of
see Remarks
Specifications Standard
Section 90- Specifications
1.03B(3) 2. Certification that
material was tested
within 12 months
before use
Notes:
1. See California Test No. 125 for sampling procedures.
material for California Test 202, 206, 207, 211, 213, 214, 217, 227, and 229.
3. See California Test 539 for sampling concrete procedures.

Concrete (2010 Standard Specifications Section 90) (1 of 7)
Concrete Except Minor Concrete and Rapid Strength Concrete

Acceptance
Test Frequency
Size (See Note 1)
Prior to production
Los Angeles 1 for every 4,000 cu yd,
and minimum 1
Rattler California if initial test shows
See Note 2 Stockpile random for every
(loss 500 Test 211 abrasion loss greater
25,000 cu yd;
revolutions) than 40%.
see Remarks
Recommend 1
Cleanness California for every 600 cu over 80; increase
25 lb Stockpile
Value Test 227 yd, 1 per day sampling to 1 for every
minimum; 300 cu yd (deductive lot)
see Remarks with engineers
authorization
Recommend 1
Sieve California for every 600 cu within operating range.
50 lb Belt Feed
Analysis Test 202 yd, 1 per day Increase sampling to 1
remarks (deductive lot) with
Prior to production
suspected
California
Test 229
Recommend 1
Sand California for every 600 cu over 80; increase
25 lb Stockpile
Equivalent Test 217 yd, 1 per day sampling to 1 for every
minimum; 300 cu yd (deductive lot)
see Remarks. with engineers
authorization
Recommend 1
Sieve California for every 600 cu within operating range;
50 lb Belt feed
Analysis Test 202 yd, 1 per day increase sampling to 1
Remarks. (deductive lot) with

Acceptance
Test Frequency
Size (See Note 1)
Specific
206, and when
Absorption
207 changes
Soundness for fine
California Test
214
durability is 60
Sieve Analysis
Recommend 1
(combined Prior to production
gradation and minimum 1
if 3 consecutive tests are
determined for every 600 cu
California Test within operating range.
with fine and N/A yd, 1 per day
202 Increase sampling to 1
coarse minimum;
for every 300 cu yd
aggregate see Remarks
(deductive lot) with
sieve
analyses)
Cement, Cement must be on
various Authorized Material List;
Sample each 100
properties; See Standard cement accepted based
tons of cement, 2
must comply Specifications on certificate of
8 lb Concrete plant per day
with Standard Section 90- compliance with each
maximum;
Specifications 1.02B(2) shipment; recommend 1
see Remarks
1.02B(2) samples
Supplementary
Cementitious
Materials SCMs must be on
(SCM), Sample each 100 Authorized Material List;
See Standard
various tons of SCM, 2 SCM accepted based on
Specifications
properties; 8 lb Concrete plant per day certificate of compliance
Section 90-
must comply maximum; with each shipment;
1.02B(3)
with Standard see Remarks recommend 1 verification
Specifications test per 5 samples
Section 90-
1.02B(3)

Acceptance
Test Frequency
Size (See Note 1)
WATER
California Test Clean 2-qt
422 plastic jug with 1 per source;
California Test lined, sealed see Remarks
417 lid
ASTM C 191
Setting Time or
ASTM C 266
Mortar
Water supplies for
Strength for required 1 per source;
quantity of see Remarks
Agents
with Standard
Section 90-
Specific
1.02D
Gravity
Air entraining Must be on Authorized
properties Material List and
See Standard 1-qt can or
Must comply Sample each certificate of compliance
Specifications plastic bottle of
with Standard Concrete plant shipment; must accompany each
Section 90- liquid, 2 lb of
Specifications see Remarks shipment; recommend 1
1.02E powder
1.02E samples
CHEMICAL ADMIXTURE: Water Reducers or Set Retarders
ASTM C494 Material List and
Claimed
Type A, B, D, 1-qt can of Sample each certificate of compliance
properties,
F or Type G liquid, 2 lb of Concrete plant shipment; must accompany each
chloride
California Test powder see Remarks. shipment; recommend 1
identification
samples

Sample Size &
Sampling Acceptance
Size
CONCRETE for Pavement and Structures
Engineer may use
AASHTO T
contractor provided test
160 Modified
Prior to result for acceptance;
See Standard Set of three: During mix design
Shrinkage production; test results must be
Specifications 4 x 4 x 11 in. process
see Remarks within 3 years of
Section 90-
contract authorization
1.01D(3)
date
CONCRETE Designated Compressive Strength 3600 psi or Greater
As necessary to No deductions for
Concrete truck assure accuracy cement content will be
California See test
Yield discharge chute; of mix design; made based on the
Test 518 method
see Note 3 minimum 2 per results of California
each mix design Test 518
When
compressive test
specimen is
ASTM C143, Concrete truck fabricated and
Concrete See test
California discharge chute; when consistency
Uniformity method
Test 533 see Note 3 or uniformity is
questionable,
minimum 2 per
day
Concrete truck
Concrete California When uniformity
100 lb discharge chute;
Uniformity Test 529 is questionable
see Note 3
1 set per age for
every 300 cu yd
For trial batches, see
1 set of 2 concrete or as
ASTM C172, Concrete truck Standard Specifications
Compressive cylinders required for
California discharge chute; or job special provisions
Strength 6 x 12 in. for acceptance,
Test 540 see Note 3 and Section 6-3 of this
each test minimum 1 set
manual
per project;
see Remarks
1 every 4 hours of
production and Where air is specified
Concrete truck
California See test when test for freeze-thaw
Air Content discharge chute;
Test 504 method specimens are resistance, a minimum
see Note 3
fabricated; of 1 every 30 cu yd
see remarks

Sample Size &
Sampling Acceptance
Size
CONCRETE With Compressive Strength Less Than 3600 psi
When
compressive test
ASTM C143, Concrete truck
Concrete See test specimen is
California discharge chute;
Uniformity method fabricated and
Test 533 see Note 3
when uniformity is
questionable
Concrete truck
Concrete California When uniformity
100 lb discharge chute;
Uniformity Test 529 is questionable
see Note 3
California 1 set of 2 1 set per age for
Concrete truck
Compressive Test 540, cylinders, every 300 cu yd,
discharge chute;
Strength California 6 x 12 in., for minimum 1 set
see Note 3
Test 521 each test per project
When
Where air is specified for
Concrete truck compressive test
California See test freeze-thaw resistance, a
Air Content discharge chute; specimens are
Test 504 method minimum of 1 every 100
see Note 3 fabricated;
cu yd
see Remarks
CURING COMPOUND
Each shipment must
have certificate of
compliance that
Curing includes:
Compound; 1. Test results for tests
must comply specified in Section
At time of use; 1 every shipment;
with Standard ASTM C309 1-qt can 90-1.01D(6) of
see Note 1 see Remarks
Specifications Standard
Section 90- Specifications
1.03B(3) 2. Certification that
material was tested
within 12 months
before use

Minor Concrete
Acceptance
Test Frequency
Size (See Note 1)
Cement,
Cement source must be
various
shown on Authorized
properties; See Standard Sample and test if
Materials List;
must comply Specifications cement quality is
8 lb Concrete plant certificate of
with Standard Section 90- questionable;
compliance must
Specifications 1.02B(2) see Remarks
accompany each
Section 90-
cement shipment
1.02B(2)
Supplementary
Cementitious
Materials SCM source must be
(SCM), shown on Authorized
See Standard Sample and test if
various Materials List;
Specifications SCM quality is
properties; 8 lb Concrete plant certificate of
Section 90- questionable;
must comply compliance must
1.02B(3) see Remarks
with Standard accompany each SCM
Specifications shipment
Section 90-
1.02B(3)
Air entraining
properties;
See Standard Materials List and
must comply
Specifications certificate of
with Standard N/A N/A See Remarks
Section 90- compliance must
Specifications
1.02E accompany each
Section 90-
shipment
1.02E
CHEMICAL ADMIXTURES: Water Reducers or Set Retarders
ASTM C494
Claimed Materials List and
Type A, B, D,
properties, certificate of
F or Type G N/A N/A See Remarks
chloride compliance must
California Test
identification accompany each
415
shipment

Minor Concrete
Sample Size &
Sampling Acceptance
Size
CONCRETE
As necessary to
No deductions for cement
assure accuracy
Concrete truck content will be made
California See test of mix design;
Yield discharge chute; based on the results of
Test 518 method minimum 1 per
see Note 3 California Test 518.
each mix design;
see Remarks
Sample and test if Minor concrete must have
California 1 set of 2 concrete quality is the strength described or
Concrete truck
Compressive Test 540, cylinders, questionable; 2,500 psi, whichever is
discharge chute;
Strength California 6 x 12 in., for minimum 1 per greater; see Standard
see Note 3
Test 521 each test mix design; Specifications Section 90-
see Remarks 1.02A
Where air is
specified for Where air is specified for
Concrete truck
California See test freeze-thaw freeze-thaw resistance, a
Air Content discharge chute;
Test 504 method resistance, a minimum of 1 every 100
see Note 3
minimum of 1 cu yd
every 100 cu yd.
CURING COMPOUND
Each shipment must have
certificate of compliance
that includes:
Curing
1. Test results for tests
Compound;
specified in Section
must comply
At time of use; 1 every shipment; 90-1.01D(6) of
with Standard ASTM C309 1-qt can
see Note 1 see Remarks Standard
Specifications
Specifications.
Section 90-
2. Certification that
1.03B(3)
material was tested
within 12 months
before use
Notes:
1. See California Test No. 125 for sampling procedures.
material for California Test 202, 206, 207, 211, 213, 214, 217, 227 and 229.
3 See California Test 539 for sampling procedures.

Miscellaneous Materials (1 of 5)
Sample Size
Sampling Acceptance
Size
BARBED WIRE (Section 80-2.02D)
Barbed Wire,
various
As necessary for
properties;
verification if
must comply
ASTM A 121 1 yd length Job site quality is
with Standard
questionable
Specifications
Section 80-
2.02D
BOLTS AND HARDWARE
Sample and test if not
2 samples
Each lot previously inspected at
each diameter
the source
CHAIN LINK FENCING (Section 80-2.02E)
Wire Mesh,
various Each lot for
properties; verification if Certificate of
ASTM A116,
must comply 2 ft width Job site quality is Compliance required
Class 1
with Standard questionable; for vinyl clad fencing
Specifications see Remarks
Section 80
CONCRETE AND CLAY PIPE
Compliance Sample and test if not
Contact METS Contact METS for
with previously inspected a
for instructions instructions
specifications source
JOINT FILLER EXPANSION
Compliance Each 1000 sq ft
6 in. long, full
with not less than 2
width of sheet
specifications per shipment
ELECTRICAL CONDUCTORS (Section 86-2.08)
Plastic
Conduit,
various Each lot for
See Standard
properties; 2 each, 3 in. verification if
Specifications Certificate of
must comply long, include Job site quality is
Section 86- compliance required
with Standard markings questionable;
2.08
Specifications see Remarks.
Section 86-
2.08

Sample Size
Sampling Acceptance
Size
GALVANIZED PIPE
1-ft length
Compliance from each end Sample and test if not
Each 500 lengths
with of length previously inspected at
or fraction
specifications tested of each the source
size
GEOSYNTHETICS (Section 88)
Various
Each lot for Certificate of compliance
properties;
See Standard verification if required for each lot;
must comply 1 piece, 3 ft x
Specifications Job site quality is unroll at least 1
with Standard full width of roll
Section 88 questionable. circumference before
Specifications
See Remarks. sampling.
Section 88
JOINT SEALS TYPE B (Section 51-2.02C(2))
Certificate of compliance
and certified test report
Various
required for each lot;
properties;
See Standard test report must include
must comply
Specifications Each lot; the seal MR,
with Standard 1 piece, 3 ft Job site
Section 51- see Remarks manufacturer minimum
Specifications
2.02(C) uncompressed width
Section 51-
and test results;
2.02C(2)
submit samples at least
30 days before use
JOINT SEALS Type A and Type AL (Section 51-2.02B)
Various
properties; Certificate of compliance
See Standard
must comply 1 qt of each 1 sample from required for each batch
Specifications
with Standard component Job site each component of sealant; submit
Section 51-
Specifications and primer of each batch samples at least 30 days
2.02B(2)
Section 51- prior to use
2.02B(2)
PAINT (Section 91)
Paint, various For If less than 20 gallons,
properties; miscellaneous testing not required and
See Standard
must comply painting, 1 qt Each batch; resident engineer must
Specifications Job site
with Standard (see Section see Remarks field release. Zinc-rich
Section 91
Specifications 6-2 of this primer must be on the
Section 91 manual) Authorized Material List.

Sample Size
Sampling Acceptance
Size
PAINT Structural Steel (Section 59)
Paint, various For bridge or
properties; major Unused portion of 5-gal
See Standard
must comply structure, Each batch; sample will be returned
Specifications Job site
with Standard send an see Remarks to job; see Section 6-2 of
Section 59
Specifications unopened 5- this manual
Section 59 gal can
PAVEMENT MARKERS (Section 85)
Pavement
Markers,
As necessary for
various
See Standard verification if Each shipment must
properties;
Specifications 20 markers Job site quality is have certificate of
must comply
Section 85 questionable; compliance
with Standard
see Remarks
Specifications
Section 85
PERMEABLE MATERIALS: Class 1, Class 2 & Class 3 (Section 68-2.02F)
Durability California Test
50 lb Stockpile Prior to use
Index 229
Sieve California Test Prior to use,1
50 lb Stockpile
Analysis 202 every day
PERMEABLE MATERIALS: Class 3 (Section 68-2.02F)
Crushed California Test
50 lb Stockpile Prior to use
Faces 205
PLASTIC CONDUIT (Section 86-2.05)
Plastic
Conduit,
various 2 in. long
As necessary for
properties; See Standard from center of
verification if
must comply Specifications length, Job site
quality is
with Standard Section 86-2.05 2 samples
questionable
Specifications each size
Section 86-
2.05
PRESTRESSED TENDON GROUT (Section 50-1.02C)
From batch
immediately after At the start of
mixing for each day's work
One 6 x 12 Repeat acceptance tests
California Test prequalification, and thereafter 1
Efflux time in. cylinder whenever source of
541 thereafter from test per each 5%
mold can material is changed
outlet end of of ducts;
tendon and/or see Remarks
storage tank

Sample Size
Sampling Acceptance
Size
RAISED BARS (PRECAST)
Compliance Sample and test if not
1 unit or full
with Each lot previously inspected at
size bar
specifications the source
REINFORCING STEEL (Section 52)
Reinforcing
Steel, various As necessary for
2 samples,
properties; See Standard verification if Each shipment must be
30 in., except
must comply Specifications Job site quality is accompanied by a
40 in. for #14
with Standard Section 52 questionable; certificate of compliance
& #18
Specifications see Remarks.
Section 52
SLOPE PROTECTION (Section 72-2.02A)
Adequate size of slope
As required for
Quarry or protection documented
Size N/A acceptance;
stockpile by measuring or
see Remarks
weighing the material
Apparent
California Test
Specific
206
Gravity
Quarry or
California Test 75 lb Prior to use
Absorption stockpile
206
Durability California Test
Index 229
STEEL PRODUCTS
Contact METS Contact METS for
for instructions instructions
STRUCTURAL STEEL AND MISCELLANEOUS IRON AND STEEL
2 samples,
30-in., cut Each heat or melt Sample and test if not
parallel to or 10 tons or previously inspected at
direction of fraction the source
rolling
WATER-PROOFING MATERIALS (Section 54-2)
9 sq ft of
ASTM D1668, asphalt 1 sample from
Glass Fiber Job site
Type 1 saturated each lot
cotton fabric
1 sample from
Asphalt ASTM D449 5 lb of asphalt Job site
each lot
1 qt of asphalt 1 sample from
Primer ASTM D41 Job site
primer each lot

Sample Size
Sampling Acceptance
Size
WIRE MESH REINFORCING (Section 52-1.02C)
Wire Mesh
Reinforcing
Steel,
As necessary for
various ASTM A 185/A Each shipment must
verification if
properties; 185M or be accompanied by a
9 sq ft Job site quality is
must comply ASTM A 497/A certificate of
questionable;
with Standard 497M compliance
see Remarks
Specifications
Section 52-
1.02C

Section 2 Acceptance of Manufactured or Fabricated Materials and

Products
6-201 General
6-201A References
6-202 Responsibilities for Acceptance of Manufactured or Fabricated Materials
and Products
6-202A Contractor
6-202A (1) Notice of Materials to Be Used
6-202A (2) Certificates of Compliance, Mill Test Reports, and Buy America Requirements
6-202A (3) Shop Drawings
6-202A (4) Quality Control Plans
6-202B (1) Notice of Materials to Be Used
6-202B (2) Job Site Materials Inspection
6-202B (3) Authorized Facilities Audit List
6-202B (4) Job Site Materials Production Plants
6-202C Materials Engineering and Testing Services
Figure 6-2.1 Inspection and Release FlowchartSource Inspection
6-202C (1) Processing Form CEM-3101
6-202C (2) Form TL-0028, Notice of Materials to Be Inspected at Jobsite
6-202C (3) Form TL-0608, Notice of Materials to Be Furnished
6-202C (4) Form TL-0038, Inspection Request
6-202D Assignment to Resident Engineer
6-203 Manufactured or Fabricated Materials and Products Acceptance
6-203A Source Inspection
Figure 6-2.2 Source Inspection Flowchart
6-203A (1) Inspection Requests and Dispatching
6-203A (2) Material InspectionSampling and Release
6-203A (3) Nonconforming Material at the Source
6-203A (4) Source Inspection Expense Deductions
6-203A (5) Source Inspected Materials Acceptance
Table 6-2.1 Inspection of Fabricated and Manufactured Materials
6-203A (6) Materials Manufactured to Caltrans-Specified Formulation
6-203B Materials Accepted on the Basis of Authorized Materials List
Table 6-2.2 Materials Acceptance Based on Authorized Materials List
6-203C Materials Accepted on the Basis of a Certificate of Compliance
Table 6-2.3 Materials Accepted by Certificate of Compliance

Acceptance of Manufactured or Fabricated Material and Products 6-2.i
6-203C (1) Asphalt
6-203C (2) Asphalt Rubber Latex Joint Filler
6-203C (3) Two-Component Joint Sealing Compounds
6-203C (4) Cement
6-203C (5) Paint
6-203C (6) Pavement Traffic Stripe and Marking Materials
6-203C (7) Reinforcement
6-203D Field Inspection and Release by the Resident Engineer
Figure 6-2.3 Inspection and Release FlowchartInspection at Job Site

6-2.ii Acceptance of Manufactured or Fabricated Material and Products
Section 2
Acceptance of
Section 2 Acceptance of Manufactured or Fabricated Manufactured or
Materials and Products Fabricated Materials
and Products
6-201 General 6-201

This section describes Caltrans procedures for acceptance of manufactured or General
fabricated materials and products. This section also describes the types of materials that
are considered manufactured material and provides guidelines for sampling these
materials.
Sampling and testing materials and products must be done in accordance with contract
specifications. Sampling and testing are of equal importance for assuring materials and
products meet acceptance specifications.
The contractor is responsible for notifying the resident engineer of the need for
inspection and acceptance testing of manufactured materials and products by
submitting Form CEM-3101, Notice of Materials to Be Used, early in the project.
The resident engineer needs to be knowledgeable about acceptance methods used for
different manufactured or fabricated materials and products, including:
Source inspection and testing.
Manufacturer certificate of compliance.
Manufacturer certificate of compliance with additional attachments.
Field release of material.
Field samples of manufactured materials or products.
When field sampling of manufactured or fabricated materials or products is required,
the resident engineer is responsible for the chain of custody for material and product
acceptance samples. Material acceptance samples must be under the control of Caltrans
from taking possession at the sampling point to when the sample is tested. The chain of
custody for material and product samples is an important part of the Caltrans quality
assurance program.
6-201A References
Independent Assurance Manual, Division of Engineering Services, Materials
Engineering and Testing Services, State of California, Department of
http://www.dot.ca.gov/hq/esc/Translab/ormt/IA_reports/index.htm

Acceptance of Manufactured or Fabricated Material and Products 6-2.1
Bridge Construction Records and Procedures, Volume II, Division of Engineering
Services, Office of Structures Construction, State of California, Department of
California Test (CT-___), Division of Engineering Services, Materials Engineering
and Testing Services (METS), State of California, Department of Transportation,
available at:
AASHTO, ASTM, and other test methods are available at IHS Standards Expert
website (by clicking on IHS Specs & Stds Search), accessible by Caltrans staff
at:
J2 Database, Office of Structures Materials (OSM) electronic materials
management database where each projects test results and CEM-3101 responses
are captured along with other METS project-related information, available at:
http://onramp.dot.ca.gov/hq/esc/mets/structure_materials/
Materials Plant Quality Program, Division of Construction, State of California,
Department of Transportation, available at:
Office of Structural Materials Practices and Procedures Manual (OSMPP),
methods and procedures to provide consistent quality assurance and source
inspection, available at:
http://www.dot.ca.gov/hq/esc/Translab/OSM/documents/smdocuments/OSM
PP.pdf
Overhead Sign Structures Guide, Division of Engineering Services, Office of
Structures Design, State of California, Department of Transportation, available at:
http://onramp.dot.ca.gov/hq/des/spi/design_and_technical_services/docs/Over
head%20Sign%20Structures%20Guide.pdf
6-202 6-202 Responsibilities for Acceptance of Manufactured or Fabricated

Responsibilities for Materials and Products
Acceptance of The following describes the responsibilities for acceptance of manufactured or
Manufactured or fabricated materials and products.
Fabricated Materials
and Products 6-202A Contractor
The contractor is responsible for providing materials that comply with the contract
specifications. The contractor is responsible for the quality of materials and, where
required by the specifications, must provide a notice of materials to be used, shop
drawings, certificates of compliance, mill test reports, quality control plans, and quality
control test results. The contractor must use materials from the authorized materials list,
provide fabricated materials from audited facilities, and use materials that comply with
Buy America requirements.

6-2.2 Acceptance of Manufactured or Fabricated Material and Products
6-202A (1) Notice of Materials to Be Used
The contractor is responsible for submitting Form CEM-3101, Notice of Materials to
Be Used, to the resident engineer for all materials to be used on the project. The
contractor must provide sufficient advance notification to the resident engineer on the
source and location of materials to be inspected and tested so that the work will not be
delayed. Section 6, Control of Materials, of the Standard Specifications requires the
contractor to list on Form CEM-3101 all sources of materials and locations where these
materials are available for inspection. Receiving this form in a timely manner is critical
to the success of the materials management process.
The contractor can get Form CEM-3101 at:
http://www.dot.ca.gov/hq/esc/Translab/OSM/osmma.htm
The back of the form contains detailed completion instructions.
6-202A (2) Certificates of Compliance, Mill Test Reports, and Buy America
Requirements
The Standard Specifications requires the contractor to submit a certificate of
compliance for various materials before they are incorporated into the work. Section
6-3.05E, Certificates of Compliance, of the Standard Specifications states that when
a certificate of compliance is required it must:
Be submitted for each lot of material and clearly indicate what lot is included in the
certificate.
Be signed by the producer of the material stating that it complies with the contract.
The intent of the certificate of compliance is to communicate to Caltrans that the
contractor has accepted the material and is confident that it complies with the contract
specifications. The contractor is responsible for providing the certificate of compliance
prior to incorporating material into the project. For materials that are delivered to the
job site to be accepted that are based on a certificate of compliance, the certificate of
compliance and any supporting documentation must accompany the material to the job
site.
Table 6-2.3, Materials Accepted by Certificate of Compliance, provides a list of
materials requiring a certificate of compliance as well as any additional documents.
The Standard Specifications require the contractor to provide certified test reports
along with the certificate of compliance for various materials. For steel, this test data is
commonly known as a mill test report. A certified mill test report is required for each
heat and must contain physical and chemical analysis of the material. The requirements
for the mill test report vary depending on the section of the Standard Specifications the
material falls under.
Section 6-2.05, Buy America, of the Standard Specifications provides detailed
information on Buy America requirements. The contractor is responsible for providing
certificates of compliance and mill test reports that clearly indicate the material meets
the Buy America requirements. The following are examples of acceptable language
included in the certificate of compliance to verify Buy America compliance:
All melting and manufacturing processes for the product occurred in U.S.
100% melted and manufactured in the U.S.A.

6-202A (3) Shop Drawings
The Standard Specifications requires the contractor to submit shop drawings for review
by Caltrans for certain structures such as structural steel and structural precast concrete.
The shop drawings must include both shop details and erection plans. For more
information on submittal and authorization of shop details and erection plans, refer to
Contractors must submit shop drawings for overhead sign structures. For more
information on submittal and authorization of shop drawings, refer to the Overhead
Sign Structures Manual. Section 4-56, Signs, of this manual contains additional
information.
Prior to Caltrans performing any source inspection, the contractor is required to have a
copy of the authorized shop drawings at the location of inspection.
6-202A (4) Quality Control Plans

The Standard Specifications requires the contractor to submit a quality control plan for
certain types of production. Information on quality control plans for those production
types is provided in the Standard Specifications as follows:
Section 11-2: precast concrete
Section 11-3: welding
Section 39-2: hot mix asphalt
Section 40-1: concrete pavement
Section 56-2: sign panels
Section 59-2: paint
The resident engineer does not allow work to begin until the quality control plan is
authorized for that production. For more information on the contents of quality control
plans, refer to the Standard Specifications.
Specifications for welded products usually require the contractor to submit the
fabricators welding quality control plan to the resident engineer for authorization prior
to manufacturing any products for Caltrans. For details on quality control plans for
welding, refer to Section 180, Welding, of Bridge Construction Records and
Procedures, Volume II.
METS Office of Structures Materials (OSM) has information on quality control plan
requirements for welding, available at:
http://www.dot.ca.gov/hq/esc/Translab/OSM/documents/smdocuments/Welding_
Quality_Control_Plan_Req.doc

The resident engineer must ensure that materials entering the work comply with the
requirements in the contract specifications.
6-202B (1) Notice of Materials to be Used

The resident engineer must ensure that the contractor submits Form CEM-3101,
Notice of Materials to Be Used, for all materials. If the contractor does not submit

Form CEM-3101 before the preconstruction conference, provide a list to the contractor
during the preconstruction meeting of materials that are required to be listed on Form
CEM-3101.
If the sources of all materials are not known, the contractor may submit a partial list of
materials sources on Form CEM-3101 and submit Form CEM-3101 supplements as
soon as other sources are known.
METS developed the J2 database for tracking project materials requirements, Form
CEM-3101 processing, materials test results, and source inspection. Entering the
contract number at the top of the database in the Projects box opens that projects
main page. Clicking on the 3101 Report tab opens a list of all the bid items requiring
CEM-3101s for the project and what CEM-3101s have been received. The list shows
the name and address of the supplier and the date the CEM-3101 was received.
Assistance in developing a list of project materials that require Form CEM-3101 and in
navigating the J2 database is available from the structural materials representative
(SMR) for the project. SMR contact information is available at:
http://www.dot.ca.gov/hq/esc/Translab/OSM/documents/smdocuments/Structural
MaterialsRepresentatives.pdf
The contractors submitted Form CEM-3101 must include the following information:
The contract number and the contract items for which the material will be used. If
the contractor uses a project number (different from the Caltrans contract number),
include that number.
The name, address, and telephone number of the manufacturer.
The name, address, and telephone number of the supplier or manufacturer where
the material can be inspected.
If the source of material is out-of-state, also include the name, address, and
telephone number of the contractor or subcontractor placing the order and the
order number.
Check Form CEM-3101 for the required information and for completeness. To ensure
that all structural materials are listed, a list of materials necessary based on contract bid
item is available at:
http://www.dot.ca.gov/hq/esc/Translab/OSM/j2_item_categories.php
If the contractors Form CEM-3101 is incomplete or incorrect, require the contractor to
complete the form. When the contractors Form CEM-3101 has been reviewed and is
complete, promptly distribute Form CEM-3101 copies, including one to METS. The
resident engineer sends Form CEM-3101 to the materials administrator at:
Materials Administrator, Mail Station #5
Materials Engineering & Testing Services
5900 Folsom Blvd, Sacramento, CA 95819
Fax: (916) 227-7084
METS will make required assignments for sampling, testing, and inspection of
materials as noted in Section 6-202C, Materials Engineering and Testing Services, of
this manual.

6-202B (2) Job Site Materials Inspection
Based on assignment of materials inspection from METS to the resident engineer and
the information shown on Form CEM-3101, the resident engineer must identify the
appropriate district samplers, testers, and inspectors. Following is a partial list of those
who may need to be notified to perform material acceptance:
District staff who will be obtaining samples and tests on each material.
District staff who will be obtaining samples for each material accepted on the basis
of a certificate of compliance. Testing is normally done by METS.
Office of Structures Construction review and authorization of shop drawings for
overhead sign structures.
District weights and measures coordinator to inspect materials plants in accordance
with California Test 109, Method for Testing of Material Production Plants, or
the Material Plant Quality Program (MPQP).
6-202B (3) Authorized Facilities Audit List

Some structural materials such as structural precast concrete, overhead signs and poles,
and steel pipe piling must be fabricated at a facility on the authorized facility audit list
that shows fabricators who have successfully completed Caltrans facility audit. If
these materials are included in the scope of work, ensure that the contractor is aware of
these requirements. Information on the authorized facility audit list is available at:
http://www.dot.ca.gov/hq/esc/Translab/OSM/documents/smdocuments/Internet_a
uditlisting.pdf
6-202B (4) Job Site Materials Production Plants

The resident engineer must ensure materials production plants, such as hot mix asphalt
plants and concrete plants, meet specifications prior to producing material for Caltrans.
Request assistance from the district weights and measures coordinator for inspecting:
Hot mix asphalt plants.
Concrete plants.
Volumetric proportioning plants (rapid strength concrete and pavement
bituminous seals).
Section 9-1.02 [9-1.01], Measurement, of the Standard Specifications indicates the
general requirements for weighing, measuring, or metering devices and the
requirement to place security seals on material plant controllers. The district weights
and measures coordinator will follow California Test 109, Method for Testing of
Material Production Plants, or the MPQP and the contract specifications for material
plant authorization.
6-202C Materials Engineering and Testing Services

METS assigns personnel for sampling, testing, and inspecting manufactured materials
and products, usually at the source of supply. Manufactured materials and products
shown in Table 6-2.3, Materials Accepted by Certificate of Compliance, in Section
6-203C of this manual, are the responsibility of METS but have been delegated to the
resident engineer for inspection.

METS assigns the responsibility for sampling, testing, and inspecting manufactured
materials and products based on the information submitted on Form CEM-3101.
METS offices in Sacramento, San Francisco Bay Area, or Los Angeles conduct most
of the inspections. METS may assign sampling, testing, and inspecting of
manufactured materials and products to the district materials engineer, resident
engineer, or a commercial laboratory.
The METS process for inspecting and releasing manufactured or fabricated materials
or products is shown in Figure 6-2.1, Inspection and Release FlowchartSource
Inspection.
Figure 6-2.1 Inspection and Release FlowchartSource Inspection
METS Receives
Form CEM-3101
METS METS
Response Response
TL-0028 TL-0608
Inspection at Source
Job Site Inspection
METS Reassign to Resident Engineer
CEM-4102 TL-6014
CEM-4102 TL-0029
Field Release Release from
Field Release of
with Source with
Release with Materials
Certificate of Materials
Field from the
Compliance Suitability
Sampling Source Report
and
and Testing Orange Tag Blue Tag
Programmatic
TL-0624 TL-0625
Assessment
6-202C (1) Processing Form CEM-3101

Once Form CEM-3101 is received by the materials administrator, it is routed to the
appropriate METS office for processing. Any questions regarding Form CEM-3101
processing by METS may be routed to the project SMR. Structural materials listed on
Form CEM-3101 are processed by the quality assurance and source inspection (QASI)
office assigned to that project.
6-202C (2) Form TL-0028, Notice Of Materials to Be Inspected at Job Site

If it is determined that the material does not require source inspection, METS will
assign inspection to the job site by completing Form TL-0028, Notice of Materials to
Be Inspected at Jobsite, for that material item. This form indicates that the material
item does not require source inspection from Caltrans at this time. METS will send
Form TL-0028 to the resident engineer, prime contractor, and suppliers to inform them
that source inspection is not required prior to shipment to the job site.
The resident engineer will release these materials at the job site using Form CEM-
4102, Materials Inspected and Released on Job. Section 6-3, Field Tests, of this

manual contains details on testing that occurs at the job site. Depending on the material,
the resident engineer bases the field material acceptance on various methods. Refer to
Section 6-203D of this manual for the field inspection and release procedures.
6-202C (3) Form TL-0608, Notice Of Materials to Be Furnished

If it is determined that the material requires source inspection prior to shipment to the
job site, METS will issue Form TL-0608, Notice of Materials to Be Furnished, to the
resident engineer, contractor, and supplier. A hard copy of Form TL-0038, Inspection
Request, is mailed with Form TL-0608 to the supplier. The inspection request form is
to be used by the contractor or any subcontractors to inform METS when the material
is ready for inspection.
Source inspection by Caltrans is detailed in the OSMPP manual and described in
Section 6-202C of this manual.
6-202C (4) Form TL-0038, Inspection Request

Form TL-0038, Inspection Request, is used by the contractor or supplier to inform
Caltrans that material located away from the job site is ready for inspection. If the
contractor has received a Form TL-0608 for an item, Caltrans will be expecting a Form
TL-0038 to initiate the source inspection.
Form TL-0038 and instructions for submitting the request are available at:
http://www.dot.ca.gov/hq/esc/Translab/OSM/smbforms.htm
It is important to remind the contractor that, in accordance with Section 6-3.05C,
Material Source Inspection and Testing, of the Standard Specifications, the
inspection request must be submitted:
At least 3 business days before the requested inspection date for a material source
within California.
At least 5 business days before the requested inspection date for a material source
outside California but within the U.S.
Fifty days before the planned production start for a material source outside the
U.S. Notify the resident engineer at least 20 days before the actual start.
The resident engineer may also use Form TL-0038 to request field inspection by
METS for structural items such as field welding.
6-202D Assignment to Resident Engineer

METS may assign inspection of manufactured or fabricated materials and products for
which they have acceptance responsibility back to the resident engineer. Refer to
Section 6-203D of this manual for details on inspection and release.
6-203 6-203 Manufactured or Fabricated Materials and Products

Manufactured or Acceptance
Fabricated Materials The resident engineer must ensure that materials entering the work meet the contract
and Products specifications acceptance criteria. Materials acceptance can be based on:
Acceptance
Source inspection.
Product on authorized materials list.

Certificate of compliance.
Certificate of compliance with accompanying documents.
Field inspection and release by the resident engineer.
If the material delivered to the job site lacks proper identification, the report of
inspection is unconfirmed, or the acceptability of the material is questionable, do not
allow materials to be incorporated in the work until they have been found to comply
with the specifications. Contact the assigned inspection unit to verify testing or submit
samples for new acceptance tests.
6-203A Source Inspection

METS is responsible for the source inspection process shown in Figure 6-2.2, Source
Inspection Flowchart.

Figure 6-2.2. Source Inspection Flowchart
Source Inspection
Yes
Green Tag
TL-6011,
Does material Is material Component Material
Material Is additional
conform to a Inspection Report or
Yes tagged for Yes METS
contract component TL-6012, Report of
shipment inspection
requirements? or stock? Inspection of Stock
required?
Material
No No
No
TL-0015, Quality Assurance Orange Tag

Nonconformance Report TL-0624, Inspection
(NCR) Release Tag
TL-0029, Report
of Inspection of
Is contractors Construction Material
proposed requests proposed
resolution Yes resolution from
necessary as contractor
determined by
METS and RE?
Material released to job site
No
METS and RE assess TL-6014, Material

Contractor submits
material suitability with design Suitability Report
proposed resolution
as needed
Decision documented
on TL-6013, Materials METS or RE METS verifies Blue Tag-
Suitability notifies contractors TL-0625,
Documentation Report contractor to implementation of Material
proceed resolution Suitability Tag
Is material
accepted? Accepted
Change order
processed by
Construction
Rejected METS resolves NCR on

TL-0016, Quality
Assurance
Nonconformance
Resolution

When a material listed on Form CEM-3101 is assigned a Form TL-0608, source
inspection is required prior to shipment of the material to the job site and final
acceptance. Table 6-2.1, Inspection of Fabricated and Manufactured Materials,
provides a list of common materials on Caltrans projects and some of the primary
source inspection activities.
A METS inspector will travel to the source of the material and perform inspection,
sampling, verification testing, and material release as necessary. Complex fabrication
such as with precast prestressed concrete members and structural steel typically
requires inspection during fabrication (in-process inspection).
METS must receive all information that could affect materials that are source
inspected. Forward all copies of authorized shop drawings as well as notification of
approved change orders to the SMR for the project. Forward to METS copies of
approved shop drawings without established distributions (for example, buildings or
small structures) and notification of approvals (such as paint color) or change orders.
METS should receive copies of all correspondence with contractors or suppliers that
may affect the fabrication.
Some inspections require out-of-state travel. It is important for METS to receive all
documents before travel to ensure timely inspection and release. For instance, light
poles are manufactured at various suppliers throughout the U.S.; therefore, it is crucial
that authorized shop drawings are available for the METS inspector to be able to
perform inspection and release. The travel time for such inspections is significant.
Coordination between resident engineer and METS is crucial for timely release of the
poles.
In addition to source inspection, METS performs sampling and testing for certain
materials in conformance with associated standards as a part of the quality assurance
program. The list of additional tests performed by METS is available in detail in the
OSMPP manual.
The main point of contact for the resident engineer for anything related to source
inspection is the SMR assigned to the project. SMR contact information is available at:
http://www.dot.ca.gov/hq/esc/Translab/OSM/documents/smdocuments/Structural
MaterialsRepresentatives.pdf
6-203A (1) Inspection Requests and Dispatching

The contractor is responsible for submitting Form TL-0038, Inspection Request, to
the appropriate METS QASI office with sufficient advance notice as described in
Section 6-3.05C, Material Source Inspection and Testing, of the Standard
Specifications. The appropriate office to send Form TL-0038 is available at the METS
website:
http://www.dot.ca.gov/hq/esc/Translab/OSM/smbforms.htm
This website allows the contractor to determine the appropriate QASI office by
selecting the county in which the project is located from a list. The TL-0038 can come
from the contractor or their subcontractors.
Each QASI office has a dispatcher who receives the TL-0038s and schedules
inspections accordingly.

6-203A (2) Material InspectionSampling and Release
The SMR assists the resident engineer with management of source-inspected materials.
The METS inspector acts as the eyes and ears of the SMR and resident engineer at the
materials source. Inspected materials are identified with a unique inspector lot number
that correlates the material with reports and release tags.
The METS inspector assesses the sources quality control methods and reviews the
certificates of compliance and any additional documentation such as mill test reports.
The METS inspector also performs random visual inspection of the material and any
other required inspections such as non-destructive testing. For more information on the
types of inspection required for common materials, refer to Table 6-2.1 of this manual
and the OSMPP manual.
If sampling of the material is required at the source, the METS inspector will randomly
sample the material at the required frequency and fill out a TL-0101, Sample
Identification Card, to accompany the material to the Transportation Laboratory.
Sampling may be performed in the field by either the METS inspector or field
construction staff. The materials certificate of compliance and any additional
documents must be sent with the material to the lab as well. If the material is
undergoing mechanical testing, the resident engineer can track the testing progress by
using the J2 database and clicking on the SMTL Test Reports tab for the project.
If the material is found to be acceptable, the inspector identifies it with Form TL-0624,
Inspection Release Tag, commonly known as an orange tag. METS inspectors will
not necessarily tag every bundle and piece in a shipment. If there are many components
going out in one shipment, it is common that a single orange tag will be placed on the
load. The orange tag will correlate to the certificate of compliance and bill of materials
with the inspectors unique lot number. This tells the resident engineer what material
the tag covers.
After the material is orange-tagged for release, the METS inspector enters the lot
number, a description, and quantity of materials inspected on Form TL-0029, Report
of Inspection of Material. A completed copy of Form TL-0029 is sent to the resident
engineer for the project records.
Certain materials are included in the METS authorization-to-deliver program. Source
inspection for these materials is different from typical procedures in that it includes a
recurring audit at a prescribed frequency, with material sampling and testing. If the
facility is approved to be in the authorization-to-deliver program, they are authorized to
ship material to the job site without receiving a physical tag for the material. A TL-
0029AD, Report of Inspection of Material (Authorization to Deliver), is produced by
METS and sent to the resident engineer and the supplier notifying them that the
material is acceptable to be shipped. The resident engineer should not expect to obtain
a tag from the material if a TL-0029AD report was received. However, the resident
engineer should match the TL-0029AD report with the actual shipped material
quantities and certificate of compliance to ensure that the material arrives within a
reasonable timeframe.
When source-inspected materials arrive on the job site, the attached Form TL-0624
informs the resident engineer to permit use of the materials. The attached form shows
the identifying lot number, the inspectors initials, and the date of inspection. If the item
does not lend itself to attaching of tags, such as reinforced concrete pipe, the inspector
marks the lot number on each separate piece. In some instances, when there is a

possibility of losing tags, the inspector both attaches tags and marks a lot number on
the pieces. METS inspectors will not necessarily tag every bundle and piece in a
shipment (with the exception of reinforced concrete pipe).
It is important to note that the resident engineer must inspect the materials for damage
that may have occurred during shipping or storage and for general workmanship and
conformance to planned shape or dimensions. Table 6-2.1 of this manual provides
examples of types of field inspections for common materials.
The resident engineer may not receive the completed Form TL-0029 until after the
materials have arrived at the job site. The resident engineer must ensure the correct
material was shipped to the job site by verifying that the lot number and quantity of
material shown on Form TL-0029 matches the identifying information, such as Form
TL-0624, that was attached to or marked on the materials. Notify the project SMR of
any discrepancies so that an investigation can be conducted.
The resident engineer must inform the assigned METS inspection office if Form
TL-0029 is not received within 15 days after receipt of materials.
For in-process inspections, METS will produce an inspection report, unique to the type
of inspection, and distribute it to the resident engineer for review and incorporation into
the project files. More information on the various types of inspection reports is in the
OSMPP manual.
6-203A (3) Nonconforming Materials at the Source

If the inspector observes that the material does not comply with the specifications at the
requested time of release, the manufacturer or fabricator is notified and allowed one
work shift to correct. If the material cannot be brought into conformance within the
time period, METS will send a TL-0015, Quality Assurance Nonconformance
Report, (NCR) to the resident engineer within 24 hours of the observation. The
resident engineer then sends a letter to the contractor informing them of the NCR and
requesting a written response to resolve the issue.
The purpose of the NCR is to formally document the reason the material does not meet
the specifications and to prompt the contractor to propose resolution and prevention
measures in the response letter. This report is input into the J2 database under the
Issues tab so that the information is available to Caltrans staff outside the project to
help avoid future issues statewide.
When the resolution letter is submitted by the contractor, the resident engineer and
METS will perform a review. If the resolution is insufficient, the contractor will be
notified and allowed to revise the letter and resubmit. If the resident engineer decides
that the material is not suitable for the project, it will be rejected and prohibited from
incorporation into the project.
If the letter is found to be acceptable, METS will issue a TL-0016, Quality
Assurance-Nonconformance Resolution, to the resident engineer recommending a
resolution and closure of the issue. In some cases, the material is found to be suitable
for the intended purpose by the resident engineer, METS, and the engineer of record
for project design, but it does not meet the contract specifications. In this case, METS
will produce a TL-6013, Material Suitability Documentation Report, to document
the engineering judgment used to determine the material to be suitable and concurrence
from the resident engineer, METS, and engineer of record for project design. Once

authorized, the material can be released by the inspector by placing a TL-0625,
Material Suitability Tag, (blue tag) onto the material in a similar fashion as with an
orange tag. A TL-6014, Material Suitability Report, is written in place of a TL-0029
and sent to the resident engineer.
When METS and the resident engineer disagree about whether the material is
suitable or unsuitable, the METS Office of Structural Materials senior engineer
and the construction engineer discuss and resolve the disagreement. When
consensus is not achieved at this level, the issue must be elevated to the appropriate
supervisors and a mutual solution reached.
The blue tag is only a release of the material from the source. The resident
engineer may need to prepare a change order to address acceptance of the material.
Section 5-302, Change Order Policy, of this manual includes guidance for
deciding whether a change order is needed. When a change order is needed, it
must be approved prior to incorporating the material into the work. The resident
engineer sends METS copies of approved change orders addressing blue tag
issues. The projects materials certification memorandum must include material
that is approved for use but does not meet original contract specifications.
Figure 6-2.1, Source Inspection Flowchart, shows the source inspection process,
including what happens when a material is not in compliance with the specifications.
6-203A (4) Source Inspection Expense Deductions

Due to the costs incurred by Caltrans when traveling for source inspection to material
sources that are far away from the job site, Section 6-3.05B, Source Inspection
Expense Deductions, of the Standard Specifications provides the details for
deductions to be taken when applicable. To determine where inspections have taken
place for a project, the resident engineer can review the inspection reports that provide
inspection locations.
6-203A (5) Source Inspected Materials Acceptance

The resident engineer and METS share the responsibility for inspection of materials at
the source. The resident engineer has the sole responsibility for acceptance of material
and may determine that materials are not acceptable for a project based on any of the
following reasons:
Damaged materials: The material may be damaged in shipment or installation.
Material defects: It is not always practical for METS to make a 100 percent piece-
by-piece inspection. The inspection is usually random sampling. The resident
engineer or assistant resident engineer should check for visually detectable defects
or damage.
Incorrect wall thickness of metal culvert pipe: A given size of metal culvert pipe
may vary in required thickness at various locations with different fill heights.
METS inspectors cannot guarantee that a given piece of pipe will be placed at the
proper location. They can only check the pipe for specified markings and
determine that the measurement is within tolerance for the indicated thickness. Fit
of band couplers should also be checked at the job site.
Incorrect reinforced concrete pipe wall thickness: Some contracts require special
wall thickness of reinforced concrete pipe at certain locations in the project, and

the METS inspector would not know the specific job site location of that particular
pipe when the pipe is released. The inspector can only determine that it fits one of
the types specified.
Specifications and change orders: The specifications may be difficult to interpret or
the source inspector is not aware of a change order.
Another situation not controllable by inspection at the source is the transfer of materials
from one contract to another. The inspector can confirm (by a copy of the original
inspection report) that a given amount of material with a given lot number was
inspected for the first contract. Identifying the material as that received on the first job
under the original inspection report and monitoring its transfer from one job to another
are responsibilities of the resident engineers involved. Such transfers should not be
allowed unless the material is positively identified or is of a type (such as fencing or
reinforcing steel) that can be resampled and retested in the event identification is lost or
is questionable.
Table 6-2.1 lists manufactured or fabricated materials and products that are usually
inspected at the site of manufacture or fabrication and indicates items that are checked
by the inspector at the source. Table 6-2.1 also includes items that must be checked or
rechecked at the job site to ensure that the materials are acceptable. The table does not
cover all manufactured or fabricated materials and products but provides typical
examples.
Table 6-2.1 does not provide a complete list of inspection procedures. Verification at
the source of fabrication does not preclude acceptance by the resident engineer at the
job site. For more details on the inspection procedures, refer to Section 6-3, Field
Tests, of this manual and the OSMPP manual.

Table 6-2.1. Inspection of Fabricated and Manufactured Materials (1 of 3)
Product Items Inspected and Tested by METS Items to Check at Job Site
Visible defects, dimensions, threads,
galvanizing, marking for correct type fit
of nuts. Make sure high-strength bolts
Bolts, nuts, and Material sampling and testing including
and nuts are used where specified and
washers galvanizing, visual inspection.
nuts are lubricated properly. (Refer to
Bridge Construction Records and
Procedures.)
Curing compound Material tests by batch or lot, check marking. Proper mixing, marking, check sample.
(chlorinated rubber (Other types accepted at job site if properly Check for specified type of container
type) packaged and labeled.) and correct marking.
Bearing,
elastomeric bearing
Material sampling and specified tests, visual and Damage, defects, uniformity,
pads - steel
dimensional inspection certification. dimensions.
reinforced, PTFE
bearing
Shipping damage, defects,
Electrical items- Controllers: complete tests and inspection.
conformance to plans, type, operational
controllers, Luminaries: random tests, visual inspection.
check, and so on. Check loop detectors
luminaries, signal Signal heads, switches, and so on: visual
for operation under field conditions
heads, conductors, inspection plans, type, operational check, and so
inspection. See that all conductors are
etc. on. Conductors: random tests.
correct type and size.
Proper material for intended use,
Materials sampling and specified tests,
Epoxy excessive thickening or crystallization,
markings, packaging.
proper mixing.
METS inspection and tests upon request from
Size, uniformity, surface defects,
Forgings, steel resident engineer. Material tests, visual and
warping (permit no repairs).
dimensional inspection.
Material verification, in-process inspection of
Girders, precast Damage, workmanship, exposed steel
fabrication (forms, steel placement, stressing,
prestressed dimensions, finish, cracks, or other
concrete, and so on) workmanship, dimensions,
concrete defects.
conformance to plans.
Material verification, check sample testing,
Damage to members or paint: defects
qualifications of welders, inspection during
in steel; camber condition of paint;
Girders, structural fabrication, nondestructive testing, preparation
dimensions; condition of holes;
steel and painting in the shop, conformance to plans
straightness and squareness of
and authorized shop drawings, proper joint
members.
preparation for shop-bolted connections.
Proper components, proper mixing,
Joint seal, type A
marking. Damage, workmanship,
field mixed
correct movement rating (from test
polyurethane or Material sampling and testing by batch or lot.
report), size and type, lot and batch
silicone sealant
identification. (Refer to Bridge
Construction Records and Procedures.)

Joint seal, type B
Damage, workmanship, correct
preformed
Material sampling and testing. movement rating (from test report), size
elastomeric joint
and type.
seal
Markers, pavement Tests of each batch or lot, random inspection. Damage, surface defects.
Mechanical
Inspection usually assigned to resident
equipment, scales,
engineer. Consult with Office of Structure Damage, installation details,
pumps truck
Design, Mechanical & Electrical Stations, for workmanship.
inspection stations,
assistance if required.
roadside rests
Damage to rail or galvanizing,
Metal beam guard METS inspection and testing of galvanizing workmanship of rail and galvanizing,
rail upon request by resident engineer. dimensions, conditions of holes, and so
on.
METS inspection and testing of galvanizing Dimensions, workmanship, galvanizing,
Metal crib wall
upon request by resident engineer. specified bolts.
Miscellaneous iron
and steel, misc.
bridge metal, Materials sampling and testing as specified, Damage, welding or fabrication defects,
bearing qualification of welders, inspection of conformance to drawings, galvanizing
assemblies, rings fabrication, galvanizing, dimensions. defects, grinding specified coating.
and covers, frames
and grates, etc.
Lumps, hard setting, color, marking of
Paint Materials sampling and testing by batch or lot. cans, adherence, surface preparation, lot
numbers (same as on inspection report).
Material verification, in-process inspection of
Piling, precast Damage, workmanship (cracks, spalling,
fabrication (forms, steel placement, stressing,
prestressed and so on), painting of strand ends,
concrete, and so on) workmanship, dimensions,
concrete straightness.
conformance to plans.
Material verification, weld inspection of welding Damage to members, overlooked

Piling, steel pipe
if field splices are necessary. fabrication details, dimensions.
Refer to Timber and plastic timber, general. Check for straightness, required
Piling, timber
Check for straightness, required treatment. treatment, dimensions.
Material sampling and testing. Check Size, uniformity, surface defects (permit
Pipe, galvanized
galvanizing thickness. no repairs).
Material verification, inspection and review of
Dimensions, welds, workmanship,
Poles, lighting welding and galvanizing, visual and
galvanizing type.
dimensional inspection.
Check strand for rust, damage, surface
Material sampling and testing, package and
Prestressing strand defects. Check tags for stressing
storage, visual inspection when possible.
information.

Material verification, witness testing, visual
inspection, dimensions, elliptical steel Damage, defects, exposed steel,
Reinforced
markings. Only for reinforced concrete pipe with dimensions (specific locations per
concrete pipe
diameter greater than 60 inches, unless plans), straightness, concentricity.
requested by resident engineer.
Damage to rail or galvanizing; fabrication
Railings, barriers
Material tests, welder qualifications, welding or galvanizing defect, fit of sleeves,
Bridge railing,
and fabrication, galvanizing. dimensions; types of bolts or nuts
barrier, and so on
furnished.
Reinforcement
splices: welded or METS sampling and testing, material Refer to Bridge Construction Records
mechanical verification. and Procedures.
couplers
Damage, general workmanship, general
Material verification, qualification of welders,
conformance to requirements, position of
inspection during and after fabrication,
Sign structures sign panels, final check of electrical
dimensions, cleaning and painting or
equipment for illuminated signs, proper
galvanizing, and so on.
nuts and bolts, properly torqued.
Signs, changeable Refer to Section 4-56, Signs, of this
Fabrication, operation, workmanship.
message manual.
Steel, flooring and METS inspection and tests upon request from
Workmanship, dimensions.
grating resident engineer.
Damage to members or paint: defects in
Material verification, qualifications of welders,
steel or in welds; overlooked fabrication
inspection during fabrication, nondestructive
details; camber condition of paint;
testing, preparation and painting in the shop,
Structural steel dimensions; condition of holes; proper
conformance to plans and authorized shop
bolts and nut markings; proper torquing;
drawings, proper joint preparation for shop-
straightness and squareness of
bolted connections.
members.
Timber is usually inspected in the pile,
so pieces should be inspected at the job
Timber and plastic
site for damage, grade, deposits of
timber, general
Witness plastic lumber testing. excess preservative, etc. Some checking
(see also Piling,
of dimensions also may be advisable.
timber)
METS is available for advice or
assistance as necessary.
METS inspection and testing upon request of
the resident engineer.
Shipping damage, visible defects in pipe
Welded steel pipe Material tests, welder qualifications, welding
or coating marking, dimensions.
inspection; and spark testing, marking,
dimensions.
Wire mesh
Materials sampling and testing. Rust and broken welds.
reinforcing

6-203A (6) Materials Manufactured to Caltrans-Specified Formulation
The Standard Specifications requires that certain products be manufactured to state
specifications. Occasionally, composition of the specified formulation is changed and
the newer specification results in an equal or better product. Materials manufactured
under specifications newer than those that apply to a particular project are acceptable
for use. METS inspectors release such materials, and resident engineers may permit
use of such materials without change orders unless specifically advised to the contrary.
State specification numbers for manufacturer materials are shown in the Standard
Specifications or special provisions.
Paint manufactured under state specifications is sampled at the factory, tested by
METS, and identified by lot numbers before shipment to the project.
6-203B Materials Accepted on the Basis of Authorized Materials List

The Standard Specifications identifies materials that must be on an authorized
materials list. The list is available at:
The engineer must ensure materials or products listed in Table 6-2.2, Materials
Acceptance Based on Authorized Materials List, are shown on the appropriate
authorized materials list before the material is used on the project. Materials shown on
the authorized materials list may also require a certificate of compliance or sampling
and testing for acceptance.

Table 6-2.2. Materials Acceptance Based on Authorized Materials List (1 of 2)
Material or Product Authorized Materials List
Alternative sound wall system
Channelizers Signing and delineation materials
Chemical adhesive
Chemical adhesives / cartridge epoxies
Drilling and bonding dowels
Crack sealant Flexible pavement crack treatment material
Concrete admixtures Chemical admixtures for concrete
Concrete Cementitious material authorized list of

Cementitious material materials
Concrete
Innocuous aggregates for concrete
Innocuous aggregate
Concrete anchorage devices Concrete inserts
Corrosion protection system Corrosion protective coverings
Corrosion protection covering for splices Corrosion protective coverings
Delineators Signing and delineation materials
Detectable warning surface Detectable warning surface
Earth retaining system Earth retaining systems
Electrical
External battery backup system cabinet
Battery backup external cabinet
Electrical
LED traffic signals
LED signal modules
Epoxy powder Fusion-bonded epoxy powder
Markers Signing and delineation materials
Mechanical couplers Steel reinforcing couplers
Organic zinc-rich primer Organic zinc-rich primer list
Pavement markers Signing and delineation materials
Pavement traffic stripe and marking tape Signing and delineation materials
Plastic blocks

Table 6-2.2. Materials Acceptance Based on Authorized Materials List (2 of 2)
Material or Product Authorized Materials List
Post-tensioning prestressing system Pre-approved systems (full list and details)
Precast portland-cement-based repair Precast portland-cement-based repair

material material
Reflectors Signing and delineation materials
Reinforcement
Headed bar reinforcement
Headed bar
Reinforcement
Resistance-butt-welded splices
Retroreflective
Retroreflective sheeting for barricades
Retroreflective bands for portable
delineators
Retroreflective sheeting for
construction area signs
Retroreflective sheeting for
channelizers Signing and delineation materials
Reflectors for Type K temporary railing
Retroreflective cone sleeves
White and orange-colored
retroreflective stripes for plastic traffic
drums
Portable signs Type VI, retroreflective,
elastomeric roll-up fabric
Signs
Signing and delineation materials
Retroreflective sheeting
Signs
Signing and delineation materials
Fiberglass-reinforced plastic panels
Silane waterproofing Silane reactive penetrating sealers
Temporary crash cushion

Highway safety features
Sand-filled
Temporary traffic control devices Acceptable, crashworthy Category 2
Category 2 hardware for work zones
Temporary traffic control devices
Highway safety features
Category 3
Thread locking systems Anaerobic thread locking systems
Undercoating for ungalvanized sign

structures
Warm mix asphalt Warm mix asphaltapproved technologies

6-203C Materials Accepted on the Basis of a Certificate of Compliance
In accordance with Section 6-3.05E [6-1.07], Certificates of Compliance, of the
Standard Specifications, the engineer may permit the use of certain materials before
sampling and testing if accompanied by a certificate of compliance.
Acceptance based on certificates of compliance is used for products for which the
industry has demonstrated a high degree of reliability in meeting specifications. METS
performs a programmatic assessment on a periodic basis of materials that do not
receive source inspection.
METS notifies the resident engineer when material from any producer is not
acceptable on the basis of a certificate of compliance. The resident engineer must
notify the contractor when material cannot be accepted based on a certificate of
compliance and require submittal of samples for testing prior to use on the project.
Certificates of compliance should contain the following information:
Name of company.
Lot number traceable to a specific lot.
A statement naming the applicable type and brand, and that the materials meet the
requirements of the Standard Specifications, the special provisions, or both.
Contract number.
Signature of responsible officer of the company.
Materials accepted based on a certificate of compliance arrive on the job site without
inspection by METS and Form TL-0029, Report of Inspection of Material. When
required by the Standard Specifications or the special provisions, ensure that these
materials have a certificate of compliance and any required additional backup
documentation, such as mill test reports for steel, pressure treating reports for timber,
and concrete test reports, that show the materials comply with the specifications. Table
6-2.3 shows materials in the Standard Specifications that are accepted based on a
certificate of compliance.
In addition to the materials listed in Table 6-2.3, in accordance with Section 6-3.05E,
Certificates of Compliance, of the Standard Specifications, a certificate of
compliance is required for material produced outside the U.S.
Contact the project SMR regarding any feedback or additional detail for the following:
Programmatic assessment.
Systematic concerns regarding certain materials types.

Table 6-2.3. Materials Accepted by Certificate of Compliance (1 of 8)
Remarks (Including Requirements for Additional Backup Information

Material/Product
Required with Certificate of Compliance)
Alternative earth retaining Must state that the supplied material complies with the index criteria for the
systems system at the time of prequalification.
Certificate of compliances must include the following:
1. Name and location of the supplier.
4. A unique shipment number, such as a bill of lading number or manifest
number.
5. A statement confirming that the transport vehicle was checked before
loading and was found acceptable for the asphalt shipped.
Asphalt 6. The following wording: " (Supplier name) hereby certifies that the asphalt
product accompanying this certification was produced in accordance with
the California Department of Transportation's Certification Program for
Suppliers of Asphalt, and that this product complies in all respects with
the requirements of the applicable specifications for the asphalt product
identified on this document.
I hereby certify by my signature that I have the authority to represent the

supplier providing the accompanying asphalt product."
Certificate of compliance must include the following:
1. Shipment number and shipment date.
2. Source refinery, consignee, and destination.
Asphaltic emulsion 3. Type and description of material with specific gravity and quantity.
4. Contract or purchase order number.
5. Signature by the manufacturer of the material and a statement that the
material complies with the contract.
Asbestos cement pipe
Asbestos sheet packing
Asphalt modifier Test results required with each truckload.

A certified test report of the results for the required tests performed within 12
Asphalt rubber joint sealant
months before the proposed use.
Must include manufacturers statement of compatibility with the joint sealant
Backer rods to be used.
Barbed wire
Blast cleaning material

Bonding agent for repairing Submittal of certificate of compliance required for contracts of less than 60
spalled surface area working days.
Bonding material
Brick
Cable-type restrainers Certificate of compliance must be submitted with a copy of each required
Lock nuts test report.
Cast iron pipe

Cast iron manhole rings and
covers


Material/Product
Chemical adhesive for bonding tie
bars and dowel bars in concrete
pavement
Certificate of compliance must state compliance with ICBO AC 58 and
Chemical adhesive for structures Caltrans. Augmentation/Revisions to ICBO AC 58.
Certificate of compliance from the manufacturer must certify that the
Concrete
admixture furnished is the same as that previously authorized or the
Admixture authorized materials list.
Certificate of compliance must include the source name and location.
If the cementitious material is delivered directly to the job site, the certificate
of compliance must be signed by the cementitious material supplier.
Concrete If the cementitious material is used in ready-mixed concrete, the certificate of
Cementitious material compliance must be signed by the concrete manufacturer.
If blended cement is used, the certificate of compliance must include a
statement signed by the blended cement supplier that shows the actual
percentage of supplementary cementitious material, by weight, in the blend.
Certificate of compliance must include:
Concrete 1. Test results for the tests specified in Section 90-1.01D(6) [90-7.01B] of
Curing compound the Standard Specifications.
2. Certification that the material was tested within 12 months before use.
Before placing minor concrete from a source not previously used on the
Concrete contract, a certificate of compliance stating that the minor concrete to be
Minor concrete furnished complies with the contract requirements, including the specified
minimum cementitious material content.
Ceramic tile
Chain link fencing and railing Certificate required for protective coating system.
Concrete anchorage devices

Concrete pipe Certificate of compliance must:
Circular reinforced direct design 1. Be signed by the manufacturer's quality control representative.
method, less than 60 inches in 2. State that all materials and workmanship comply with the specifications
diameter and authorized shop drawings.
Copper pipe
Corrugated metal pipe

Certificate of compliance must include:
1. Manufacturer's name
2. Production location
3. Product brand or trade name
4. Product designation
5. Batch or lot number
Crack sealant 6. Crack treatment material type
7. Contractor or subcontractor name
8. Contract number
9. Lot size
10. Shipment date
11. Manufacturer's signature
Crash cushions
Crumb rubber modifier Test results required with each truck load.


Material/Product
Culvert markers
Certificate of compliance required for:
Metal target plates
Delineators
Enamel coating
Dowel bar baskets
Drop inlet grates and frames
Drain tile
Drip irrigation line

Elastomeric bearing pads Certified test results for the elastomer.
Plain METS samples and tests bearing pads.
Elastomeric bearing pads Certified test results.

Steel-reinforced METS samples and tests bearing pads.
Certificates of compliance is required for:

Electrical
External cabinet
Battery backup system
Batteries
Electrical
Conductor
Electrical
Conduit (galvanized and plastic)
Electrical
Equipment
Electrical
Pull boxes (concrete and plastic)
Electrical
Service cabinets
Epoxy
Epoxy powder coating for dowel
METS samples and tests epoxy coating.
bars and tie bars
Certificate of compliance is required for:
Straw
Fiber
Rolled erosion control product
Erosion control Fasteners
Certificate of compliance with attachments is required for:
Tackifier
Bonded fiber matrix
Polymer-stabilized fiber matrix


Material/Product
Certificates of compliance attachments include:
1. Material Safety Data Sheet.
2. Product label.
3. List of applicable nonvisible pollutant indicators for soil amendment and
stabilization products as shown in the table titled "Pollutant Testing
Guidance Table" in the Caltrans Construction Site Monitoring Program
Erosion control (continued) Guidance Manual.
4. Report of acute and chronic toxicity tests on aquatic organisms
conforming to EPA methods.
5. List of ingredients, including chemical formulation.
6. Properties of polyacrylamide in tackifier including: (1) percent purity by
weight, (2) percent active content, (3) average molecular weight, and (4)
charge density.
Expansion joint filler
Fiberglass pipe Certificate of compliance must be submitted with laboratory test results.
Filler material for repairing spalled Submittal of certificate of compliance required for contracts of less than 60
surface areas working days.
If PVC coating is shown, a suitable UV resistance additive must be blended
Gabions with the PVC and the additive must be shown on the certificate of
compliance.
Certificate of compliance must certify that the drain produces the specified
flow rate. The certificate must be accompanied by a flow capability graph for
Geocomposite drain the geocomposite drain showing flow rates and the externally applied
pressures and hydraulic gradients. Verification must be by an authorized
laboratory for the flow capability graph.
Geosynthetics Test sample representing each lot and minimum average roll value.
Glass beads
Glue laminated timbers and
decking
Guide markers
Irrigation hose
Polyethylene pipe.
Irrigation pipe
Plastic pipe supply line for pipe with wall thickness of the bell less than
the specified minimum wall thickness of the pipe.
Joint filler material

Joint seals (Type A and AL) Certified test report for each batch of sealant.
Joint seal (Type B) Certificate of compliance required for:
Elastomeric joint seal
Lubricant-adhesive
Certificate of compliance must be submitted with certified test report for each
lot of elastomeric joint seal and lubricant-adhesive. Test reports must include
the seal movement rating, the manufacturer's minimum uncompressed width,
and test results.
METS samples and tests joint seal.


Material/Product
Joint seal For alternative joint seal assemblies, a certificate of compliance must be
Alternate joint seal assemblies submitted for each shipment of joint seal materials. The certificate must
state that the materials and fabrication involved comply with the
specifications and the data submitted in obtaining the authorization for the
alternative joint seal assembly.
METS samples and tests joint seal assemblies.
Joint seal METS samples and tests joint seal assemblies.
Joint seal assemblies
Certificate of compliance must include a statement certifying the lime
Lime furnished is the same as on the authorized material source list.
Certificate of compliance for each reel of PVC strip must include:
1. Name of manufacturer
2. Plant location
Machine spiral wound PVC
3. Date of manufacture and shift
pipeliners 4. Cell classification
5. Unit mass
6. Average pipeliner stiffness and profile type
Metal target plates
Markers
Enamel coating
Concrete masonry units
Masonry block
Aggregate for grout
Grout
Micro surfacing emulsion
Mulch
Open steel flooring and grating

Certificate of compliance based on steel materials, aluminum materials or
Overside drains
plastic materials.
Parking area seal material
Pavement markers
Pavement marking
Paint or thermoplastic
Plastic lumber Laboratory test report.
Plastic traffic drums
Certificate of compliance must include average pipe stiffness, resin

material cell classification, and date of manufacture.
Plastic pipe for drainage For corrugated polyethylene pipe, manufacturers copy of plant audits and
test results from the National Transportation Products Evaluation Program
for the current cycle of testing for each pipe diameter furnished.
Portable changeable message
sign


Material/Product Required with Certificate of Compliance)
Precast concrete Certificate of compliance must be signed by the precast concrete product
Cementitious material used in manufacturer.
precast concrete products
Precast concrete Certificate of compliance must signed by the manufacturer's quality
Box culverts control representative for each shipment.
Certificate of compliance is for materials and workmanship incorporated in
Precast concrete members
the work, and for testing and inspections that have been performed.
Precast raised traffic bars
Preformed compression seal for
concrete pavement
Preformed membrane sheet Must include type of sheet and the conditioner or primer application rates.
PTFE bearing materials

Certificate of compliance is required for each delivery of aggregate,
cementitious material, and admixtures used for calibration tests.
Rapid strength concrete The certificate of compliance must state that the source of the materials
used for the calibration tests is the same source as to be used for the
planned work.
You may request that the contractor submits with certificate of
compliance:
1. Copy of the certified mill test report for each heat and size of
Reinforcement reinforcing steel showing physical and chemical analysis.
2. Two copies of a list of all reinforcement before starting reinforcement
placement.
Certificate of compliance for each shipment of epoxy-coated
reinforcement must be submitted with:
1. Certification that the coated reinforcement complies with ASTM A
Reinforcement 775/A 775M for bar reinforcement or ASTM A 884/A 884M, Class A,
Epoxy-coated Type 1, for wire reinforcement.
2. All certifications specified in ASTM A 775/A 775M for bar
reinforcement or ASTM A 884/A 884M for wire reinforcement.
Certificate of compliance for each shipment of epoxy-coated prefabricated
reinforcement must be submitted with:
Reinforcement 1. Certification that the coated reinforcement complies with ASTM A
934/A 934M for bar reinforcement or ASTM A 884/A 884M Class A,
Epoxy-coated prefabricated Type 2 for wire reinforcement.
reinforcement 2. All certifications specified in ASTM A 934/A 934M for bar
reinforcement or ASTM A 884/A 884M for wire reinforcement.
Certificate of compliance for the patching material must include
Reinforcement
certification that the patching material is compatible with the epoxy
Epoxy-coating patching materials powder to be used.
Certificate of compliance for each shipment of headed bar reinforcement
must be submitted with:
1. Mill test reports for the:
Reinforcement 1.1. Bar reinforcement
Headed bar 1.2. Head material
2. Production test reports
3. Daily production logs
METS samples and tests headed bar.


Material/Product
Certificate of compliance for each shipment of splice material must be
submitted with:
1. Type or series identification of the splice material, including tracking
information for traceability.
2. Grade and size number of reinforcement to be spliced.
Reinforcement 3. Statement that the splice material complies with the type of mechanical
Splice material splice on the authorized material list.
4. For resistance-butt-welded material:
4.1. Heat number
4.2. Lot number
4.3. Mill certificates
METS samples and tests reinforcement splices.
Sheet metal
Certificates of compliance required for:
Aluminum sheeting
Sign panels
Screened-process colors
Nonreflective, opaque, black film
Protective-overlay film
A certified test report of the results for the required tests performed within 12
Silicone joint sealant months before the proposed use.
Slotted edge drain
Snow poles
Snow plow deflectors
polyethylene material
Soil amendment
Steel crib wall
The certificate of compliance must be signed by the plant's quality control
representative. The quality control representative must be on record with the
Office of Structural Materials. Certificate of compliance must include:
1. Statement that all materials and workmanship incorporated in the work
and all required tests and inspections of this work have been performed as
described.
Steel pipe piles 2. Certified mill test reports for each heat number of steel used in pipe piles
being furnished.
3. Test reports for tensile, chemical, and any specified non-destructive test
(NDT) must be based on test samples taken from the base metal, steel,
coil, or from the manufactured or fabricated piles.
4. Calculated carbon equivalent. The carbon equivalent may be shown on
the mill test report.
Structural metal plate pipe
Structural plate culverts Arches
Pipe arches
Metal liner plate pipe
Certificate of compliance must include a statement that all materials and
Structural shape steel piles workmanship incorporated in the work and all required tests and inspections
of this work have been performed as described.


Material/Product
Structural composite lumber
used in falsework
Structural steel thermal spray
coat
Wire feedstock
Styrofoam filler
Subsurface drain
Temporary concrete washout Gravel-filled bag
Plastic liner
Temporary fence (Type ESA) High visibility fabric
Safety caps for metal posts
Fiber roll
Safety cap for metal posts
Temporary linear sediment
Silt fence fabric
barrier
Sediment filter bag
Foam barrier
Gravel-filled bag fabric
Temporary railing (Type K)
Thermoplastic
Tie bars METS samples and tests epoxy coating.
Tie bar baskets METS samples and tests epoxy coating.

Certificate of compliance for timber and lumber must state the species of the
Timber products (treated and
material to be shipped and include a certified grading report. If treated,
untreated)
certified treating report.
Threaded tie bar splice couplers
Traffic stripe
Paint or thermoplastic
Turf sod
Type of pipe
Underdrains
Tubing
Fitting
Waterproofing fabric
Certificate of compliance for waterstop material must state compliance with
Waterstop paragraph 6 of Army Corps of Engineers CRD-C 572.
Welded wire fabric
Wire mesh fencing

When material delivered with a certificate of compliance is improperly certified, or any
part of it is found not to comply with specifications, reject the entire shipment and
notify METS immediately.
Procedures for sampling and testing materials accepted by certificate of compliance
vary depending on the material. Following are some details covering the sampling of
materials accepted by certificate of compliance.
6-203C (1) Asphalt

Certification for asphalt must comply with Caltrans Certification Program for
Suppliers of Asphalt. Program requirements, procedures, and a list of authorized
material sources, are available on the METS website:
When asphalt arrives at the job site or at the plant accompanied by a certificate of
compliance, accept the shipment for use and sample and test for acceptance during use.
When shipments of asphalt arrive without certificates of compliance, sample the
asphalt and do not allow use prior to receiving acceptance test results.
All samples of asphalt, along with the necessary forms and tickets, are sent to
Engineering Services, Office of Materials Engineering and Testing Services, 5900
Folsom Boulevard, Sacramento, California 95819. Ship sample cans two at a time, in
the cardboard cartons used for shipping samples of the completed mix. Take samples
in the amount and frequency shown in the tables in Section 6-1, Sample Types and
Asphalt is very hot; therefore, for safety reasons, the acceptance samples must be
sampled by the contractor. The resident engineer must witness the contractor taking
acceptance samples. The resident engineer must determine when the sample is to be
taken and then observe that the sample is taken in accordance with California Test 125,
Structural Sections, or sampling requirements specified in contract special provisions.
Take possession of the sample from the contractor and transport it to a Caltrans office
or the testing laboratory.
After obtaining a sample from a plant storage tank, write the shipment number on
Form TL-0101, Sample Identification Card.
METS sends test results to the district materials engineer and to the resident engineer.
6-203C (2) Asphalt Rubber Latex Joint Filler

Submit samples in 1-quart friction-top cans. Sample after the contents of the drum have
been stirred thoroughly and brought to a uniform consistency and before the setting
powder has been added. Note the batch number and the shipment number on Form
TL-0101.
6-203C (3) Two-Component Joint Sealing Compounds

This material is usually in 2-gallon pails. Each pail requires a manufacturers lot
number. Before sampling, stir thoroughly. Samples should be taken in the amount and
frequency shown in the tables in Section 6-1, Sample Types and Frequencies, of this
manual.

6-203C (4) Cement
For cement delivered directly to the job site by the manufacturer, require one certificate
of compliance for each shipment.
A single certificate for each brand may certify the cement used in ready-mixed
concrete by the vendor of the concrete, to cover all deliveries in a single day. It must
show:
The name or brand of cement.
Mill source.
The total number of cubic yards of concrete delivered under the certificate.
A complete list of individual deliveries, identified by delivery slip number or other
suitable identification.
A single certificate may cover all deliveries of precast products in a single lot. It must
show the name or brand of cement and the length of each size of pipe or the number of
precast units of other types represented.
METS inspects precast products, including pipe, made at a plant other than that of the
contractors at the job site. When such inspection is complete, the resident engineer is
relieved of responsibility for obtaining certificates of compliance and sampling of
cement. The inspector at the precast product plant will handle cement inspection
approximately as outlined for ready-mixed concrete.
Certificates of compliance for cement are inspected and filed by the resident engineer.
In the event of a cement test failure, forward copies of certificates to METS.
Sample cement in accordance with the frequencies shown in Section 6-1, Sample
Types and Frequencies, of this manual, and in accordance with California Test 125,
Method of Test for Sampling Highway Materials and Products Used in the Roadway
Where plant facilities include a cement auger, the cement samples may be obtained by
a pipe-sleeve sampling device or by any other convenient method.
A full 8 pounds is sampled at one time, not in smaller increments. Close the bag
immediately, leaving room for the cement to shift. Place the sealed bag in a second
plastic bag with the white copy of Form TL-0518, Job Cement Samples Record.
Form TL-0518 should show the certificate of compliance serial number, cement brand
and type, name of mill or vendor, date, time sampled, and contract number.
After identification, box the cement samples in corrugated cartons, designed to hold
single 8-pound samples, or in concrete cylinder cartons, which will hold six samples.
Ship no more than six samples in any one container.
Mark the shipping carton Cement Sample, and ship it to METS.
Test reports of cement are issued by METS. Acceptability of current shipments from
the mill will be shown on the report, but the reports may not actually include results of
samples taken from a specific project. The test reports, however, are applicable to each
contract identified on a test report. When a project has special requirements for cement,
or if there are other non-routine conditions, submit special samples with instructions
that they be tested and reported for the specific project.

6-203C (5) Paint
Sample all paint in the field, except paint specified as commercial quality, and send the
samples to METS for testing in accordance with the frequency shown in Section 6-1,
Sample Types and Frequencies, of this manual.
For bridges and other major structures, do not allow the paint to be used until the test
results of field samples are available. For other miscellaneous painting, properly
inspected and identified paint may be used pending test results.
Send paint samples from the field to METS as soon as it is received on the project.
During the progress of the job, take special check samples when the paint exhibits hard
settling or potential contamination of paint is suspected.
Proper sampling to obtain a representative portion of the paint is mandatory.
Use the following sampling methods:
For bridges and other major structures, or whenever large quantities are involved,
send an unopened 5-gallon bucket to METS. METS will return unused portions to
the job.
For smaller samples:
1. Pour the top liquid into a clean container as large as the one being sampled.
2. Stir the settled portion of the paint with a paddle, gradually reincorporating the
decanted liquid a little at a time until all has been added.
3. Box the paint by pouring it back and forth between the two containers at
least five or six times or until the paint is mixed thoroughly.
4. Take a gallon sample immediately.
Send all samples to METS, along with all pertinent information. Use Form TL-0101,
Sample Identification Card.
When the paint is Department-furnished, check samples will not be required.
6-203C (6) Pavement Traffic Stripe and Marking Materials

California Test 406, Method of Test for Field-Sampling of Pavement Marking
Materials, describes procedures for obtaining samples of pavement-marking materials
from a factory-sealed bag, bulk container, or stripe-application equipment.
Circumstances at the job site often affect where to gather the sample. Field-striping
inspectors must follow the procedures in California Test 406 to ensure that
representative samples are taken of pavement-marking materials.
Field sampling must be initiated by the striping inspector or the resident engineer under
the following conditions:
The material is more than 1 year old (based on the date of manufacture).
Product tampering or adulteration is suspected.
Adequate proof that the product has been pretested and approved is not provided
(for example, missing batch approval paperwork or other product/batch number
discrepancies on containers or paperwork).

Where large quantities of pavement-marking materials are being applied, random
quality assurance sampling of these materials is advisable.
Samples of pavement-marking materials in unopened factory-sealed bags are preferred.
Factory-sealed bags are labeled with the manufacturers name and batch number,
which makes identification easier. When sampling glass beads and thermoplastic,
collect the following sample quantity to ensure a representative sample:
One unopened 50-pound bag of glass beads of the same manufacturer and lot
number being used in the striping operation.
One unopened 50-pound bag of thermoplastic of the same manufacturer and lot
number being used in the striping operation.
For paint, bulk containers can be sampled only when the material is first
homogeneously mixed using appropriately sized mixing equipment. For bulk
containers of paint, obtain a 1-quart sample. Multiple samples are necessary when
sampling paint directly from the application equipment to ensure that the product is
homogeneously mixed. Each grab sample must be approximately 1 quart and
submitted separately.
Label samples of pavement-marking materials according to where and how they were
gathered at the job site. Include pertinent information on Form TL-0101, Sample
Identification Card, and send samples to METS for testing.
6-203C (7) Reinforcement

Refer to Section 4-52, Reinforcement, of this manual for details.
6-203D Field Inspection and Release by the Resident Engineer

METS may assign inspection of manufactured or fabricated materials and products for
which they have acceptance responsibility back to the resident engineer. The process to
be followed for inspection at the job site is shown in Figure 6-2.3, Inspection and
Release FlowchartInspection at Job Site.

Figure 6-2.3. Inspection and Release FlowchartInspection at Job Site
METS Receives
Form CEM-3101
METS METS
Response Response
TL-0028 TL-0608
Inspection at Source
Jobsite Inspection
METS Reassign to Resident Engineer
CEM-4102 TL-6014
CEM-4102 TL-0029
Field Release Release from
Field Release of
with Source with
Release with Materials
Certificate of Materials
Field from the
Compliance Suitability
Sampling Source
and Report
and Testing Orange Tag
Programmatic Blue Tag
TL-0624
Assessment TL-0625
METS assigns inspection responsibility to the resident engineer using Form TL-0028,
Notice of Materials to Be Inspected at Jobsite.
Upon receipt of Form TL-0028, the resident engineer should inform the contractor that
the material will be inspected, and if required, sampled, on the job site. When testing of
material is required, inform the contractor of the approximate testing turnaround time
so that the contractor can obtain the material sufficiently in advance of using the
material in the work to allow for sampling and testing.
Materials may be accepted based on required certificates of compliance or sampling
and testing and visual inspection. When material will be accepted and released at the
job site by use of a certificate of compliance, the required certificates of compliance
should accompany the material to the job site and be retained in the project files.
Sample materials in accordance with the tables at the end of Section 6-1, Sample
Types and Frequencies, of this manual, or as requested by METS.
Field inspect and release materials assigned by METS at the job site using Form
CEM-4102, Materials Inspected and Released on Job. Refer to Section 6-3, Field
Tests, of this manual for details.

Section 3 Field Tests

6-301 General
6-301A References
6-302 Field Inspection and Release of Materials
6-303 Field Laboratory
6-304 Field Testing Equipment
6-304A Scales and Balances
6-304B Screens and Sieves
6-304C Portland Cement Concrete Air Meters
6-304D Profilograph
6-304E Compaction Tubes
6-304F Cement-Treated Base Compressive Strength Apparatus
6-305 Test Methods
6-305A Method of Determining Approximate Grading of Mineral Aggregate by Dry Sieve
Analysis
6-305B Fabrication of Cement Treated Base Specimens
6-305C Determination of Cement or Lime Content
6-305D Concrete
6-305D (1) Number of Cylinders Required for a Test
6-305D (2) Trial Batches
6-305E Relative Compaction Using Nuclear Gauges
6-306 Materials Plants

Field Tests 6-3.i
Section 3 Field Tests Section 3
Field Tests
6-301 General 6-301
The resident engineer must ensure that materials incorporated into the project comply General
with specifications. Refer to Section 3-501, General, and Section 3-608, Testing,
of this manual.
Perform field inspection of material and testing in accordance with the guidelines in
this chapter. Sampling and testing frequencies for materials acceptance are shown in
the tables included in Section 6-107, Materials Acceptance Sampling and Testing, of
this manual. Maintain a record of field tests and material inspected and released on the
job as described in Section 5-102, Organization of Project Documents, of this
manual.
6-301A References
California Test (CT-___), Division of Engineering Services, Materials Engineering and
Testing Services, State of California, Department of Transportation, is available at:
American Association of State Highway and Transportation Officials, American
Society for Testing and Materials (ASTM), and other test methods are available at IHS
Standards Expert website that is accessible by Caltrans staff on the Caltrans intranet at:
Material Plant Quality Program (MPQP), Division of Construction, State of
California, Department of Transportation, is available at:
http://www.dot.ca.gov/hq/construc/hma/MPQP.pdf
Laboratory Safety Manual, California Department of Transportation, is available at:
http://onramp.dot.ca.gov/hq/esc/mets/lab_manual/lab_safety_manual.pdf
6-302 Field Inspection and Release of Materials 6-302
When materials or products listed in Table 6-2.3, Materials Accepted by Certificate of Field Inspection
Compliance, arrive on the job site, or where METS assigns inspection of products for and Release of
which they normally have responsibility back to the resident engineer, use the Materials
following procedure:
Ensure that METS has sent Form TL-28, Notice of Materials to Be Inspected at
Job Site, for materials. If a material does not have a corresponding TL-28, contact
the projects structural materials representative.
Ensure that the material meets the requirements of the specification and is
undamaged by shipping and handling.

Field Tests 6-3.1
When required by the specifications, ensure that the material has a certificate of
compliance from the supplier stating that the material meets all required
specifications for the contract.
Ensure that the appropriate documentation is included for materials covered by the
Buy America requirements. Refer to Section 3-606A, Buy America
Requirements. of this manual for Buy America information.
Complete Form CEM-4102, Material Inspected and Released on Job.
6-303 6-303 Field Laboratory
Field Laboratory Suitable laboratories and equipment are necessary to perform proper field testing.
When economically feasible, a field laboratory should be established for a number of
construction projects in the immediate area.
Field laboratories must comply with the Laboratory Safety Manual. The Laboratory
Safety Manual is required under California Code of Regulations Title 8, Section 5191.
The Laboratory Safety Manual guidelines and procedures shall be implemented and
enforced at all materials testing laboratories in Caltrans, including field construction
laboratories.
Most laboratories have water, gas, and electricity. Field laboratory facilities are
provided by any of the methods covered under Sections 1-4, Facilities and
Equipment, and 1-5, Field Expenses and Purchases, of this manual.
The resident engineer should coordinate with the district materials engineer to establish
a field laboratory.
6-304 6-304 Field Testing Equipment
Field Testing Each district materials engineer must have an effective calibration program for
Equipment equipment used for materials acceptance testing. Testing equipment must be in proper
operating condition and calibrated within prescribed tolerances for accuracy.
Standards for calibration of testing equipment are described in the appropriate
California Tests for calibration and manufacturers instructions.
District materials laboratories perform periodic reconditioning and calibration of field
laboratory testing equipment. The use of decals attached to testing equipment showing
date of last calibration, name of calibrator, the district, and date that the next calibration
is due, is a requirement for all testing items listed below. Acceptance samplers and
testers have frequent opportunities to verify that field testing equipment is in good
condition and should check the date of last calibration on the decal.
Any testing equipment that does not meet calibration requirements is to be recalibrated
or replaced without delay. Each piece of equipment should be recalibrated and
reconditioned in accordance with the frequencies listed in the appropriate California
Test. More frequent calibration may be required depending on use of equipment and on
moving and handling practices.
While the maximum interval between calibrations may be as long as a year, equipment
should be calibrated any time there is reason to believe it has been damaged or affected
in any way that would affect calibration.

6-3.2 Field Tests
6-304A Scales and Balances
All scales and balances used in field testing must be recalibrated periodically. The
district weights and measures coordinator can accomplish this or the district materials
engineer can use a service contract to use technicians from private industry to perform
the recalibration. Recalibration of this equipment must be performed at least once each
year. New scales and balances must be calibrated prior to use.
In the interest of standardization, the following types of scales are recommended for
field use:
A 20-kilogram balance equipped with graduated bars on the beam to give readings
under 1,000 grams without recourse to loose weights.
A 6-kilogram trip scale equipped with agate bearings and double beam. The upper
beam should be graduated to 100-gram units, making a range of 1,100 grams
directly on the beam without recourse to loose weights. The equipment should
include one 1-kilogram and two 2-kilogram weights with scoop and scoop tare, all
to provide a full capacity of six kilograms.
A torsion balance of 500-gram capacity, accurate to 0.10 gram.
When the volume of work is large, an automatic digital scale is advantageous and can
be used instead of the 20-kilogram and 6-kilogram scales described above.
6-304B Screens and Sieves
Examine all screens and sieves prior to performing grading tests. Inspection includes
examination for broken wires, distortions and sags, and removal of particles stuck in
the mesh, all as instructed in California Test 202, Method of Test for Determining
Sieve Analysis of Fine and Coarse Aggregates.
6-304C Portland Cement Concrete Air Meters
Data sheets accompanying newly purchased meters contain operation and calibration
information. Supplemental sheets are available through the Office of Materials
Engineering and Testing Services (METS).
California Test 504, Method of Test for Determining Air Content of Freshly Mixed
Concrete by the Pressure Method, covers the procedure for operation of the two most
common brands in use by Caltrans. California Test 115, Method of Calibration of
Pressure Type Air Meters, covers calibration of these two meters.
6-304D Profilograph
California Test 526, Method of Test for Operation of California Highway
Profilograph and Evaluation of Profiles, includes the operation and calibration of the
profilograph in addition to the evaluation of the profilogram.
Information available from the district materials engineer covers profilograph assembly
and operating instructions. This information, in conjunction with the test method,
should cover all but major problems concerning profilographs.
In the event of major repairs beyond district capability, send the equipment to METS or
return it to the manufacturer.
6-304E Compaction Tubes
California Test 110, Method of Calibration of Compaction Test Equipment, outlines
the procedure for both calibration and repair.

Field Tests 6-3.3
6-304F Cement-Treated Base Compressive Strength Apparatus
District materials laboratories can check the calibration of the hydraulic jacks used with
the apparatus. If a jack requires repair, contact the METS machine shop located in
Sacramento to make the necessary arrangements for repair.
6-305 6-305 Test Methods
Test Methods Whenever a reference is made in the specifications to a test method by number, it
means the test in effect on the day the Notice to Bidders for the work is dated. This
means that the test methods for each project are fixed and are not necessarily the latest
revisions.
Field personnel who perform tests for compliance with the specifications must be
qualified to conduct the proper tests methods as indicated by the contract. The resident
engineer must ensure that the correct versions of test methods are used. The latest
revisions of the test methods can be obtained on the METS web page.
Use the following guidelines for some of the tests performed in the field.
6-305A Method of Determining Approximate Grading of Mineral Aggregate by
Dry Sieve Analysis
California Test 202, Method of Test for Determining Sieve Analysis of Fine and
Coarse Aggregates, requires that fine aggregate is subjected to a prescribed washing
procedure before performing the sieve analysis. However, where large numbers of
sieve analyses are performed on material from a given source, the tester may use the
Approximate Sieve Analysis of Processed Fine Aggregate method in Appendix E of
California Test 202. Any material subject to rejection because of excessive material
retained on any sieve by the approximate method must be retested using the basic
California Test 202.
6-305B Fabrication of Cement Treated Base Specimens
Test specimens are fabricated in the field. When compressive strength tests are desired,
the specimens are cured, tested in the field, or shipped to the district materials
laboratory for testing in accordance with applicable portions of California Test 312,
Designing and Testing of Classes A and B Cement Treated Bases.
6-305C Determination of Cement or Lime Content
Refer to California Test 338, Determination of Cement or Lime Content in Treated
Aggregate by the Titration Method, for instructions. The acid base titration and
constant neutralization titration tests are used to determine the percentage of portland
cement or lime in aggregates that have been treated.
The resident engineer must devise and carry through a cement-determination test
program geared to the contractors mixing and spreading operation. Increase testing
frequency when mixing or spreading equipment is changed or altered or production
rates are increased.
6-305D Portland Cement Concrete
Concrete samples are taken in accordance with California Test 539, Method of Test
for Sampling Fresh Concrete.

6-3.4 Field Tests
For penetration, test in accordance with California Test 533, Method of Test for Ball
Penetration in Fresh Portland Cement Concrete, each batch of concrete from which
strength specimens are made.
For slump, test in accordance with ASTM C 143 each batch of concrete from which
strength specimens are made.
If air-entrained concrete is used, test the concrete using California Test 504, Method
of Test for Determining Air Content of Freshly Mixed Concrete by the Pressure
Method, on each batch of concrete from which strength specimens are made. If
concrete contains lightweight aggregate, air content is determined in accordance with
California Test 543, Method of Test for Determining Air Content of Freshly Mixed
Concrete by the Volumetric Method.
If the cement content is being checked by California Test 518, Method of Test for
Unit Weight of Fresh Concrete, determine the cement content for each batch from
which strength tests are made.
Review California Test 540, Method of Test for Making, Handling, and Storing
Concrete Compressive Test Specimens in the Field, to determine the maximum size
of coarse aggregate to be incorporated in the test specimen. Be sure to note removal of
any oversize aggregate on the sample identification card.
California Test 540 covers the molding, transportation, curing, and storage of concrete
cylinders.
6-305D (1) Number of Cylinders Required for a Test
Each compressive strength test of concrete is determined to be the average strength of
two cylinders. If the strengths at both 14 and 28 days are required, submit two cylinders
for the 14-day test and two cylinders for the 28-day test. District Materials Lab,
Southern Regional Lab, or METS performs the compressive strength test and reports
results to the resident engineer on Form MR-0507, Portland Cement Concrete Test
Report. The resident engineer evaluates the test results for compliance with the
contract specifications.
The 2 cylinders = 1 test concept applies to all concrete cylinder tests except trial
batches.
6-305D (2) Trial Batches
Specifications state that for concrete designated by compressive strength greater than
3600 pounds per square inch, or if prequalification is specified, the concrete must be
prequalified by trial batches or certified test data before it is placed.
Make and test cylinders to prequalify the concrete. The test results must meet the
contract specifications before the concrete designated by compressive strength. may be
considered as prequalified by trial batch.
Concrete for trial batches must be designed, produced, and tested by the contractor (or
its supplier), and a certified trial batch test report must be obtained prior to use of such
concrete. The resident engineer must ensure that the certified trial batch test report
contains all of the specified data.
The resident engineer must determine whether testing of trial batches will be performed
during the life of the contract. Caltrans personnel must witness trial batch testing.

Field Tests 6-3.5
6-305E Relative Compaction Using Nuclear Gauges
California Test 231, Method of Test for Relative Compaction of Untreated and
Treated Soils and Aggregates Using Nuclear Gages, provides the procedures for
determining relative compaction by using nuclear gauges.
In addition to California Test 231, use of nuclear gauges is contained in California
Test 121, Administrative Instructions for Use of Nuclear Gages, as well as the
manufacturers manual pertaining to the gauge being used. A copy of these documents
must be kept with each gauge. California Test 121 includes supervision and operator
requirements for nuclear gauges, as well as requirements for nuclear gauge storage and
transportation. For nuclear gauges, refer to the district radiation safety officer for any
questions concerning operation, storage, and administrative requirements.
The person responsible for general inspection of the work and the person performing
the test measurements, are both involved in performing the complete test. The
progressive steps are:
Designating the test area.
Selecting test sites within the test area.
Taking physical measurements.
Determining test maximum value for comparison with the average in-place density
(California Test 231 only).
Evaluation.
6-306 6-306 Material Plants

Material Plants Determining the accuracy and suitability of scales and meters used to proportion
materials in material processing plants is important to ensure uniformity and quality of
materials. Plants producing construction materials for Caltrans must be approved under
the MPQP or California Test 109 Method for Testing of Material Production Plants.
Material plants used for producing materials under Sections 39, Hot Mix Asphalt;
27, Cement Treated Bases; 28, Lean Concrete Bases; and 37, Bituminous Seals,
of the Standard Specifications must comply with the MPQP. Material plants used for
producing other materials must comply with California Test 109. Refer to Section 3-9,
Payment, of this manual for weighing and metering procedures.
The MPQP covers these topics for materials plant weighing and measuring devices:
inspection, calibration, dynamic testing, and approval. Chapter 2 of the MPQP, Plant
Equipment, is directed to the material producer and specifies the equipment
requirements for material plants. Chapter 3, Material Plant Calibration and Dynamic
Testing, is directed to the user of the calibration and approval process and specifies the
calibration and approval of plant proportioning systems.
The plant approval process must be performed when weighing or measuring devices
are newly installed, repaired, or adjusted, or when the plant is relocated. The resident
engineer may order that the approval process be performed to ensure accurate
proportioning at any time on any type of plant. The maximum interval for retesting
proportioning equipment is as follows:
Hot mix asphalt and portland cement concrete batch plants1 year.
Hot mix asphalt continuous mixing plants6 months.

6-3.6 Field Tests
Slurry seal mixer-spreader trucks6 months or when aggregate sources are
changed.
Concrete volumetric mixersevery 30 days for pavement and 90 days for
structures or when there is any change in ingredient sources.
The district weights and measures coordinator is responsible for material plant
approval based on:
Plant equipment safety inspection.
Type approval of measurement elements, except continuous conveyor scales, by
the California Department of Food and Agriculture, Division of Measurement
Standards (DMS).
Type approval of measurement elements outside the DMS area of responsibility by
the district weights and measures coordinator.
Device calibration.
Dynamic testing of the plant during operation.
Do not allow material production for Caltrans projects until plant approval is received.
The district weights and measures coordinator maintains a list of approved material
plants and equipment currently in compliance with the MPQP or California Test 109.

Field Tests 6-3.7
Chapter 7-Environmental
Stewardship
Chapter 7 Environmental Stewardship
Section 1 Environmental Rules and Requirements
7-101 General
7-102 Environmental Commitments Record
7-103 Protection of Environmental Resources
7-103A Resident Engineer Responsibilities
7-103B Contractor Inspections
7-103C Project Files
7-103D Environmentally Sensitive Area
7-103E Cultural Resources
7-103F Community Impacts and Environmental Justice
7-103G Native American Concerns
7-103H Aesthetics
7-103I Biological Resources and Species Protection
7-103J Bird Protection
7-103K Paleontological Resources
7-103L Disposal, Staging, and Borrow Sites
7-103L (1) Caltrans and Contractor Designated Disposal, Staging, and Borrow Sites
7-103L (2) Surface Mining and Reclamation Act
7-103M Other Contractor Uses of the State Right-of-Way
7-104 Air, Water, and Noise Pollution Control
7-104A Air Pollution Control
7-104A (1) Air Quality
7-104A (2) Dust Control
7-104B Water Pollution Control
7-104B (1) District Construction Stormwater Coordinator Responsibilities
7-104B (2) Resident Engineer Responsibilities
7-104B (3) Stormwater Inspector Responsibilities
7-104B (4) Contractor Inspections
7-104B (5) Amendment Review and Processing
7-104B (6) Project Files
7-104B (7) Contractor Files
7-104C Noise Control
7-105 Permits, Licenses, Agreements, and Certifications
7-105A Special Use Permits and Other Federal Permits
7-105B Fish and Game Code Sections 1602 and 5650
7-105C List of Potential Permits, Licenses, Agreements, and Certifications
Table 7-1.1 State and Local Agency Permits, Licenses, Agreements, and Certifications
Table 7-1.2 Federal Agency Permits, Licenses, Agreements, and Certifications

Environmental Rules and Requirements 7-1.i
7-106 Hazardous Materials
7-107 Hazardous Waste and Contamination
7-107A Contractor-Generated Waste Versus Department-Generated Waste
7-107B Aerially Deposited Lead
7-107B (1) Non-Hazardous Lead Concentrations
7-107B (2) Hazardous Lead Concentrations
7-107B (3) Minimal Disturbance of Material Containing Hazardous Waste Concentrations of
Aerially Deposited Lead
7-107C Naturally Occurring Asbestos
7-107D Department-Generated Contaminated Soil
7-107E Removing Yellow Traffic Stripe and Pavement Marking with Hazardous Waste Residue
7-107F Disturbance of Existing Paint Systems on Bridge
7-107G Treated Wood Waste
7-107H Disposal of Electrical Equipment Requiring Special Handling
7-107I Unanticipated Discovery of Asbestos and Hazardous Waste and Contamination Substances
7-108 Solid Waste Disposal and Recycling Reporting
Figure 7-1.1 Unknown Hazards Procedures
7-109 Certificate of Environmental Compliance

7-1.ii Environmental Rules and Requirements
Chapter 7 Environmental Stewardship
Section 1 Environmental Rules and Requirements Environmental
Rules and
Requirements
7-101 General 7-101
This section provides information and guidelines for administering the various General
environmental requirements for Caltrans construction contracts.
The district construction deputy director is responsible for ensuring that environmental
permit, license, agreement, and certification (PLAC) requirements are enforced. Within
district construction, stormwater coordinators are appointed. Within either the district
environmental or district construction unit, environmental construction liaisons are
appointed. The environmental construction liaisons must have appropriate training,
background, and experience to facilitate effective communications necessary to carry
out the responsibilities of both district construction and the district environmental unit.
To meet legal requirements, district construction staff must coordinate and
communicate with environmental staff, possess appropriate skills, receive appropriate
training, and understand their role in successfully carrying out environmental
commitments, including PLACs, within the contract requirements.
7-102 Environmental Commitments Record 7-102
Caltrans established the Environmental Commitments Record (ECR) in a memo dated Environmental
June 5, 2005 from the chief engineer to ensure that Caltrans meets its environmental Commitments
commitments by: Record
Documenting all environmental commitments including PLACs made for an
individual project.
Specifying how each commitment will be met.
Documenting the completion of each commitment.
The ECR contains all relevant environmental compliance information and PLAC
requirements; basic project information, including each environmental commitment,
person, or unit responsible for commitment completion; timing and manner of
implementation; location; and a commitment reference document and other
commitment requirements. The ECR is part of the resident engineers pending file and
is necessary to oversee and track the project environmental commitments. It is used to
prepare the Certificate of Environmental Compliance (CEC) during contract
acceptance.
The resident engineer will review the ECR with the environmental construction liaison
or district environmental unit during the preconstruction meeting with Caltrans
personnel before meeting with the contractor. The environmental construction liaison
or district environmental unit can assist with discussing the requirements at the
preconstruction meeting. The resident engineer monitors the progress of all
construction-related environmental commitments on an ongoing basis throughout the

Environmental Rules and Requirements 7-1.1
life of the contract and ensures their implementation. Commitments completed during
construction should be tracked on the ECR.
7-103 7-103 Protection of Environmental Resources
Protection of The following are necessary for fulfilling the responsibility for protecting and
Environmental preserving various environmental resources during construction as required by Caltrans
Resources policy and law.
7-103A Resident Engineer Responsibilities
The resident engineer uses all available assistance and expertise to protect natural
resources. This assistance may come from the environmental construction liaison,
project biologist or other state-furnished biologist, or other functional areas in the
district (such as design, cultural resources, stormwater, hazardous waste, paleontology,
and hydraulics).
Before work begins, the resident engineer must do the following:
Review the construction contract and the resident engineers file for instructions
and commitments.
Review the ECR, PLACs, construction contract, and Section 14 of the Standard
Specifications.
Identify notices and required approvals and actions necessary to meet regulatory
requirements and stewardship goals. When the contract specifies a contractor-
supplied biologist, regulatory agency approvals may be required prior to accepting
the contractor-supplied biologist. Do not accept submittals from the contractor-
supplied biologist until approval is obtained. Understand that a contractor-supplied
biologist works for the contractor and does not speak for Caltrans.
Meet with the project biologist and appropriate environmental and engineering
experts in the district to ensure a full understanding of the contract requirements for
species and natural resource protection.
Depending on the projects size and complexity, an additional preconstruction
meeting may be used exclusively for discussing natural resource impact
prevention.
Provide the contractor with a copy of the Biological Resource Information
Program, if one has been prepared for the project by the district environmental
unit. If none has been prepared, receive and review the contractors Biological
Resource Information Program and accept the plan only if it complies with the
PLACs or provisions of the contract. The environmental construction liaison or
project biologist will assist in the review.
Review the contractors natural resource protection plan, as required by the
specifications. The project biologist will assist in the review. Accept the plan only
if it does not adversely impact the protected species and their habitat. Note that the
specifications prohibit any work that has the potential to adversely impact
protected species and their habitat without permission from regulatory agencies.
Before earthwork or clearing and grubbing begins, request that required
preconstruction biological surveys be completed and results be provided to
understand regulatory requirements that may delay activities.

7-1.2 Environmental Rules and Requirements
When work occurs in water, or where vibrations or sounds from construction or
other project-related activities may pass into waters, review hydroacoustic
requirements for the protection of water-dependant species and ensure that
necessary protections, approvals, monitoring activities, and reports are complete or
active as required.
Designate appropriate staff to assist in preventing impacts to biological resources
as needed.
During the course of work, the resident engineer must do the following:
In compliance with the permits, maintain a copy of the Biological Resource
Information Program on the project site and ensure that construction staff
completes required training.
Inspect the contractors operations for compliance with the specifications and the
PLACs, the biological provisions, and the accepted natural resource protection
plan, when required.
Ensure the contractor adheres to the monitoring or survey schedule set forth in the
PLACs, the biological provisions, and the accepted natural resource protection
plan, and provides written reports of these inspections on schedule.
Ensure the contractor maintains species protection measures so that they will
function as planned.
Ensure the contractor has the necessary staff and materials on hand to inspect and
maintain species protection measures.
Ensure the contractor notifies and obtains the resident engineers approval in
advance for each new activity as required.
Direct the contractor to correct any deficiencies in compliance efforts identified as
a result of reviewing the contractors or project biologists evaluation reports.
Ensure that construction does not result in new barriers to aquatic species passage
or create issues with maintenance of existing passages.
Immediately notify the environmental construction liaison and project biologist
when protected resources are impacted or may be impacted by project activities.
The project biologist will determine what action is necessary and will advise the
resident engineer.
Should noncompliance occur, initiate contractual enforcement procedures
appropriate to the nature and severity of the situation.
Meet with personnel from regulatory agencies, such as the United States Fish and
Wildlife Service (USFWS); United States Environmental Protection Agency
(EPA); United States Army Corps of Engineers (ACOE); National Oceanographic
and Atmospheric Agency, National Marine Fisheries Service (NOAA Fisheries);
and the California Department of Fish and Wildlife (CDFW), to discuss protected
natural resources and necessary measures to protect resources. The environmental
construction liaison or project biologist will assist in discussions and negotiations.
Before accepting the contract, the resident engineer must do the following:
As required by the PLACs and by the contract, determine that all biological
requirements are complete.

Ensure that the project has not maintained or created barriers to aquatic organism
passage.
Require the contractor to remove temporary best management practices (BMPs)
such as environmentally sensitive area (ESA) fences or other measures that are not
a part of permanent species protection measures or that the district maintenance
unit has not requested to be left in place.
Conduct a final walk-through of the project area with the project biologist.
7-103B Contractor Inspections
The PLACs and special provisions for species protection may require the contractor to
inspect the job site periodically for the proper implementation, performance, and
maintenance of species protection measures. The contractor must follow the species
protection measure procedures specified in the PLACs, in the special provisions, and in
the natural resource protection plan, and may be required to report on activities.
If any situation constitutes noncompliance with the permit, the resident engineer must
conduct a verification inspection, and, if a noncompliant condition exists, report it to
the environmental construction liaison or project biologist. District environmental will
determine the actions required, including timely reporting to regulatory agencies and
necessary options for compliance. The resident engineer must require the contractor to
amend the natural resource protection plan, if necessary, and to install additional
species protection measures as needed to achieve compliance.
7-103C Project Files
The resident engineer must keep copies of all documents related to species protection
measures required in PLACs, special provisions, Biological Resource Information
Program, and the natural resource protection plan, and retain copies in the project files.
Retain all the required documents for at least 3 years after contract completion, or
longer if required in the PLACs. These documents include the following:
Survey or monitoring reports.
Periodic reports and photographs related to species protection as required.
Notices of take of regulated species.
All correspondence related to species protection, including notices of
noncompliance.
Inspection, survey, and monitoring reports.
Inspection reports from the resident engineer and assistant resident engineer.
Copies of the approvals and certifications required by the specifications.
7-103D Environmentally Sensitive Area
The ESA is shown on the plans and creates a secure area within the plan boundaries
enclosed by an ESA temporary fence. If the ESA is breached, immediately secure the
area and stop all operations within 60 feet of the ESA boundary and ensure the
contractor follows the directions in Section 14-1.02, Environmentally Sensitive Area,
of the Standard Specifications. The resident engineer will consult with the
environmental construction liaison, project biologist, or project cultural specialist prior
to approving entry into an ESA and when identifying or assessing damage. If the ESA

is damaged by the contractor, document the damage because the contractor is
responsible for fixing it at their cost.
7-103E Cultural Resources
Mitigating a projects impact on historical and archaeological sites during construction
may require the recovery of artifacts. Mitigation may also require Native Americans,
archeologists, architects, and historians to monitor and coordinate the recovery process.
Normally, archaeological work is done in advance of construction, but occasionally
finds are made during construction. If human remains or previously unknown historic
and archaeological artifacts are unearthed, suspend work in the vicinity until the find
can be evaluated and properly treated. Seek assistance from the project manager,
environmental construction liaison, project cultural specialist, or district environmental
unit. For more information, refer to the Standard Environmental Reference (SER),
Volume 2.
7-103F Community Impacts and Environmental Justice
Mitigating project impact on communities during construction may require actions in
the community. These requirements may be included as part of the contract, including
change orders, but can also be listed as an item on the ECR. Also, refer to Section 8-2,
Equal Employment Opportunity, of this manual regarding Title VI and
environmental justice.
Executive Order 12898, Federal Actions to Address Environmental Justice in
Minority Populations and Low-Income Populations, directs federal agencies to
achieve environmental justice by identifying and addressing disproportionately high
and adverse human health and environmental effects, including the interrelated social
and economic effects of their programs, policies, and activities on minority and low-
income populations in the United States.
7-103G Native American Concerns
These requirements are placed to alleviate concerns of the Native American
community. If resources of concern to Native Americans, human remains, or
previously unknown associated artifacts are unearthed, suspend work in the vicinity
until the concern can be evaluated and properly resolved. Seek assistance from the
project manager, environmental construction liaison, project cultural specialist, or
district environmental unit. For more information, refer to the SER, Volume 2.
7-103H Aesthetics
Aesthetics are considered during the planning, design, and construction of
transportation projects to adequately address a transportation projects visual impacts
and to help integrate the facility into the surrounding context. Aesthetic features
included in the construction documents are the result of commitments included in the
environmental document or made to the community to address scenic, aesthetic,
historic, cultural, environmental, and recreational values. The integration and
construction of these aesthetic features on a project is critical to fulfilling the aesthetic
commitments.
Proposed changes to the plans and specifications that affect the aesthetic features must
be coordinated with and approved by the district landscape architect to ensure that
Caltrans aesthetic commitments are accomplished as intended.

7-103I Biological Resources and Species Protection
Both state and federal laws protect designated plant and animal species and their
respective habitats. Strict prohibitions exist on certain types of work, work during
certain times of the year, or work at specific locations. Even inadvertently impacting
protected species can result in fines or jail sentences and may result in significant
project delays. The PLACs and species protection measures in the contract will specify
the necessary protection measures and restrictions, and the plans will show ESAs.
However, during construction, project staff or personnel from regulatory agencies may
discover protected species that were not anticipated in the contract. If such a discovery
occurs, suspend work in the area and immediately notify the environmental
construction liaison, project biologist, or district environmental unit.
7-103J Bird Protection
The Migratory Bird Treaty Act and the California Fish and Game Code make it illegal
to harm migratory birds, non-game birds, and their occupied nests. Activities which are
most likely to encounter migratory birds, non-game birds, and their occupied nests
include clearing and grubbing; and bridge demolition, maintenance, and retrofit work.
Bird protection is a sub-set of species protection. Species protection responsibilities
apply to bird protection. PLACs and the bird protection or species protection measures
in the contract will specify the necessary protection measures and restrictions, and the
plans will show any ESAs.
When occupied nests are found within the project area, the resident engineer will
evaluate, with the assistance of the environmental construction liaison or project
biologist, whether work in the area can continue or if suspension of work is necessary.
The resident engineer will immediately contact the environmental construction liaison
or district environmental unit for assistance in this evaluation.
7-103K Paleontological Resources
Paleontological resources are evidence of ancient life, not including human life,
preserved as fossils in sediments and rock. In geologically diverse California,
vertebrate, invertebrate, and plant fossils are found throughout the state.
Paleontological resources have unique scientific value and as a result must be
protected. Refer to Volume 1, Chapter 8 of the SER for information about
applicable laws.
Paleontological resources may be encountered when a project includes invasive
activities such as excavation or drilling of previously undisturbed sediments and rock.
If paleontological resources are anticipated, the contract should include special
provisions in Section 14-7, Paleontological Resources, of the Standard
Specifications. Protection of paleontological resources usually includes preservation of
scientific information through monitoring and fossil and data recovery. This work is
normally performed by a consultant working directly for Caltrans, not the construction
contractor. In these cases the resident engineer must ensure the coordination and
cooperation of the construction contractor with the paleontological consultant. This is
accomplished by including the paleontological consultant in preconstruction meetings,
providing the paleontological consultant with an accurate and updated schedule of
subsurface disturbing activities, and, when required, ensuring that the contractors staff
attends paleontological awareness training presented by the paleontological consultant.
In most cases, paleontological monitoring and fossil and data recovery can be
performed with minimal impact to construction activities. However, when large

specimens or fossil-rich areas are encountered, excavation activities may need to be
temporarily diverted while the paleontological team stabilizes and removes them. In
these cases, the resident engineer must facilitate coordination and cooperation between
the paleontological monitoring team and the construction contractor.
If unanticipated paleontological resources are encountered, the construction contractor
is directed to stop work within a 60-foot radius of the discovery and contact the
resident engineer. The resident engineer must contact the environmental construction
liaison who will enlist the assistance of the appropriate technical staff to investigate the
discovery. Work in the area of discovery cannot resume until the find has been
properly evaluated and recovery activities completed as necessary. The remaining
construction activities must be evaluated in context of the discovery and monitoring
may be required. If monitoring is required, it may be accomplished through either a
separate contract (preferred) or a subcontract through the prime construction contractor.
In either case, assistance from the environmental construction liaison or district
environmental unit will be necessary.
After excavation is complete, a paleontological mitigation report will be prepared by
the paleontological consultant. If fossils are recovered from the project, they will be
properly curated. The resident engineer must coordinate with the environmental
construction liaison or district environmental unit to ensure that funding is made
available to pay for reporting and curation activities performed by the consultant.
7-103L Disposal, Staging, and Borrow Sites
Caltrans construction projects often require contractors to make use of either state-
owned or private off-site lands and facilities for the disposal of excess materials; the
acquisition of necessary borrow materials; and to stage equipment, store supplies, and
house their offices. Contract documents generally require the contractor to show that
construction activities on these sites comply with all local, state, and federal
environmental and permitted use regulations. However, in some geographic locations
there have been issues regarding final compliance responsibility. To resolve these
issues and to foster better cooperation with regulatory agencies, the option of
designating disposal, staging, and borrow (DSB) sites has been facilitated.
Those construction projects that cannot accommodate the DSB material needs of the
project within the right-of-way may have designated sites for these purposes located
outside the project limits. However, even when such sites are made available, the
contractor will continue to have the flexibility of using alternative sites. Alternative
sites selected by the contractor require the contractor to prepare and submit a DSB site
to the resident engineer for approval. Requirements for this submittal are outlined in the
following section, and additional guidance is available at:
http://www.dot.ca.gov/hq/oppd/dib/dib85.pdf
The need for identifying and obtaining environmental approvals for a designated DSB
site will generally have been made by the project engineer on a case-by-case basis,
considering historical and geographical issues and practices, project design
requirements, environmental concerns, economic factors, and other aspects specific to
projects and their locale. During project development, the project engineer should have
considered and identified sites readily available for use by the contractor. These sites
would have included, but not be limited to, commercial dumpsites, recycling plants,
private property, and other local sites. If it was deemed necessary that one or more
DSB sites needed to be designated, the project engineer would have proposed sites

evaluated during the environmental review process and, as necessary, included them in
the environmental compliance documentation. To ensure their availability to the
contractor, right-of-way agreements would have been obtained for private sites selected
as designated DSB sites. Any necessary permits for selected DSB sites would have
been included among those obtained during the plans, specifications, and estimate
development. Information or documents regarding arrangements made by Caltrans to
ensure the availability of designated sites are provided to prospective bidders or
contractors in a materials information handout.
Summaries are provided below for the minimum items expected in: (1) a DSB site
submittal for a site designated by Caltrans; and (2) a summary of the minimum items
expected in a DSB site submittal for a contractor to get approval for the use of an
alternate site. The submittal and support documents are then filed in the project files.
7-103L (1) Caltrans- and Contractor-Designated Disposal, Staging, and Borrow
Sites
For Caltrans-designated DSB sites:
Caltrans will:
1. Provide a general site plan, including site limits and access roads.
2. Obtain temporary property owner agreements as necessary to reserve
property.
3. Prepare California Environmental Quality Act or National Environmental
Policy Act documentation as needed in consultation with the environmental
unit.
4. Verify the existence of or obtain the necessary PLACs to satisfy regulatory
agencies and ensure site availability in consultation with the environmental
unit.
5. Review and accept the contractors submittal.
The contractor will:
1. Prepare a final grading plan in conformance with the Standard Specifications.
2. Provide a release of liability.
3. Provide final property owner agreements (refer to Section 3-603, Local
Materials, of this manual).
4. Submit a written plan for water pollution prevention in conformance with the
For alternative sites (outside the right-of-way) selected by the contractor:
Caltrans will review and accept the contractors submittal.
The contractor will:
1. For borrow sites, demonstrate that the site is either not subject to or in
compliance with the Surface Mining and Reclamation Act (SMARA). If the
borrow site is not subject to SMARA, confer with the environmental
construction liaison or district environmental unit to ensure that the borrow site
is not a potential contamination source.

2. For all DSB sites:
Provide a site plan, including site limits and access roads.
Obtain and provide property owner agreements (refer to Section 3-603,
Local Materials, of this manual).
Provide a release of liability.
Provide environmental documentation prepared by appropriately qualified
environmental specialists.
Obtain or update all necessary PLACs.
Determine the final grading plan in conformance with the Standard
Specifications.
Submit a written plan for water pollution prevention in conformance with
7-103L (2) Surface Mining and Reclamation Act
Section 10295.5 of the Public Contract Code requires that Caltrans buy or accept sand,
gravel, aggregates, or other mined materials (including imported borrow) from mining
operations in compliance with or not subject to SMARA. The resident engineer can use
the list of mining operations in compliance with SMARA, also called the AB 3098
List, to verify which mining operations are in compliance. The current list may be
obtained from the Department of Conservation website:
http://conservation.ca.gov/omr/SMARA%20Mines/ab_3098_list/Pages/Index.aspx
Mining operations that meet the following criteria are not subject to SMARA and are
not required to be on the AB 3098 List:
A total amount of mined materials less than 1000 cubic yards in any one location
of 1 acre or less.
Onsite excavations and onsite earth-moving activities on a Caltrans construction
project that are an integral and necessary part of the project.
Materials mined from federal lands, except for lands that the Bureau of Land
Management and U.S. Forest Service regulate.
Materials mined from tribal lands, when mined by a tribal mining operator.
Materials mined from outside of California.
Review contractor-proposed sources and verify that the source is on the current
AB 3098 List. If the contactor proposes to use mined material from a mining operation
not on the AB 3098 List, obtain from the contractor proof that the operation is not
subject to SMARA, in accordance with the criteria above, and confirm with the
Department of Conservation. Contact their Office of Mine Reclamation, Reporting and
Compliance Unit, at: [email protected] or (916) 323-9198.
SMARA allows the State Mining and Geology Board (SMGB) to exempt certain
mining operations or construction projects. Caltrans can accept material from exempted
sources if the contractor provides proof of the SMGB-granted exemption.
If the proposed site is not on the AB 3098 List, and the contractor cannot demonstrate
that the site is not subject to SMARA or that an exemption has been granted, the

resident engineer must not accept the contractors submittal. Refer challenges to the
acceptance of materials to the Division of Construction field coordinator.
7-103M Other Contractor Uses of the State Right-of-Way
During the development of the project, the project engineer may identify areas within
the right-of-way for the disposal of portland cement concrete grinding and grooving
residue. The project engineer may identify these areas in the materials information
handout or in the contract. If a permit or approval has not been included, contact the
project engineer or environmental construction liaison for assistance in obtaining the
documents. Refer to the contract special provisions to obtain information about off-site
disposal facilities for portland cement concrete grinding and grooving residue.
The contractors use of Caltrans-owned parcels that are outside of the project limits
will be contingent upon approval by the resident engineer, based on: (1) the DSB site
submittal; (2) the execution of a fair market rental agreement with Caltrans; and (3) the
execution of an encroachment permit by the district permit engineer. The resident
engineer should consult with the project engineer and environmental construction
liaison or district environmental unit before approving the DSB site submittal. For
more information, refer to Section 3-516, Areas for Use, of this manual.
7-104 7-104 Air, Water, and Noise Pollution Control
Air, Water, and This section contains guidelines for administering the contracts air, water, and noise
Noise Pollution requirements.
Control
7-104A Air Pollution Control
7-104A (1) Air Quality
Section 7-102C Emissions Reduction, of the Standard Specifications states that the
contractor, by executing the contract, is aware of California Air Resources Board
(CARB) regulations and will comply with those regulations before starting work and
throughout the duration of the contract.
The resident engineer does not need to verify that the contractors equipment complies
with CARB regulations. The local air quality control district or air quality management
district, commonly referred to as the air district, is responsible for enforcing air
quality regulations. If complaints are brought to the resident engineers attention, the
resident engineer should direct the complainant to file the complaint with the local air
district.
If the complaining party insists that Caltrans handle the situation, the resident engineer
should forward the complaint to the local air quality control district, based on project
location, and send the contractor a copy of the complaint filed.
A list of local air quality control districts, contacts, and addresses is available at:
http://www.arb.ca.gov/capcoa/roster.htm
All Caltrans projects must comply with the Clean Air Act. Permits are issued by local
air quality management districts and require that the project create no smoke, offensive
odors, or visible dust. Contractors must take appropriate measures to ensure their
equipment is properly maintained and to apply water and other dust palliatives as
frequently as necessary. Violations can result in fines and sanctions against the
contractor and Caltrans.

7-104A (2) Dust Control
Under the terms of the project contract, the contractor must control dust. The contractor
must maintain such control whether payment is included in the prices paid for the
various items of work involved or whether payment is made separately. Refer to
Section 4-17, Watering, and Section 4-18, Dust Palliative, of this manual for
additional guidance related to dust control.
During the preliminary inspection, before work begins, take the following steps:
Determine whether a planned method to control dust is included in the contractors
accepted plan for water pollution prevention.
Whenever it is proposed to handle temporary traffic changes on an unpaved
roadway, anticipate the necessity for dust control.Notify and require corrective
action whenever the contractor is not adequately controlling dust. In cases of
neglect, work may be suspended under the resident engineers authority, pursuant
to Section 8-1.06, Suspensions, of the Standard Specifications.
7-104B Water Pollution Control
To ensure the control of pollutants in discharges of stormwater runoff, Caltrans
construction projects may be subject to federal law under the Clean Water Act and state
law under the California Water Code. All Caltrans construction projects are subject to
the Caltrans National Pollutant Discharge Elimination System (NPDES) permit issued
by the State Water Resources Control Board (SWRCB) and one of the following
NPDES permit requirements: the statewide Construction General Permit (CGP) issued
by the SWRCB, the Lake Tahoe CGP issued by the Lahonton Regional Water Quality
Control Board (RWQCB), or the federal CGP issued by the EPA. The project
specifications should identify which permits apply to the project.
For each construction project, the contractor must prepare either a storm water
pollution prevention plan (SWPPP) or a water pollution control program (WPCP) in
accordance with Section 13, Water Pollution Control, of the Standard Specifications,
Caltrans Storm Water Quality Handbooks, and the contracts special provisions. These
documents describe the measures the contractor must implement to ensure that
construction activities do not pollute the waters of the United States. The resident
engineer must authorize all such preventive measures, and then the contractors forces
must implement and maintain the measures.
Successfully protecting water resources (streams, waterways, and other bodies of
water) and protected water-dependant species from pollution is critical to the projects
success. These waters must be protected from chemical pollutants, including petroleum
products, paint residues, and curing compounds, and from sediment in stormwater
runoff. To ensure this, Caltrans has developed an evaluation plan to review the
contractors water pollution control program and to evaluate construction projects for
overall adequacy in implementing stormwater pollution prevention measures. The
Construction Compliance Evaluation Plan (CCEP), provides a process for evaluating
the potential threat to water quality that is sensitive to forecasted storm events and
contractor preparedness. The plan also separates water quality compliance from
stormwater contract administration.
For projects covered by the statewide or Lake Tahoe CGP, Permit Registration
Documents (PRDs) and other permit-related compliance documents must be filed

electronically with the SWRCB through the Storm Water Multiple Application and
Report Tracking System (SMARTS).
All requests to start construction, Notice of Intent (NOI), requests for termination of a
project, Notice of Termination (NOT), and interim reporting are performed through
SMARTS.
To set up a SMARTS profile, the CGP and SMARTS require establishment of certain
responsibilities, including:
The legally responsible person (LRP).
The approved signatory.
A data entry person (DEP).
For Caltrans, the LRP is the district director, although up to three backup LRPs may be
designated to perform the same duties. The LRP is responsible for permit compliance
and designating the approved signatory for the project. Assignment of an approved
signatory is accomplished by the linking process in SMARTS as detailed in the
SMARTS Users Manual. The manual is posted on the Division of Construction
stormwater training website:
http://www.dot.ca.gov/hq/construc/stormwater/swppp_training.html
A project can have more than one approved signatory. The resident engineer is
responsible for the project data submitted in SMARTS and must be designated an
approved signatory. The LRP may link other approved signatories to the project as
necessary to support project delivery. Documentation for SMARTS submittals comes
from various members of a project development team; however, the approved
signatory is responsible for submitting PRDs, the NOI, annual reports, ad-hoc
reporting, and NOT certification.
A DEP may be any Caltrans staff member or contractors personnel designated by the
LRP or approved signatory to input information into SMARTS.
The NOI provides the RWQCBs with details about the project and is a request for
coverage under the CGP. The NOI process involves filing PRDs including project-
related information and the project SWPPP. Obtain information necessary to complete
the SMARTS NOI from the project Storm Water Data Report Attachment for
SMARTS Input.
Reporting in SMARTS is accomplished by entering data into specific tabs or by
uploading documents. For example, the NOI is created by entering data in the fields
under the NOI tab, whereas the project SWPPP and its amendments are uploaded into
the system. There are also screens for discharge reporting, annual reports, and other
permit-related project reports. The approved signatory may certify submittals in
SMARTS and, when applicable, will need to provide the qualified SWPPP developers
certification. Hard copies of these documents must be maintained in the project files.
Filing a NOT should coincide with the acceptance of the construction contract but
project conditions may justify a different submittal time. Section II.D, Conditions for
Termination of Coverage, of the CGP details when a project is complete according to
the CGP. Project-specific information regarding conditions to satisfy permit
requirements is detailed in the contract, SWPPP, and the project Stormwater Data
Report. Consult with the project engineer to ensure the conditions have been satisfied.

7-104B (1) District Construction Stormwater Coordinator Responsibilities
District construction must have at least one designated district construction stormwater
coordinator who will carry out necessary administrative functions to prevent water
pollution. This coordinator reviews the contractors SWPPP or WPCP, visits projects,
and acts as technical advisor to the resident engineer. The coordinator evaluates
projects for potential threats to water quality and the effectiveness of stormwater
contract administration. The district construction stormwater coordinator works with
other functional areas in the district, assists resident engineers to ensure compliance,
and ensures that field construction personnel are appropriately trained.
7-104B (2) Resident Engineer Responsibilities
The resident engineer uses all available assistance and expertise in preventing water
pollution. This assistance may come from the district construction stormwater
coordinator, environmental construction liaison, or other functional areas in the district
(such as landscape architecture, environmental, and hydraulics)
Before work begins, the resident engineer must do the following:
Designate appropriate staff as stormwater inspectors to assist in preventing
stormwater pollution.
Review the construction contract and the resident engineers file for instructions
and commitments.
Ensure that PRDs are submitted into SMARTS.
Ensure that all proper forms have been filed with the RWQCB.
Meet with the appropriate environmental and engineering experts in the district to
ensure a full understanding of the contract requirements for water pollution
prevention.
Conduct a preconstruction meeting with the contractor to discuss all required
stormwater measures and requirements. Depending on the projects size and
complexity, this preconstruction meeting may be used exclusively for discussing
water pollution prevention or the topic may be included in a general
preconstruction meeting.
Provide the contractor with a copy of the district design units conceptual SWPPP
for the project, if one has been prepared.
Review and accept the contractors SWPPP or WPCP as required by the
specifications. The district construction stormwater coordinator may assist in the
review. Note that before the resident engineer has accepted the plan, the
specifications prohibit any job site activities.
Before any job site activities begin, ensure the contractor deploys any stormwater
BMPs called for in the SWPPP or WPCP.
In compliance with the CGP, maintain a copy of the SWPPP or WPCP on the
project site.
Inspect the contractors operations for compliance with the specifications and the
accepted SWPPP or WPCP, including deployment of BMPs.

Ensure the contractor adheres to the inspection schedule set forth in the SWPPP or
WPCP and provides written reports of these inspections.
Ensure the contractor prepares and submits appropriate Rain Event Action Plans
(Form CEM-2045) for risk levels 2 and 3 SWPPP projects.
Ensure the contractor prepares and submits project annual reports.
Ensure the contractor deploys stormwater and non-stormwater BMPs whenever
associated construction activities are taking place.
Ensure the contractor maintains BMPs so that they will function as planned.
Ensure the contractor has the necessary materials on hand to deploy any necessary
additional BMPs in the event of a storm.
Ensure the contractor uses appropriate measures to stabilize slopes at the times
specified. In accordance with the specifications, ensure the contractor submits an
implementation schedule for soil stabilization and sediment control for disturbed
soil areas.
Ensure the contractor complies with any provisions that restrict the size of the
contractors disturbed soil area.
Ensure the contractor notifies the resident engineer and obtains the resident
engineers authorization in advance for each first-time non-stormwater discharge,
excluding exempted discharges.
Monitor the contractors active and non-active disturbed soil areas.
Ensure the contractor conducts soil stabilizing activities as specified.
Ensure the contractors water pollution protection plan addresses avoiding water
quality impacts related to pre-nesting season removal of existing bird nests on
bridges and other structures over or near water.
Direct the contractor to correct any deficiencies in compliance efforts identified in
the contractors or district construction stormwater coordinators project evaluation
reports.
If any pollutants are discharged into the waters of the United States, notify the
district construction stormwater coordinator immediately. Review the NPDES
permit and Statewide Stormwater Management Plan to determine the appropriate
reporting timeframe, and provide a draft report of noncompliance to the district
NPDES stormwater coordinator. Unless otherwise indicated in the district or
regional work plans, the district NPDES stormwater coordinator will then forward
the report to the RWQCB. For SWPPP projects, require the contractor to prepare
Form CEM-2061, Notice of Discharge Report.
Report to the district construction stormwater coordinator any illegal discharges or
illicit connections. Require the contractor to prepare Form CEM-2061, Notice of
Discharge Report, as specified in the SWPPP.
Should noncompliance occur, initiate contractual enforcement procedures
commensurate with the nature and severity of the noncompliance. Contract
enforcement may include the following:
1. Withholding funds from contract payment as specified in the contract.

2. Suspending any work that would exacerbate the noncompliance or interfere
with or prevent the contractors efforts to correct the deficiency. For example,
earthwork operations may be suspended until the contractor controls sediment
or stabilizes soil as specified. Other work performed by a crew might be
suspended if that crew is needed to install BMPs.
Meet with personnel from regulatory agencies, such as the EPA and the RWQCB
to discuss stormwater issues and measures.
Ensure the contractor submits an annual certification of compliance, Form
CEM-2070, SWPPP/WPCP Annual Certification of Compliance, as specified.
Sign, date, and file this certification in the project files.
At 90 percent construction completion, conduct a field review with the
maintenance superintendent or supervisor, or the district maintenance stormwater
coordinator, and complete Form MTCE-0023, Construction to Maintenance 90%
BMP Completion Walkthrough.
Before accepting the contract, the resident engineer must do the following:
Determine that all slopes are stabilized, as required by the contract.
Require the contractor to remove temporary BMPs such as silt fences or other
measures that are not a part of permanent erosion control or that the district
maintenance unit has not requested to be left in place.
Conduct a final walk-through of the project area with the maintenance
superintendent or region manager. During the final inspection, update Form
MTCE-0023 to reflect changes and corrective actions implemented since the 90
percent construction completion field review with maintenance.
7-104B (3) Stormwater Inspector Responsibilities
The resident engineer may assign an assistant resident engineer as the stormwater
inspector. The stormwater inspector will assist the resident engineer in carrying out the
work described above, as determined by the resident engineer. Typically, the
stormwater inspector will do the following:
Review and become familiar with the Standard Specifications and project special
provisions pertaining to water pollution control.
Review and become familiar with the project WPCP or SWPPP.
Conduct site inspections. Verify that BMPs are properly installed and meet the
requirements in the Caltrans Storm Water Quality Handbooks and the contract
specifications. Look for areas that may require BMPs that are not deployed or not
addressed in the WPCP or SWPPP. Observe and identify any discharges, illicit
connections, and illegal discharges. Take photographs of all areas.
Prepare daily reports on stormwater pollution prevention. Record all stormwater
management activities, or inactivity, and conversations with the contractor
regarding stormwater pollution prevention.
Document site visits from regulatory agencies, such as the SWRCB, the RWQCB,
or EPA, and any inspections the agencies perform.
Monitor the weather reports of the National Weather Service for rainfall
predictions. If a qualifying rain event (greater than 0.5 inch for each event) or
storm event (greater than 0.1 inch in 24 hours) is predicted, ensure the contractor

prepares a rain event action plan for risk levels 2 and 3 projects and deploys
appropriate BMPs as identified in either the rain event action plan, the SWPPP, or
the WPCP.
Inform the resident engineer immediately of any problems with BMPs during the
implementation of the WPCP or SWPPP and any observed discharges.
Identify changes in construction that may require amendments to the WPCP or
SWPPP, and notify the resident engineer of these findings.
For sites covered by permits, ensure site access and the safety of representatives of
regulatory agencies and local agencies when they are on site for any reason.
7-104B (4) Contractor Inspections
The special provisions for water pollution control require the contractor to inspect the
construction site at least once a week for the proper implementation, performance, and
maintenance of BMPs identified in the WPCP or SWPPP. The contractor must follow
the site inspection procedure specified in the SWPPP or WPCP, and the Construction
Site Monitoring Program. The water pollution control manager, or trained personnel
under the supervision of the water pollution control manager, must conduct the site
inspections using Form CEM-2030, Stormwater Site Inspection Report.
The contractor must notify the resident engineer whenever the SWPPP, WPCP, or
BMPs may not reduce or have not reduced the discharge of sediment or other
pollutants into a waterway or outside of the project limits. The contractor must follow
the verbal notification with a written report using Form CEM-2061, Notice of
Discharge Report. The contractors report must conform to the provisions of Section
900.3, Discharge Reporting, of the SWPPP or those of Section 50.2, Discharge
Reporting, of the WPCP.
If the situation constitutes noncompliance with the permit, the resident engineer must
conduct a verification inspection, and if a noncompliance condition exists, report it to
the district construction stormwater coordinatorand district NPDES stormwater
coordinator. Unless otherwise indicated in the district or regional work plans, the
district NPDES stormwater coordinator will report it to the appropriate RWQCB. The
resident engineer must require the contractor to amend the WPCP or the SWPPP, if
necessary, and to install additional BMPs.
7-104B (5) Amendment Review and Processing
During construction, conditions may occur that affect the ability of the contractor to
implement the WPCP or SWPPP as initially accepted or the ability of the accepted
WPCP or SWPPP to meet the objectives for water pollution control. A change in
construction operations or site conditions may result in the discharge of significant
quantities of pollutants to surface waters, municipal storm drain systems, or outside of
the project limits. The project biologist must be notified of such releases, asked to
determine the effect on protected species and their habitats, and asked to determine the
need for required notices to regulatory agencies. These changes can include
construction staging or schedule changes, staging area modifications, unanticipated
offsite drainage impacts, and failures of BMPs. The contractor must amend the WPCP
or SWPPP if either plans effectiveness is diminished by any such changed condition.
Upon the resident engineers authorization, the contractor must incorporate all WPCP
or SWPPP amendments into the onsite documents. The contractor must prepare WPCP
or SWPPP amendments in the format prescribed in the Stormwater Pollution

Prevention Plan (SWPPP) and Water Pollution Control Program (WPCP)
Preparation Manual.
The resident engineer must review the contractors proposed revised WPCP or SWPPP
amendment for completeness and conformance with the revised conditions, and give
written acceptance to the contractor if the amendments are acceptable. The accepted
revised SWPPP must be uploaded into SMARTS.
7-104B (6) Project Files
The resident engineer must keep copies of all documents related to stormwater
pollution prevention in Category 20, Water Pollution Control Program or Storm
Water Pollution Prevention Plan, of the project files. Retain the following documents:
SWPPP or WPCP and all amendments.
Daily reports and photographs related to the prevention of stormwater pollution.
The weekly contractor-prepared Stormwater Site Inspection Report.
The Notice of Discharge Reports.
All correspondence related to stormwater pollution prevention, including notices
of noncompliance.
Inspection reports from the district construction stormwater coordinators.
Inspection reports from the resident engineer and assistant resident engineer.
Copies of the certifications required by the specifications.
The printout from SMARTS after filing the NOT.
7-104B (7) Contractor Files
The specifications require the contractor to keep at the project site copies of the
SWPPP or WPCP and all accepted amendments.
7-104C Noise Control
Construction and traffic noise may be a sensitive issue in neighborhoods and
communities adjacent to state highways. Major funding has often been provided to pay
for highway noise reduction through the construction of sound walls and other noise
attenuation. Special restrictions may be employed on night work in sensitive areas such
as residential neighborhoods, schools, and hospitals near the project site. Section 14-8,
Noise and Vibration, of the Standard Specifications, provides the contractors
requirements for noise control.
7-105 Permits, Licenses, Agreements, and Certifications 7-105
This section covers environmental-related permits issued by regulatory agencies. Permits, Licenses,
PLACs are part of the contract supplemental project information as described in the Agreements, and
special provisions. For assistance regarding PLAC requirements, such as contractor Certifications
submittals on reporting requirements, protocols, or information training, contact the
environmental construction liaison or project biologist.
7-105A Special Use Permits and Other Federal Permits
The U.S. Forest Service, Bureau of Land Management, and other federal agencies
issue permits to Caltrans to construct and operate highway facilities across lands under
their jurisdictions. There can be special use permits, temporary use permits, U.S.

Department of Transportation easements, federal land transfers, and, in the case of
already existing roadways, there may be prescriptive rights of way. In addition, an
Archaeological Resources Protection Act permit may be required.
7-105B California Fish and Game Code Sections 1602 and 5650
Section 1602 of the California Fish and Game Code requires that public agencies such
as Caltrans reach an agreement with the California Department of Fish and Wildlife
(CDFW) if the proposed work affects a waterway. The agreement required by this
section of the code is known as the Lake or Streambed Alteration Agreement, also
known as the 1602 Agreement. The 1602 Agreement specifically prohibits polluting
the waters of the state and may specifically prohibit certain activities at certain times of
the year, such as working in the river during spawning season. It may also require the
contractor to undertake specific measures, such as installing fish ladders. Violations of
the agreement are punishable by fine, imprisonment, or both.
Section 5650 of the Fish and Game Code prohibits placing specified materials in the
waters of the state. Violations are punishable by fine, imprisonment, or both. Examples
of violations include the following:
Causing dirt and sediment to enter the waters of the state.
Using creosoted timbers in the waters of the state.
Placing petroleum products, such as asphalt or diesel, into, or where they can get
into, the waters of the state.
Placing asphalt concrete grindings, chunks, and pieces in areas where they can pass
into the waters of the state is also a violation of Section 5650 of the Fish and Game
Code. A memorandum of understanding exists between CDFW and Caltrans regarding
the placement of asphalt concrete pavement grindings as shoulder backing and the
placement of asphalt concrete pieces and chunks in embankments. For a discussion of
reusing asphalt concrete as fill material and shoulder backing and a summary of the
memorandum of understanding, refer to Section 110.11, Conservation of Materials
and Energy, of the Highway Design Manual. If a question exists as to whether asphalt
concrete grindings or chunks may get into the waters of the state, consult with the
environmental construction liaison or project biologist.
7-105C List of Potential Permits, Licenses, Agreements, and Certifications
Table 7-1.1 may be used as a guideline for determining when permits or approval of
contract plans may be required from state or local governmental agencies. The first
column lists the activity or a resource affected by construction activity. The second
column lists the agency or agencies that may have jurisdiction in the area shown in the
first column. The third column indicates the type of permit or plan approval that may
be required by the agency or agencies.
Table 7-1.2 lists federal environmental statutes and regulations. The first column lists
resources or activities. The second column shows the federal agency having
jurisdiction in the area. The third column lists the statute or regulation that applies to
the resource or activity.
Most required permits and plan approvals should be obtained during the projects
design phase. However, the following tables may be used as a reminder of the types of
permits and plan approvals that may be required when making changes to the original
plans. Any changes to plan approvals or PLACs must be coordinated with the
environmental construction liaison or environmental unit.

Table 7-1.1. State and Local Agency Permits, Licenses, Agreements, and Certifications (1 of 2)
Resource or Activity Agency Permit or Approval

Commercial, industrial, and Local agency (county or city) Land use, general plans, specific plan,
residential development conditional use, or subdivision
Conversion of timberland to California Department of Forestry; Timberland conversion permit;
non-forest uses through timber California Department of Fish and California Endangered Species Act
operations and immediate Wildlife (Consultation)
timberland production zone
rezoning
Power transmission lines, Public Utilities Commission Review of plans and approval
pipelines, and railroad
crossings
Solid waste disposal Department of Resource Recycling Disposal requirements
and Recovery (CalRecycle)
Sewage disposal County health department Disposal requirements

Waste discharge State Water Resources Control Board; Waste discharge requirements
Regional Water Quality Control Board
Re-use of soil containing Department of Toxic Substances ADL variance
hazardous concentrations of Control
aerially deposited lead (ADL)
Storing, treating, or disposing Department of Toxic Substances Hazardous Waste Facilities Permit
of hazardous waste Control required for facilities receiving hazardous
waste from Caltrans
Right-of-way across state California Department of Parks and Right of-way permit, license, easement,
parkland Recreation joint agreement, or lease
Encroachment on or across a Local agency (county or city) Encroachment permit
local street or highway
Encroachment on 100-year California Department of Fish and Lake/Streambed Alteration Agreement
floodplain, intermittent streams, Wildlife (1602 agreement); California
and desert washes Endangered Species Act (Consultation)
Encroachment on or across California Department of Parks and Review of plans
cove, bay, or inlet Recreation, Division of Boating and
Waterways
Air quality Air Resources Board or local air Authority to construct and permit to
pollution control district operate for activities emitting stationary
source pollutants to the atmosphere
Fish and wildlife habitat California Department of Fish and Lake/Streambed Alteration Agreement
Wildlife for activities in lakes, streams, and
channels and crossings; California
Endangered Species Act
Coastal zone California Coastal Commission; local Coastal Development Permit;
government local coastal program California Coastal Act

Table 7-1.1. State and Local Agency Permits, Licenses, Agreements, and Certifications (2 of 2)
Resource or Activity Agency Permit or Approval

Water California State Lands Commission; Land use lease (for encroachments,
State Water Resources Control Board; crossings on tidelands, submerged
Regional Water Quality Control Board; lands, and so forth); National Pollutant
Department of Public Health, Division of Discharge Elimination System Permit
Drinking Water and Environmental for stormwater discharges to surface
Management; or local health office water; waste discharge requirements
for nonstorm discharges to surface
water or groundwater to the waters of
the state; Permit to Operate a Public
Water System
Dredging California Department of Fish and Standard or special suction dredging
Wildlife; State Lands Commission permit; dredging permit
Surface (material borrow sites, Local agency (county or city) Surface Mining and Reclamation Act
and so forth) (SMARA) permit
Burning Local air pollution control district; Burn permit
California Department of Forestry and
Fire; local fire control agency
Grading Local agency (county or city) Grading permit
Entering private property to Caltrans district right-of-way unit; Property owner approval for temporary
gather information for Property owner right of entry approval encroachment
temporary use
Entering surface waters to Regional Water Quality Control Board Water quality certification or waiver
gather information or for
construction
All activities involving dams or California Department of Water Approval of plans
reservoirs Resources, Division of Safety of Dams

Table 7-1.2. Federal Agency Permits, Licenses, Agreements, and Certifications
Federal Statute, Regulation,

Resource or Activity Agency
or Executive Order
Water U.S. Army Corps of Engineers; U.S. Federal Clean Water Act (Section 404)
Environmental Protection Agency (EPA); Regulations concerning the National
Bureau of Reclamation; U.S. Fish and Wildlife Pollutant Discharge Elimination System
Service; National Oceanic and Atmospheric (40 CFR); Federal Endangered Species
Administration Act
Air U.S. EPA Clean Air Act, Title 42, Sections 7401
7414
Fish and Wildlife Habitat U.S. Fish and Wildlife Service; U.S. Forest Federal Endangered Species Act
Service; National Park Service; National (Section 7)
Oceanic and Atmospheric Administration Biological Opinion for protection of
species and habitats
Navigable Waters U.S. Army Corps of Engineers; U.S. Coast Rivers & Harbor Act
Guard
Federal Lands U.S. Forest Service; Bureau of Land Federal Clean Water Act (Section 404);
Management; National Park Service; Federal Endangered Species Act
U.S. Army Corps of Engineers; (Section 7)
U.S. Fish and Wildlife Service;
National Oceanic and Atmospheric
Administration
Historic Properties Advisory Council on Historic Preservation; National Historic Preservation Act
State Historic Preservation Office (Section 106)
Paleontological Bureau of Indian Affairs; Bureau of Land Antiquities Act of 1906; Paleontological
Resources Management, National Forest Service; Resources Preservation Act of 2009;
National Park Service; U.S. Army Corps of Federal Land Policy and Management
Engineers Act of 1976
Coastal Zone U.S. Army Corps of Engineers; U.S. Fish and Biological Opinion for protection of
Wildlife Service; National Oceanic and species and habitats; Federal
Atmospheric Administration Endangered Species Act;
Federal Coastal Zone Mgmt. Act of
1972
Wild and Scenic Rivers National Park Service; U.S. Forest Service, Code of Federal Regulations: 36 CFR
Bureau of Land Management 297; 43 CFR 8350
Wetlands U.S. Army Corps of Engineers; U.S. EPA Executive Order 11990 (Protection of
Wetlands)
Floodplains Federal Emergency Management Agency Executive Order 11988 (Floodplains

Management)
Dredging U.S. Army Corps of Engineers; U.S. Fish and Federal Clean Water Act (Section 404);
Wildlife Service; National Oceanic and Executive Order 11990; Federal
Atmospheric Administration; U.S. Coast Guard Endangered Species Act
Airport Airspace Federal Aviation Administration Federal Aviation Regulations, Part 77
Farmland Natural Resources Conservation Service Farmland Protection Policy Act

Environmental Rules and Regulations 7-1.21
7-106 7-106 Hazardous Materials
Hazardous Many hazardous materials are used in the construction of highway facilities.
Materials Employees must take appropriate precautions to minimize their exposure and use
protective clothing and equipment. Contractors must submit safety data sheets (SDS)
and obtain permission from the resident engineer before bringing any hazardous
material onto the job site. For instructions, guidelines, and requirements for handling
hazardous materials to ensure employee safety, refer to Chapter 16, Hazardous
Materials Communication Program, of the Caltrans Safety and Health Manual and
Chapter 2, Safety and Traffic, of this manual. For pesticide use guidelines, refer to
Section 4-20, Landscape, of this manual.
Key sources of SDS information are available at the websites listed below. The
information these websites provide could be critical in the event the contractor fails to
provide an SDS or should additional information or clarification be required.
Each of the websites provides the general purpose of the site, the name of the party
supporting the site, and that partys general internet address. In using this information,
keep in mind that some of these addresses may change over time and it may be
necessary to search the more general website listing or call directly for assistance.
For SDS information by chemical name or Chemical Abstracts Services number, use
the Louisiana State University Center for Advanced Microstructures and Devices:
http://www.camd.lsu.edu/msds/index.htm
For general SDS information or information by manufacturer or product name, refer to
the Vermont Safety Information Resources, Inc.:
http://hazard.com/msds
7-107 7-107 Hazardous Waste and Contamination
Hazardous Waste Hazardous waste may be generated as a result of construction activities. Examples of
and Contamination hazardous waste include the removal of stripe and pavement marking containing high
levels of lead, removing lead-based paint from a bridge or other structure, and
excavating soil containing aerially deposited lead. Removing hazardous waste and
contamination that has been released into the environment may be part of the project
activities. For example, the work may include excavating a defined area of
contaminated soil at an old gas station location.
Special permits may be required when generating hazardous waste during construction.
For example, demolishing a bridge, whether new, old, or temporary, requires an
asbestos survey and a permit from the local air quality management district. For
guidance regarding special permit and variance requirements and procedures, contact
the environmental construction liaison or district environmental unit.
The district construction division must have a designated district hazardous waste
coordinator who will carry out necessary administrative functions for hazardous waste
and assist the resident engineer. The coordinator will assist the resident engineer by
working with other functional areas in the district and headquarters to do the following:
Identify hazardous waste training that might be needed.
Ensure the proper notifications if unidentified waste is found during construction.

Provide field personnel with procedures and other information so that the
personnel may safely deal with anticipated and unanticipated hazardous waste and
contamination.
The construction contractor is responsible for ensuring that hazardous waste and
contamination is managed in compliance with all applicable laws and regulatory
requirements. For information about the applicable laws and regulations, refer to
Volume 1, Chapter 10 of the SER. Additional information regarding hazardous waste
management is available at the California Department of Toxic Substances Control
(DTSC):
http://www.dtsc.ca.gov
For information regarding hazardous waste transportation, refer to the DTSC:
http://www.dtsc.ca.gov/HazardousWaste/Transporters/index.cfm
Section 14-11, Hazardous Waste and Contamination, of the Standard Specifications
defines the contractors responsibilities, including requirements for proper storage and
handling. Guidance for managing hazardous waste during construction can be found at:
http://env.dot.ca.gov/haz_waste/haz_construction/hw_construction_management.shtml
Guidance for implementing specific standard special provisions can be found at:
http://env.dot.ca.gov/haz_waste/haz_sp_provisions/hw_sp.shtml
7-107A Contractor-Generated Hazardous Waste Versus Department-Generated
Hazardous Waste
Section 14-11 of the Standard Specifications differentiates between contractor-
generated waste and Department-generated waste.
Contractor-generated hazardous wastes are hazardous materials that the contractor
brings to the job site that have no further use and must be disposed of. Examples
include extra or spent chemicals and waste generated as a result of contractor spills and
leaks. Caltrans does not pay for disposal of contractor-generated hazardous wastes. The
contractor obtains the EPA generator identification number and signs manifests for
contractor-generated hazardous waste disposal.
Department-generated hazardous wastes result from removal of materials that exist
within the project limits such as stripe on the highway and soil containing aerially
deposited lead. The Standard Specifications requires that Department-generated
hazardous waste is labeled consistently, and the resident engineer obtains the EPA
temporary generator identification number and signs the hazardous waste manifests.
Department-generated hazardous waste is required to be disposed of within California
at a facility that holds a DTSC permit to accept the waste. For more information
regarding in-state disposal, refer to Chapter 18 of the Project Development Procedures
Manual.
At the preconstruction meeting, have the contractor identify the permitted site for
disposal of project hazardous waste. The resident engineer should follow up and
confirm the disposal sites ability to dispose of the waste stream.
1. Retain a copy of the manifest. Make a copy and send it to: DTSC, P.O. Box 400,
Sacramento, CA, 95812-0400 within 30 days.

2. Review the manifest for accuracy before signing it as the generator. If you identify
any errors at the time, line them out, correct them, and initial the correction. If you
identify an error after the waste is transported, prepare a manifest correction letter.
Seek assistance from the district hazardous waste coordinator if needed. The
mailing address on the manifest should be the district office and the manifest
should also show the project location address.
3. Check that the load is transported by a hauler with a valid hazardous waste hauler
certification.
7-107B Aerially Deposited Lead
Aerially deposited lead (ADL) from leaded gasoline emissions still exists in unpaved
areas along California highways, and lead is ubiquitous in the environment. Sample
and analysis of soil is normally performed during project development to determine
whether the lead is present at hazardous waste concentrations. Sample results are
analyzed statistically. The sampling and analysis methods were developed and are
required by the EPA and DTSC. For safety purposes do not allow Caltrans staff and
contractor staff that have not completed a lead safety training program provided by the
contractor to work in areas where soil is being disturbed.
7-107B (1) Non-Hazardous Lead Concentrations
If lead concentrations are non-hazardous, a lead compliance plan is required for safety
precautions, but special disposal of the soil is not required. The requirements for the
lead compliance plan are found in Section 7-1.02K (6)(j)(ii), Lead Compliance Plan,
of the Standard Specifications and project-specific information is found in Section
7-1.02K (6)(j)(iii) of the standard special provisions. The special provisions will
specify whether soil must be retained on the job site or will be relinquished to the
contractor. The special provisions may contain handling requirements (e.g., excavate to
total depth, not in lifts). These requirements are included and must be followed in
situations where mismanagement of the soil could result in unintended
misclassification of the soil and unnecessary hazardous waste generation. For more
information about these special provisions refer to the guidance at:
http://env.dot.ca.gov/haz_waste/haz_sp_provisions/hw_sp.shtml
7-107B (2) Hazardous Lead Concentrations

If lead concentrations are hazardous and soil will be disturbed by project activities, the
contract special provisions will require worker protection and soil management and
disposal or re-use under the variance issued to Caltrans by the DTSC. Reuse of ADL
soils with lead concentrations exceeding regulatory thresholds is allowed when the
DTSC ADL variance requirements are met and the variance is properly invoked
through notification of the DTSC and the appropriate RWQCB. Soil that can be re-
used is designated in the specifications and on the plans as Y-1 (can be buried under
soil) or Y-2 (must be placed under pavement). When the project includes Types Y-1 or
Y-2, the resident engineer must verify that the district has submitted the paperwork to
invoke the statewide variance to the DTSC and notified the applicable RWQCB.
If the submittals were not sent, the resident engineer must contact the environmental
construction liaison or district hazardous waste coordinator for assistance in preparing
and sending the submittals by at least 5 days before the start of construction affecting
ADL. The RWQCB normally requires at least 30 days notice prior to project
advertisement. If the notification was not submitted, notify the board and negotiate a

special time allowance. More information about the DTSC ADL variance is available
at:
http://env.dot.ca.gov/haz_waste/haz_contaminant_waste/adl.shtml
The resident engineer must be aware of the requirements for burying soil containing
ADL, and must adequately record information on the daily reports so that the burial
locations of ADL can be found.
The contractor must submit Form CEM-1901, Burial Location of Soil Containing
Aerially Deposited Lead, to the resident engineer within 5 business days of
completing placement of soil containing ADL at a burial location. The resident
engineer should verify the information submitted on the form and notify the contractor
within 5 business days if the information must be corrected. The contractor must then
submit the corrected form to: [email protected].
The resident engineer is responsible for showing on the as-built plans the locations
where ADL was buried. Information submitted on Form CEM-1901 should be used as
the basis for the plotting locations.
7-107B (3) Minimal Disturbance of Material Containing Hazardous Waste
Concentrations of Aerially Deposited Lead
The EPA allows certain discrete areas of generally dispersed contamination to be
considered an individual waste management unit (equivalent to a landfill). These
discrete areas are defined as areas of contamination (AOCs). An AOC is equated to a
single unit; therefore, movement, consolidation, or in-situ treatment of hazardous waste
within the AOC does not create a new point of hazardous waste generation. For an
AOC, contamination must be contiguous but can have various concentrations.
The DTSC allows Caltrans to apply the AOC approach to projects that will only cause
minimal disturbances of soil containing hazardous waste concentrations of ADL.
Minimal or minor disturbances include installing guardrail, fencing, sign posts, traffic
operation systems, highway planting and irrigation; minor clearing and grubbing;
shoulder backing, pavement, and trenches for electrical systems. All soil disturbed
must remain in the immediate area of disturbance and not be transported elsewhere.
Health and safety precautions and dust control for hazardous waste must be
implemented.
When the AOC approach can be applied, the contract specifications will require a lead
compliance plan for worker safety and dust control, and require that disturbed soil be
placed back in the immediate area that it came from.
7-107C Naturally Occurring Asbestos
If naturally occurring asbestos (NOA) exists within the project area, the contract will
include specifications that contain safety and management requirements. The
specifications require that the contractor must, at all times, comply with the dust
mitigation requirements of the local air pollution control district or the county air
quality management district and the California Occupational Safety and Health
Administration code of safe work practices for working with asbestos (California Code
of Regulations Title 8, Section 1529 [8 CCR 1529]).
The CARB restricts the use of material containing detectable NOA (equal to or greater
than 0.25 percent) and the DTSC regulates material containing hazardous levels of
NOA (defined as equal to or greater than 1.0 percent asbestos). However, the DTSC

does not require that NOA be managed as a hazardous waste for disposal purposes,
and, therefore, disposal at a Class I facility is not required. Because of this
determination, an EPA generator identification number is not necessary for disposing
of excess NOA material, nor are waste manifests or DTSC-registered hazardous waste
transporters required. However, surplus material containing 1.0 percent or greater of
NOA must be disposed of by the contractor in a Class II or Class III landfill facility
permitted to receive it and may not be relinquished for reuse on a site that is not a
permitted disposal facility.
Ultramafic rock that has been tested and found to contain below 0.25 percent asbestos
and all NOA material containing less than 0.25 percent asbestos may be used in a
surfacing application per the CARB Airborne Toxic Control Measure for Surfacing
Applications, Title 17, Section 93106, (i) 20. Restricted material is defined as
ultramafic rock and serpentine rock, any material extracted from a region defined on
geologic maps as an ultramafic rock unit, and any material that has been tested and
found to have an asbestos content of 0.25 percent or greater. Surplus material with an
NOA content greater than or equal to 0.25 percent, but less than 1.0 percent NOA must
be disposed of in a licensed landfill facility if it is not relinquished to the contractor. If
material containing less than 1.0 percent NOA is relinquished to the contractor for
reuse in non-surfacing applications, the contractor must provide the following warning
to the entity receiving the NOA material:
W A R N I N G!
This material may contain asbestos.
It is unlawful to use this material for surfacing or any application

in which it would remain exposed and subject to possible disturbances.
Extreme care should be taken when handling this material to minimize the
generation of dust.
The resident engineer must obtain written documentation from the contractor stating
that the relinquished NOA material will not be reused in a surfacing application and
what the final disposition of the restricted material is.
7-107D Department-Generated Contaminated Soil
If contaminated soil exists within the project area, the contract will include
specifications that contain safety and management requirements. Depending on the
depth to groundwater within the project area and the depth of construction activities,
management of contaminated water may also be included. These specifications will
vary depending upon the site-specific conditions and, therefore, must be reviewed
carefully by the resident engineer to ensure that they are properly implemented.
7-107E Removing Yellow Traffic Stripe and Pavement Marking with Hazardous
Waste Residue
Follow the procedures below when assessing, removing, and disposing of yellow
traffic stripe and pavement marking materials on all projects. If such pavement
markings exist on the project, Section 14-11.07 of the special provisions will be
included in the contract.
The resident engineer must review the construction contract to determine whether
yellow traffic stripe and pavement marking material must be removed. If so, the

resident engineer must also determine whether special handling as a hazardous waste is
specified.
If yellow traffic stripe and pavement markings are to be removed and the removal has
not been addressed in the contract, the resident engineer must consult with the district
hazardous waste coordinator to determine whether a change order is needed.
The resident engineer must ensure the following:
Training: The contractor must provide a safety training program that meets the
requirements of 8 CCR 1532.1, Lead. Before performing any yellow traffic
stripe and pavement marking removal, personnel (including Caltrans employees)
who have had no prior lead training must complete the safety training program.
Lead compliance plan: Work practices and worker health and safety must conform
to 8 CCR 1532.1. The contractor must submit the written compliance programs
required in Subsection (e)(2), Compliance program, of Section 1532.1, to the
resident engineer before starting to remove yellow traffic stripes and pavement
markings and at such times when a program revision is required. An industrial
hygienist certified by the American Board of Industrial Hygiene must prepare the
compliance program. A competent person capable of taking corrective action must
monitor the program. Require that copies of all inspection reports made in
accordance with Section 1532.1 are given to the resident engineer.
Work plan: The contractor must submit a work plan that documents the removal
equipment that will be used, removal and waste collection procedures, storage
containers, storage location and security, sampling procedures, sampling personnel
qualifications, certified laboratory that will run the analyses, hazardous waste
hauler certifications, and receiving disposal site and requirements. Removal work
may not start until the resident engineer has reviewed and accepted the work plan.
Storage of residue: The contractor must store the residue from traffic stripe and
pavement marking removal as follows:
1. While waiting for any test results required by the disposal facility, store the
collected residue as hazardous waste in properly labeled metal containers
approved by the U.S. Department of Transportation for hazardous waste
transport.
2. Cover and handle the containers in such a manner that no spillage will occur.
3. Enclose the stored containers with temporary chain link fencing or a lockable
shipping container at a location within the project limits approved by the
resident engineer.
4. Begin disposing of the contained residue no more than 90 days after
accumulating 220 pounds of residue.
Testing and disposal: Before disposal, the contractor is required to test the residue
collected in the containers for proper waste classification. The level of lead waste
contained in the removed material will be diluted by pavement debris that has also
been removed. Depending on the test results, disposal of the stored material is as
follows:
1. Dispose of the stored residue as hazardous waste when its lead content is
detected to be at levels greater than 1,000 mg/kg total lead or greater than
5 mg/l soluble lead. Keep records in accordance with current requirements for

hazardous waste handling and disposal, and file them in the project files. The
contractor must dispose of all hazardous waste residues resulting from yellow
traffic stripe and pavement marking removal at an approved DTSC-permitted
Class I disposal facility in accordance with the requirements of the disposal
facility operator. A transporter currently registered with the DTSC using
correct manifesting procedures must haul the yellow traffic stripe and
pavement marking residue.
The contractor must make all arrangements with the disposal facility operator
and perform any testing of the yellow traffic stripe and pavement marking
debris required by the operator. The resident engineer must obtain the EPA
temporary generator identification number and sign all manifests as the
generator. The resident engineer must also pay the manifest fees that may be
billed several months after project completion.
2. Unless the lead removal work was already contemplated in the construction
contract, pay as change order work all work performed for testing, additional
removal costs, retesting, and additional disposal.
3. If the analytical test results demonstrate that the waste is actually non-
hazardous, a change order must be prepared to direct the contractor to dispose
of the waste at a Class II or Class III facility with no additional payment
provided.
7-107F Disturbance of Existing Paint Systems on Bridge
Bridge paints contained high levels of lead, zinc, and chromium before being
reformulated to reduce their toxicity. Even though the phase-out of those paints
occurred many years ago, lead, zinc, and chromium are still a concern because when
bridges are repainted, not all of the prior layers of paint are completely removed. In
addition, lead from the paint is actually absorbed into the steel and, as a result, even
steel that no longer has paint on it can be a hazard if heated because heating causes the
lead to be released as a toxic fume.
When bridge paints are disturbed, the paint debris must be properly contained to
protect waterways and workers. It has been determined that the grime and debris that
collects on bridges also contains elevated concentrations of lead. Consider this grime
and debris part of the existing paint system.
When bridge paint will be disturbed as part of the project, the contract specifications
will require a lead compliance plan for worker safety, waste management, and
verification sampling to document that heavy metals are not released during the work.
The resident engineer must ensure the following:
Training: The contractor must provide a safety training program that meets the
requirements in 8 CCR 1532.1, Lead. Before performing any bridge paint
removal, personnel (including Caltrans employees) who have had no prior lead
training must complete the safety training program.
Lead compliance plan: Work practices and worker health and safety must conform
to 8 CCR 1532.1. The contractor must submit the written compliance programs
required in Subsection (e)(2), Compliance program, of Section 1532.1, to the
resident engineer before starting to remove bridge paint and at such times when a
program revision is required. An industrial hygienist certified by the American
Board of Industrial Hygiene must prepare the compliance program. A competent

person capable of taking corrective action must monitor the program. Require that
copies of all inspection reports made in accordance with Section 1532.1 are given
to the resident engineer.
Debris Containment and Collection Plan: The contractor must submit a plan that
documents the removal equipment and containment systems that will be used,
removal and waste collection procedures, certified laboratory that will run the
analyses, hazardous waste hauler certifications, and receiving disposal site and
requirements. Work that will disturb the paint system may not start until the
resident engineer has reviewed and accepted the plan.
Storage of residue: The contractor must store the residue from paint disturbance or
removal as follows:
1. While waiting for any test results required by the disposal facility, store the
collected residue as hazardous waste in properly labeled metal containers
approved by the U.S. Department of Transportation for hazardous waste
transport.
2. Cover and handle the containers in such a manner that no spillage will occur.
3. Enclose the stored containers with temporary chain link fencing or a lockable
shipping container at a location within the project limits approved by the
resident engineer.
4. Begin disposing of the contained residue no more than 90 days after
accumulating 220 pounds of residue.
Waste testing and disposal: Before disposal, the contractor is required to test the
residue collected in the containers for proper waste classification. Depending on
the test results, disposal of the stored material is as follows:
1. Dispose of the stored residue as hazardous waste when its lead content is
detected to be at levels greater than 1,000 mg/kg total lead or greater than
5 mg/l soluble lead. Keep records in accordance with current requirements for
hazardous waste handling and disposal, and file them in the project files. The
contractor must dispose of all hazardous waste residues at an approved DTSC-
permitted Class I disposal facility in accordance with the requirements of the
disposal facility operator. A transporter currently registered with the DTSC
using correct manifesting procedures must haul the residue.
The contractor must make all arrangements with the disposal facility operator
and perform any testing of the residue required by the operator. The resident
engineer must obtain the EPA temporary generator identification number and
sign all manifests as the generator. The resident engineer must also pay the
manifest fees which may be billed several months after project completion.
2. Unless the lead removal work was already contemplated in the construction
contract, pay as change order work all work performed for testing, additional
removal costs, retesting, and additional disposal.
3. If the analytical test results demonstrate that the waste is actually non-
hazardous, a change order must be prepared to direct the contractor to dispose
of the waste at a Class II or Class III facility with no additional payment
provided.

Work area monitoring: The contractor must perform air monitoring to demonstrate
that lead is not being released from the containment structure and perform soil
sampling before and after the work to demonstrate that lead has not been released
to the ground beneath the work area. Consult the hazardous waste coordinator to
determine the adequacy of the reports and whether a release has occurred requiring
corrective action. If the area beneath the bridge is paved soil, sampling will not be
included in the specifications. In these cases, look for color changes on the
pavement which indicate a release of paint residue.
7-107G Treated Wood Waste
Treated wood has been used to support metal beam guard railing, thrie beam barrier,
piles, and roadside signs. These wood products are typically treated with preserving
chemicals that protect against insect attack and fungal decay. These chemicals may be
hazardous and include but are not limited to arsenic, chromium, copper, creosote, and
pentachlorophenol. The DTSC requires that treated wood waste (TWW) either be
disposed of as hazardous waste or, if not tested, the generator may presume that TWW
is a hazardous waste and manage the waste using DTSCs Alternative Management
Standards (AMS). The AMS are described in 22 CCR 67386.167386.12. The AMS
lessen storage requirements, extend accumulation periods, allow shipment of TWW
without manifests and use of a registered hazardous waste hauler, and permit disposal
at specific non-hazardous waste landfills.
Whenever TWW will be removed as part of the project, the contract specifications will
direct the contractor to follow the AMS, including providing training to all personnel
who may come into contact with TWW.
For projects that will generate more than 10,000 pounds of TWW per calendar year,
the DTSC must be notified within 30 days of exceeding this weight threshold.
Notification must include the name and mailing address of the generator, EPA
generator identification number, date that the 10,000-pound limit was or is expected to
be exceeded, the weight of the TWW as measured by the receiving facility, and the
name and address of the receiving facility. The resident engineer requests the EPA
temporary generator identification number from the DTSC and files an electronic form
available on DSTCs website for TWW. The DTSC will forward a copy to the Board
of Equalization (BOE) who, in turn, sets up an administrative record. If a project will
generate more than 10,000 pounds of TWW, a Basic Engineering Estimating System
item 066915, BOE TWW Generation Fee, will be included as a department-
furnished material. This item will be paid prior to or during the closeout process of the
project, up to 1 year after construction contract acceptance.
TWW can be shipped off-site by a hauler with a shipping document, bill of lading, or
invoice serving as documentation. If TWW is less than 10,000 pounds per calendar
year per project, an EPA generator identification number is not required. Records must
be kept for 3 years from the date of the last waste shipment.
If there is limited space or no area to temporarily store TWW on the job site, it may be
transferred to a remote consolidation site, such as a maintenance facility, or a location
that meets all the requirements of 22 CCR 67386.7(c).
7-107H Disposal of Electrical Equipment Requiring Special Handling
California law requires special handling of electrical waste such as ballasts containing
polychlorinated biphenyl (PCB), batteries, and fluorescent or mercury tubes, bulbs, and
lamps. PCBs found in ballasts and thionyl chloride found in vehicle sensor node

batteries are considered extremely hazardous wastes if they are released from the
equipment.
PCB disposal is regulated by the EPA under the Toxic Substances Control Act and by
the Code of Federal Regulations (40 CFR Part 761). PCB wastes are also regulated as
hazardous waste by the DTSC under the California Health and Safety Code and
22 CCR. All PCB wastes must be packaged in a container approved to transport PCB,
marked, Contains PCBs, and transported with a proper hazardous waste manifest by
an authorized PCB or hazardous waste transporter to an appropriately permitted
disposal facility. If a ballast containing PCBs is damaged, it may leak and, therefore,
requires special management. Damaged ballasts containing PCBs must be contained
and transported to an EPA-approved high-temperature incinerator.
Waste batteries and fluorescent or mercury tubes, bulbs, and lamps are considered
universal wastes under 22 CCR 66273.166273.90. These are wastes generated by
everyone, hence the term universal. The management requirements are more relaxed
than those for hazardous wastes. However, universal wastes can adversely impact
public health and the environment if not properly managed, and, therefore, must be
disposed of at appropriately permitted facilities. Damaged vehicle sensor node batteries
may leak thionyl chloride and, therefore, must be contained. Once damaged, these
batteries are no longer considered universal waste and must be managed and disposed
of as a hazardous waste.
When these types of electrical equipment will be removed as part of the project, the
contract specifications will alert the contractor to the special management requirements
for these wastes.
7-107I Unanticipated Discovery of Hazardous Waste and Contamination
Caltrans construction employees must follow safe practices and minimize their
exposure when dealing with unanticipated and unidentified hazardous wastes and
contamination. Minimize potential risks during project construction by having all
construction personnel follow the general procedures below:
After unknown and potentially hazardous wastes and contamination (including
underground tanks) are discovered, cease construction work in that area. When a
waste is discovered, follow the procedure described in Figure 7-1.1, Unknown
Hazards Procedure, of this manual.
Secure the vicinity of the find by cordoning off the area with barriers or fences, and
evacuate the vicinity.
Prohibit construction personnel from any exploratory or investigative work that
would result in further personal exposure. Such personnel are prohibited from
taking samples or testing potentially hazardous waste and contamination. This
prohibition includes activities such as the following:
1. Touching, smelling, or ingesting suspected materials.
2. Climbing into trenches or enclosed areas where contamination is suspected.
3. Reaching, looking, or placing a foreign object (such as a stick to probe or a
rock to test depth or to determine the presence of a liquid) into exposed or
leaking tanks or other enclosed spaces.
4. State law specifically prohibits the use of the prime contractors forces
(including subcontractors) to respond to an unanticipated discovery if the type

of hazard was not identified in the original contract documents. The contractor
must stop work in the area and Caltrans must independently hire a contractor
with a Class A Haz certification to respond. To ensure rapid response, Caltrans
regions and districts are the contract administrators for on-call construction
emergency contracts. For assistance, contact the contract manager for your
specific region or district. A list is located on the Division of Environmental
Analysis web site:
http://env.dot.ca.gov/haz_waste/haz_construction/hw_construction_mana
gement.shtml
For any necessary exploratory, investigative, or cleanup work, use specialized
consultants or safety workers who are fully trained, licensed, and qualified for
hazardous waste work in accordance with state and federal regulations.
Because of potentially catastrophic health effects, 29 CFR 1910.120 requires that
no one enter the designated exclusion zones until a complete and effective
hazardous waste worker protection program is established or until the consultant
has determined no exposure danger exists. (The designated exclusion zones are
delineated in the consultant-prepared hazardous waste site safety plans.)
7-108 7-108 Solid Waste Disposal and Recycling Reporting
Solid Waste Projects containing special provisions for solid waste disposal and recycling reports
Disposal and require the contractor to chronicle landfill disposal and material recycling activity
Recycling Reporting performed throughout the duration of the contract. The contractor reports this
information annually on Form CEM-4401, Solid Waste Disposal and Recycling
Report. The resident engineer must ensure that the form is given to the contractor and
checked as received during the preconstruction conference. The requirements of the
form should be explained and reiterated during the preconference and other meetings.
Form CEM-4401 must include, at a minimum:
The report calendar year.
Amount of solid waste taken to landfills.
Amount of solid waste diverted from landfills to recycling facilities.
Amount of recycled material generated and then reused on a project.
Name, title, and signature of the contractors representative.
Date of the report.
The contractor submits the annual report for ongoing contracts to the resident engineer
by January 15, and a final annual report 5 days following contract acceptance. If no
work was conducted during the reporting period, the report states that no work was
performed during that period.
Contract special provisions require that all reports be received from the contractor in
good order before the contract can be finalized. Form CEM-4401 must be completely
filled out and signed by the contractor for it to be acceptable. The resident engineer
must review for accuracy all reports submitted by the contractor. Compare the total
amount listed on Forms CEM-4401 of materials taken to and diverted from landfills
with the approximate amount of work requiring the removal of materials. Before
signing each report, resolve any discrepancies in material type or amount with the
contractor. In accordance with Section 14-10.02, Solid Waste Disposal and Recycling

Report, of the Standard Specifications, Caltrans withholds $10,000 for each failure to
submit a completed report.
The resident engineer must submit the approved Form CEM-4401 to the district
recycling coordinator with a copy to the district construction office no later than
February 1 of each year or within 15 days after receiving the final report. Contact
information for district and statewide recycling coordinators is available at:
http://www.dot.ca.gov/hq/oppd/rescons/sb1016/coordinators.htm

Figure 7-1.1. Unknown Hazards Procedure
Contractor encounters
Stop work in the vicinity of the find. Evaluate level of risk to workers and public. Cordon off
underground tanks, gases,
the area and evacuate the immediate area. Do not allow construction personnel to do any
odors, uncontained spills, or
exploratory or investigative work that would result in further personal exposure.
other unknown waste.
Resident engineer contacts: (1) district construction hazardous waste

coordinator, (2) district hazardous material manager, (3) maintenance
hazardous spill coordinator, and (4) district Proposition 65 coordinator.
Resident engineer, district

construction hazardous Is hazardous
waste coordinator/district waste or Normal disposal Construction
hazardous waste contamination solid waste continues
No
coordinator makes field present?
review.
Yes/Maybe Resident engineer seeks

assistance using hazardous
emergency contracts.
Hazardous waste
emergency contractor
makes a preliminary
determination.
Is hazardous
waste or
contamination No
present?
Yes
District construction hazardous waste coordinator or resident engineer contacts

regulatory agency only if necessary (examples: dumping, pulling tanks).
Hazardous waste investigation or removal plan developed between Caltrans,

emergency contractor, and regulatory agency (if involved).
Emergency contractor characterizes hazardous waste and limits of contamination.
Emergency contractor develops and implements approved cleanup plan.
Examples of responsibilities during cleanup: identify disposal facility, local permits,

ensure contractor follows health and safety plan, obtain EPA identification numbers.
Examples of follow-up activities: pay manifest fees, regulatory submittals.

7-109 Certificate of Environmental Compliance 7-109
A Certificate of Environmental Compliance (CEC) is prepared at the end of Certificate of
construction to document and certify Caltrans environmental compliance efforts for Environmental
measures specified in final environmental (or other project) documentation, including Compliance
PLACs; ECR; and mitigation, monitoring, and reporting program.
For any commitments not completed by the end of construction, initiate notification to,
and have ongoing communication with, appropriate staff including, but not limited to,
the environmental construction liaison, project manager, and environmental unit chief,
to discuss and document the logistics (timing, staff, resources) of when those
commitments will be completed, and to identify who is responsible for tracking such
completion efforts. All activities to complete post-construction commitments are
identified in the CEC. This includes the expenditure authorization, funding type,
activity, responsible party, timing, and duration. Upon completion of the environmental
commitments that extend beyond construction, the ECR and CEC are updated and
placed in the project file. The resident engineer is responsible for ensuring that the CEC
is prepared and distributed. The CEC refers to the ECR to determine:
Whether the mitigation measures were met and, if not, what measures were
implemented.
Which contract specifications satisfied environmental commitments and concerns.
Whether additional mitigation measures are required as a result of project changes,
and their outcomes.
The ECR will serve as the basis for the CEC documentation.
The CEC will be signed by the environmental construction liaison, environmental
branch chief, project manager, and resident engineer, and will be filed in the project
files.
Provide copies of the CEC to all district or regional organizational units responsible for
the project including the district Divisions of Environmental, Design, Project
Management, and Construction.
Discuss the CEC fully at the project closeout meeting. This can result in identifying the
lessons learned on the project and areas of environmental compliance that may need
improvement. Include district Maintenance staff in the project closeout meeting if there
are post-project commitments.
The CEC form may be obtained from the Division of Environmental Analysis website
at:
http://www.dot.ca.gov/ser/forms.htm#cert_compliance

Chapter 8-
Employment Practices
Chapter 8 Employment Practices
Section 1 Labor Compliance

8-101 General
8-102 Labor Compliance Responsibilities
8-102A (1) Resident Engineer General Responsibilities
8-102A (2) Resident Engineer Project Responsibilities
8-102A (3) Interviews With Contractor Personnel
8-102B District Labor Compliance Office
8-102B (1) District Labor Compliance Manager General Responsibilities
8-102B (2) Labor Compliance Office Project Responsibilities
8-102C Contractor
8-103 Certified Payroll Requirements
8-103A Review of Payrolls
8-103A (1) Fringe Benefit Statement
8-103A (2) Travel, Subsistence, and Zone Pay
8-103A (3) Workday
8-103A (4) Assistant Resident Engineers Daily Reports
8-103A (5) Wage Rates
8-103A (6) Overtime
8-103A (7) Apprentices
8-103A (8) Payroll Deductions
8-103B Wage Calculation Methods
8-103C Discrepant, Delinquent, or Inadequate Payrolls
8-103C (1) Inadequate Payrolls
8-103C (2) Delinquent or Inadequate Payrolls
8-103C (3) Payment Withholds for Missing or Inadequate Payrolls
8-103C (4) Refusal to Provide Payrolls
8-103C (5) Correlation of Payrolls and Change Order Bills
8-103C (6) Deducting Payment for Violations
8-103C (7) Payroll Documents Outstanding at the Time of Contract Acceptance
8-103D Review of Owner-Operator Listing
8-103D (1) Calculating Equipment Owner-Operator Payment Breakdown
8-103D (2) Payrolls and Listings Involving Owner-Operator
8-103D (2a) Truck Owner-Operators
8-103D (2b) Equipment Other Than Trucks
8-104 Covered and Non-Covered Employment
8-104A Materials Sites
8-104B Material Plants
8-104C Equipment Furnished by Equipment Rental Firm

Labor Compliance 8-1.i
8-104D Equipment Furnished by Owner-Operators
8-104E Repair of Equipment
8-104F Work Performed by Vendors, Suppliers, and Fabricators
8-104G Work Performed by Specialists
8-104H Engineering Consultants, Materials Testers, and Land Surveyors
8-105 Classification of Labor and Wage Rate Determinations
8-105A Prevailing Wage Requirements
8-105B Special Wage Determinations
8-105C Supervisory and Managerial Personnel
8-105D Corporate Employees as Officers and Directors
8-105E Employment of Apprentices
8-105F Partial Coverage
8-106 Labor Compliance Case Write-Ups
8-106A Withhold of Funds Hearing
8-107 Debarment of Contractors
8-107A State
8-107B Process for Filing a Debarment Complaint
8-107C Federal Suspension and Debarment
8-108 Summary of Labor Compliance Law, Act, and Statute
8-108A Federal Law
8-108A (1) Copeland Act
8-108A (2) Prevailing Wage Provisions of Davis-Bacon Act
8-108A (3) Work Hours Act of 1962
8-108A (4) False Information Act
8-108B State Law

8-1.ii Labor Compliance
Section 1 Labor Compliance Labor
Compliance
8-101 General 8-101

This section presents the guidelines for administering the labor compliance provisions General
of the contract. These guidelines apply to all projects, whether state or federally funded.
The California Labor Code; the Code of Federal Regulations, Title 29, Part 5
(29 CFR Part 5); regulations of the Federal Highway Administration (FHWA); the
California Code of Regulations; and the United States Department of Labor provide
the basis for contract administration protocol and the statutory authority to enforce
labor compliance contract provisions.
State and federal laws require contractors working on public works contracts to pay
prevailing wages to their employees. Prevailing wages are predetermined hourly rates
for each craft that are set by both the California Department of Industrial Relations and
the United States Department of Labor. In addition, these laws set guidelines for the
following:
Overtime.
Length or shifts of workday.
Substantiation of wages.
Fringe benefits paid.
Covered work (work done under contract and paid for in whole or in part out of
public funds, thus requiring the payment of prevailing wages) and noncovered
work.
The Federal-aid Highway Acts of 1956 and 1968 provide an active program to ensure
that laborers and mechanics employed on federal-aid projects are paid at wage rates
generally prevailing for the same type of work on similar construction in the immediate
locality. The federal wage rate determinations are included in the contract.
The California Labor Code provides that the California Department of Industrial
Relations determine and publish the general prevailing wage rates and that those rates
be referenced in the contract.
The Division of Construction labor compliance unit establishes policy and procedure
for FHWA-delegated labor compliance responsibilities and the Department of Industrial
Relations approved Caltrans labor compliance program.
8-102 Labor Compliance Responsibilities 8-102
The responsibilities and procedures when administering the contracts labor Labor Compliance
requirements are described as follows: Responsibilities

Labor Compliance 8-1.1
8-102A (1) Resident Engineer General Responsibilities
At the project level, the resident engineer has the responsibility for enforcing the labor
requirements that are in the contract. To fulfill this responsibility, the resident engineer
and support staff must have an adequate working knowledge of the contract labor
requirements.
Early surveillance and detection of labor compliance violations are preferable to
conducting belated investigations and implementing formal enforcement actions. The
resident engineer brings labor compliance issues to the attention of the contractor and
the district labor compliance office immediately upon detection. Resolve minor issues,
such as clerical errors or inadvertent acts, at the project level. If the issue is not resolved
timely, base the decision to withhold funds on the recommendation of the district labor
compliance office. If the contractor provides evidence of full restitution, promptly
return the withheld funds to the contractor.
When the contractor knowingly violates labor law or refuses to comply with the
contract labor requirements, consider these actions willful in nature. Willful violations
include situations such as fraud, wage kickback schemes, or falsification of certified
payrolls, fringe benefit statements, evidentiary source documents, and daily extra work
bills. These violations require that the district labor compliance office conduct a full
investigation and report the findings to the resident engineer and the Division of
Construction labor compliance unit.
8-102A (2) Resident Engineer Project Responsibilities
The resident engineers specific responsibilities are:
Ensure that labor compliance, equal employment opportunity (EEO), and
disadvantaged business enterprise (DBE) or disabled veteran business enterprise
(DVBE) requirements are discussed at the preconstruction conference. Request
district labor compliance staff attendance to communicate these topics. Labor
compliance staff will provide a standard checklist covering the topics. File a copy
of the signed checklist in the project records.
Forward all labor compliance, EEO, DBE, and DVBE documents submitted by
the prime contractor or any subcontractor to the district labor compliance office.
Refer all employee complaints regarding EEO or wage underpayments to the
district labor compliance office.
Verify that required posters are properly displayed at the job site. A checklist of
posters is available on the labor compliance website at:
http://www.dot.ca.gov/hq/construc/LaborCompliance/posters.htm
Notify the district labor compliance office of all contractor and subcontractor
activity during the week.
After receiving recommendations from the district labor compliance office,
authorize deductions from progress payments for labor compliance, EEO, DBE,
and DVBE violations.
Document the presence of contractor employees and owner-operators at the job
site on the assistant resident engineers daily report. Minimally, this documentation
must include the following information:

8-1.2 Labor Compliance
1. Contract number.
2. Name of contractor with name of employee or owner-operator.
3. Hours worked per employee or owner-operator.
4. Classification of employees.
5. Items of work with description and operated equipment with name of operator
and name of operators employer.
Confirm that names of employees, wage rates, and hours listed on change order
bills match information listed on the contractors certified payrolls.
Ensure that Caltrans personnel properly record charges for labor compliance
activities. Details are available from the district labor compliance office and the
Caltrans Coding Manual.
Conduct employee interviews, and transmit to the district labor compliance office
fully completed interview forms. For more information about these interviews and
forms, refer to Section 8-102A (3), Interviews With Contractor Personnel,
below.
8-102A (3) Interviews With Contractor Personnel
The contract requires the contractor to allow authorized Caltrans personnel to interview
contractor employees during working hours.
Record employee interviews on Form CEM-2504, Employee Interview: Labor
Compliance/EEO or Form CEM-2504 (Spanish), Entrevista de Empleado: Labor
Compliance/EEO, if applicable. The employee interview is used by the district labor
compliance office to check the validity of information shown on the certified payroll
records. The employee is asked questions regarding wage rates, hours of work, and
type of work performed. When an interview indicates a reporting deficiency such as a
lack of knowledge of classification or rate of pay or labor violation such as
nonpayment of overtime, notify the district labor compliance office, which will
conduct a full investigation.
Conduct interviews at the rate of two employees per contract, per month, including at
least one interview from the prime contractor and each subcontractor until such time as
the contract is accepted or that all employees on the project have been interviewed. A
variety of crafts and trades should be interviewed. The number of interviews taken
must constitute a representative sample of workers employed on the project.
In the case of a small contractor having two or three employees on the project for
several months, do not continue taking interviews once all the contractors staff have
been interviewed. Contact the district labor compliance office to confirm the contractor
is fully compliant with the labor requirements of the contract and no additional
interviews of the contractors staff are necessary. If the resident engineer chooses to
suspend further interview activity, document the decision in the project records and
notify the district labor compliance office.
During the interviews, assure the interviewees that their statements, whether oral or
written, will be confidential. Interview employees individually and away from
supervisory personnel and other contractor staff. Do not disclose to the employer the
identity of the employee without the employees consent.

In addition to conducting contractor employee interviews, interview truck and
equipment operators designated as owner-operator to determine the correctness of
this classification. Interview at least one equipment owner-operator and a sampling of
truck owner-operators to adequately determine owner-operator status. Factors that
establish the validity of the owner-operator classification are described below in
Section 8-103D (2), Payrolls and Listings Involving Owner-Operator.
8-102B District Labor Compliance Office
The district labor compliance office administers labor compliance policy and
procedures by assisting resident engineers in the enforcement of the labor requirements
in the contract.
8-102B (1) District Labor Compliance Manager General Responsibilities
Under the general direction of the district construction deputy director, the district labor
compliance manager has immediate charge of the district labor compliance office and
must directly supervise and train labor compliance staff administering and monitoring
labor compliance and other related contractual obligations. Further, the district labor
compliance manager must ensure that employees use proper charging practices when
performing labor compliance activities.
The administration and monitoring of labor compliance provisions extends to state and
federal highway construction projects.
8-102B (2) Labor Compliance Office Project Responsibilities
The district labor compliance office is charged with specific responsibilities in assisting
the resident engineer to administer contracts, including:
Attend the preconstruction conference. Discuss the labor compliance, DBE or
DVBE, EEO, and subcontracting provisions of the contract.
Provide appropriate labor compliance training for district project personnel.
Review employee interviews and cross-check wage rates and classifications
against certified payrolls.
Assist resident engineers with the required process for Title VI and Title VII
complaints. For detailed information on the complaint process, refer to Section 8-2,
Equal Employment Opportunity, of this manual.
Review and confirm all contractor certified payroll records according to current
labor compliance program policy located at:
http://www.dot.ca.gov/hq/construc/LaborCompliance/lcpbulletins.htm
When necessary, recommend to the resident engineer that funds be withheld from
progress payments made to the contractor for missing or inadequate certified
payroll records or established violations.
To verify the accuracy of payrolls, review source documents at the contractors
office and collect evidence.
When wage underpayments have occurred, prepare labor compliance violation
cases and submit them to the Division of Construction, labor compliance unit for
approval. Upon review and approval, the unit will submit the case to the California
Department of Industrial Relations for state labor code violations. For federal code
violations, cases are approved by Caltrans and sent to the Federal Highway

Administration as a notice only. A copy of either type of case must be retained in
the project records.
If the contractor appeals the findings and final recommendations of a labor
compliance violation case, represent the district during the administrative hearing
process or during court proceedings.
8-102C Contractor
The prime contractor is responsible for labor compliance for its own company as well
as all subcontractors and owner-operators. In this section, the term subcontractor
applies to all subcontractors (approved or not) employed by the prime contractor and
all lower-tier subcontractors who perform covered employment as described in
Section 8-104, Covered and Non-Covered Employment, of this manual. On federal
contracts, the prime contractor must insert the labor regulations in all subcontracts and,
in turn, subcontractors must include these regulations in all lower-tier subcontracts.
Contract labor requirements apply the same standard of performance to prime
contractors and subcontractors as expected of all other requirements of the contract. For
noncompliance with contract labor requirements, Caltrans has statutory authority to
withhold payment to the prime contractor for back wages and penalties.
8-103 Certified Payroll Requirements 8-103
A payroll is a record of all payments a contractor made to employees working on the Certified Payroll
project. A certified payroll is one that contains the written declaration required in Requirements
Section 7-1.02K(3) [7-1.01A(3)], Certified Payroll Records, of the Standard
Specifications.
Subcontractors must submit to the prime contractor all certified payrolls, owner-
operator listings, and statements of compliance. In turn, the prime contractor must
submit these documents to the district labor compliance office by the 15th of each
month for the previous month. The payrolls can be submitted on the state-furnished
Form CEM-2502, Contractor/Subcontractor Payroll, or any alternate form that
includes a statement of compliance with wording identical to that on Form CEM-2503,
Statement of Compliance. For every person employed at the job site that performed a
part of the work, the following information must be contained on the certified payroll
form:
The employees full name, address, and social security number.
The employees classification, including craft, group, and level of expertise. The
labor classification used must be descriptive of the work actually performed and
match the nomenclature used in the prevailing wage decisions.
The employees straight time and overtime hourly wage rate.
The daily and weekly hours worked in each classification, including actual
overtime hours worked. Add any premium for overtime hours worked to the rate
of pay, not the reported number of hours worked.
The gross wages, itemized deductions, withholdings, and net wages paid.
8-103A Review of Payrolls
Payrolls must conform to federal and state labor laws. The resident engineer will use
the payrolls to verify extra work bills. The labor compliance office will conduct the
payroll review using the following information and processes.

8-103A (1) Fringe Benefit Statement
Contractors must use Form CEM-2501, Fringe Benefit Statement, or equivalent to
indicate payment of fringe benefits as a supplement to the certified payroll. A fringe
benefit statement is a breakdown of benefits in addition to hourly wage rates that the
contractor pays on behalf of the employee. Typical fringe benefits include vacation,
health benefits, pension plans, and training funds listed in the prevailing wage rates.
The fringe benefit statement should also indicate to whom the fringe benefits have been
paid, such as a union trust fund or as a cash payment made directly to the employee.
8-103A (2) Travel, Subsistence, and Zone Pay
When a project is located in a geographic area designated as a subsistence area,
contractors are required to make travel, subsistence, or zone payments to their
employees in accordance with the current requirements on file with the Department of
Industrial Relations. Subsistence is to be paid as a lump sum daily payment or as an
increased hourly wage rate, depending on the craft, classification, and approved
agreements.
8-103A (3) Workday
Each workday is considered to be 24 consecutive hours running from midnight to
midnight.
8-103A (4) Assistant Resident Engineers Daily Reports
Using assistant resident engineers daily reports, district labor compliance staff confirm
that the payroll reflects the labor used and the hours worked for each day of work at the
job site, including weekends and holidays; that the method of reporting hours is
accurate; that the actual number of hours worked is clear; and the rate of pay can be
readily determined.
8-103A (5) Wage Rates
The prevailing hourly wage rate is composed of the basic hourly wage rate plus fringe
benefits. When state and federal wage rates differ, the contractor is required to pay the
higher of the two. On federally funded projects, if payment is made at an hourly rate in
excess of the prevailing rate, this hourly rate, less fringe benefit payments, is the basic
hourly rate for computing overtime compensation.
8-103A (6) Overtime
After an employee works 8 hours in a calendar day, and 40 hours in a calendar week,
the employee is entitled to be paid at the proper prevailing overtime rate, but not less
than one and one-half times the basic wage rate plus fringe benefits. Work performed
on Saturday and Sunday generally must be paid at premium rates of pay at time and a
half and double time, respectively. For exemptions to this rule, contact the district labor
compliance staff. The federal wage decisions do not differentiate between weekday
rates of pay and Saturday or Sunday rates of pay; however, all hours worked over 40 in
a work week must be paid at the overtime rate of pay.
8-103A (7) Apprentices
Resident engineers are responsible for tracking apprentices used on the contract and
recording that information in daily reports. District labor compliance staff will ensure
apprentice classifications are correctly identified on certified payroll records and that
the type of work and ratio of apprentices to journeyman meet the requirements of the
apprenticeship agreement on file with the Division of Apprenticeship Standards. A

disproportionate employment of apprentices to journeymen could indicate that some of
the apprentices are working outside the limits of their classification. When this occurs,
excess apprentices must be paid at the journeyman rate. Additionally, labor compliance
staff will verify that apprentices are registered in appropriate state and/or federal
programs.
8-103A (8) Payroll Deductions
Payroll deductions should have a complete, clear, and concise breakdown. The
contractor may not combine payroll deductions on the payroll form without proper
identification unless an attachment specifies supplemental data with the purpose and
amount of each deduction.
All deductions must comply with the Department of Labor, 29 CFR 3, Copeland
Anti-Kickback Act. Additional regulatory language can be found in the California
Labor Code Sections 213 and 224.
8-103B Wage Calculation Methods
Various calculation methods are used to verify the accuracy of certified payrolls.
Following are examples of methods commonly used by contractors. Payrolls are
acceptable if they are prepared in accordance with either of the methods shown below.
These examples illustrate a situation where an employee worked 10 hours on a given
day, overtime premium of one and one-half times the basic hourly rate of $14.00 per
hour, $2.00 per hour subsistence, and with fringe benefits amounting to $6.00 per hour.
Method One: Basic reported hours of work
8 hours @ $22.00/hour = $176.00
($14.00 + $2.00 + $6.00) = $22.00/hour
2 hours @ $29.00/hour = $ 58.00
[($14.00 X 1.5) + $2.00 + $6.00] = $29.00/hour
Subsistence and fringe benefits are not paid at overtime rates.
Total Pay for the day = $234.00
Method Two: Adjusted rate of pay

10 hours @ $22.00/hour = $220.00
($14.00 + $2.00 + $6.00) = $22.00/hour
2 hours @ $7.00/hour = $ 14.00
($14.00 2) = $7.00/hour
This is the difference between straight-time and overtime pay for hours in excess of 8
hours - subsistence and fringe benefits are not paid at overtime rates.
Total Pay for the day = $234.00
8-103C Discrepant, Delinquent, or Inadequate Payrolls
This section covers procedures for payroll discrepancies, delinquencies, and
inadequacies. The contractor must timely submit payrolls and accompanying
statements of compliance in accordance with Section 7-1.02K(3), Certified Payroll
Records, of the Standard Specifications.
8-103C (1) Discrepant Payrolls
When discrepancies are found during payroll review and confirmation, the following
actions must be taken:

The district labor compliance office must request that the contractor submit a
supplemental payroll correcting the discrepancy. Under no circumstances should the
incorrect or incomplete certified payrolls be returned to the contractor for revision.
However, the contractor may make corrections to certified payrolls if those corrections
are written in ink and the contractor initials each correction in the presence of Caltrans
personnel. Proof of wage restitution for all affected employees must be provided and
can be in the form of canceled checks, copied both front and back.
To ensure that payroll discrepancies are corrected, the district labor compliance office-
will use a tabulation or summary sheet to record discrepancies and to note when and
how each error was corrected.
8-103C (2) Delinquent or Inadequate Payrolls
If payrolls and statements of compliance have not been received for all weeks that the
contractor or subcontractors worked on the project, consider the payrolls delinquent. If
payrolls and statements of compliance received are incomplete, consider the records
inadequate. The labor compliance officer must notify the resident engineer and the
contractor which certified payroll documents are missing or inadequate.
The resident engineer must withhold monies due to the contractor on the monthly
progress payment in accordance with Section 7-1.02K(3), Certified Payroll Records
(Labor Code 1776), of the Standard Specifications. Make withholds separately for
each payment period in which a new delinquency or inadequacy appears. When all
delinquencies or inadequacies for a period have been corrected, release the withhold
covering that period on the next progress payment. Withholds can only be taken once
and do not compound on each monthly estimate. District labor compliance offices will
advise the resident engineer when funds should be withheld or returned during a
payment period. The recommended withhold is up to 10% of the payment, a minimum
of $1000 and a maximum of $10,000.
8-103C (3) Payment Withholds for Missing or Inadequate Payrolls
The following examples illustrate the process for taking and releasing withholds on the
monthly progress payment.
Example 8-1.1. Progress Payment Number One:
Progress payment number one has a value of $9500.
Value of the withhold is 10 percent of $9500 or $950.
Therefore, the resident engineer must withhold the minimum amount of $1000.
Example 8-1.2. Progress Payment Number Two:

Progress payment number two has a value of $49,000.
One or more pay documents are still delinquent under a previous months withhold
plus one or more new delinquencies for this period.
Value of the withhold is 10 percent of $49,000 or $4900. Last months withhold was a
total of $1000. Therefore, the resident engineer should have a total withhold of $4900
from the current progress payments and is still withholding $1000 from the previous
months payment for a total of $5900 withheld from contractor payments for labor
compliance issues.

Example 8-1.3. Progress Payment Number Three:
The delinquencies are all cleared up for the previous months, but new delinquencies
have originated during this period. Payment number three has a value of $55,000.
Value of the withhold is 10 percent of $55,000 or $5500. Total withhold for this pay
period is $5500.
The resident engineer should return $5900 to the contractor for the current progress
payment. Since the current withhold is $5500, the contractor will only see a return of
$400 in the pay documents.
Example 8-1.4. Progress Payment Number Four:

The contractor has not corrected the problems with the payrolls in question during
progress payment number three. No new delinquencies have occurred. No additional
withhold is warranted. Make no change to the amount of money previously withheld
from the contractor, and continue to hold $5500.
Example 8-1.5. Progress Payment Number Five:

Progress payment number five is for a total of $120,000. The contractor has a carryover
withhold from progress payment four of $5500.
There are new payroll delinquencies for this pay period. The value of the current
deduction is 10 percent of $120,000 or $12,000. However the maximum allowable
withhold for missing labor compliance documents is $10,000 per pay estimate.
Withhold $10,000 from the current estimate.
The total value for labor compliance delinquencies is $10,000+$5500 from progress
payment number three to equal $15,500 in total withholds.
8-103C (4) Refusal to Provide Payrolls
If the prime contractor refuses to submit certified payrolls, in accordance with Section
7- 1.02K(3), Certified Payroll Records, of the Standard Specifications, the district
labor compliance office will notify the contractor by certified mail that payrolls have
not been received. The letter advises the contractor that they are in violation of the
contract, and that if payrolls are not submitted within 10 days of receipt of this letter,
penalties will be assessed in accordance with California Labor Code Section 1776(g) in
the amount of $25.00 per worker for each calendar day the payroll has not been
submitted for contracts advertised prior to January 1, 2012, and $100 per worker on or
after January 1, 2012. This type of penalty must be pre-approved by the Department of
Industrial Relations prior to deducting any funds from the contractor. The district labor
compliance office will notify the resident engineer when it is appropriate to deduct the
funds for missing certified payroll records. Process an administrative deduction in the
full amount of labor compliance penalties on a monthly basis. These deductions are
penalties and are not refundable to the contractor, regardless of the method used to
obtain the payrolls.
8-103C (5) Correlation of Payrolls and Change Order Bills
Resident engineers compare the labor charged by the contractor for change order work
with the corresponding payrolls. The certified payrolls and fringe benefit statements
serve as source documents for approval of every change order bill. The change order
bill must show the identical labor classifications, hours worked, and wage rates,
including fringe benefits, that are shown on the certified payroll documents. Notify the

labor compliance office immediately of any discrepancy on the payroll records. Do not
approve payment of the change order bill until the discrepancy is corrected or it is
determined by the labor compliance office to be a labor compliance violation, not a
change order overcharge.
8-103C (6) Deducting Payment for Violations
When contractors do not comply with the district labor compliance offices request for
correction of discrepancies, missing certified payroll records, or correction of
inadequate certified payroll records, the issues become violations and are compiled into
a wage case. The district labor compliance office must conduct a full investigation of
the facts and circumstances of the case. The facts of the case will determine whether
the wage violation was a good faith mistake or a willful violation. Based on the
determination, the district labor compliance manager recommends a penalty amount to
be assessed against the contractor in accordance with the provisions of the contract and
the California Labor Code. The Division of Construction labor compliance unit will
review the case and inform the district labor compliance office when it is appropriate to
withhold funds for violations and associated penalties. The Division of Accounting
Services Disbursing Office will withhold the full amount of the violation equaling the
state and federal penalties and the amount of wage underpayments. When the Division
of Accounting Services Disbursing Office has placed a hold on the contractors funds,
the district will be notified when to release any associated withholds for labor
compliance violations.
8-103C (7) Payroll Documents Outstanding at the Time of Contract Acceptance
When there are outstanding payroll documents, take an Other Outstanding
Documents deduction from payment after contract acceptance, as covered in Section
5-103F (1c), Deductions, of this manual.
8-103D Review of Owner-Operator Listing
Contractors are required to list all owner-operators used on covered work and certify
owner-operator status by providing at least the following information:
Operator name.
Business address of the owner-operator.
The owner-operators social security number.
The equipment license number. If the equipment is used off highway, the
contractor must provide a complete description and include the dates it was
operated on the project.
Operator labor classification.
Hours worked by the owner-operator as reported on a daily basis.
Combined hourly rental rate and labor rate paid for the owner-operated equipment.
Gross estimate or actual payments earned.
This information must be provided by the contractor on Form CEM-2505, Owner-
Operator Listing Statement of Compliance, supplied by Caltrans. Certification will be
accepted only from the contractor employing the owner-operator. It is not appropriate
to accept certified payrolls or an owner-operator listing directly from the owner-

operator unless that owner-operator is a licensed contractor and is also an approved
subcontractor or recognized lower tier subcontractor.
8-103D (1) Calculating Equipment Owner-Operator Payment Breakdown
From the information shown in the payroll, determine the hourly wage rate due by
deducting the prevailing equipment rental rate for the area from the gross hourly rate
shown on the owner-operator listing. The contract rental rate (without markup) may be
used as a guide. Since this may not be the local prevailing rate, it may be necessary to
canvass local rental agencies or other sources to determine the actual prevailing
equipment rental rate.
Compare the resulting hourly wage rate to the applicable basic wage plus fringe
benefits to determine compliance.
8-103D (2) Payrolls and Listings Involving Owner-Operator
Use the following requirements to differentiate an owner-operator from a contractors
employee:
If review of payroll records show that deductions for social security taxes or state
unemployment insurance taxes are withheld for the owner-operator, it is an
indication that the operator is an employee rather than an independent contractor.
An employee interview can be taken from the owner-operator on Form CEM-
2504, Employee Interview: Labor Compliance / EEO or Form CEM-2504
(Spanish), Entrevista de Empleado: Labor Compliance/EEO, if applicable. If it
is apparent that an owner-operator is in fact an employee, then all of the
information required by interview Form CEM-2504, including the equal
employment opportunity portion, is to be filled out completely and brought to the
attention of the district labor compliance office.
8-103D (2a) Truck Owner-Operators
To verify truck owner-operator status, the contractor must provide an owner-
operator completed Form CEM-2510, Truck Owner-Operator Certification of
Ownership.
The operator should be the registered owner of the vehicle. The name of the driver
should match the name of the registered owner on the Department of Motor
Vehicles (DMV) registration.
If the legal owner is a firm or corporation, and the firm or corporate name is shown
on the vehicle registration slip, request that the driver furnish evidence that they are
leasing or purchasing the vehicle. It is common for the name of the finance or
leasing company to be listed on the registration. If the owner-operator is leasing or
financing the vehicle, then the operator should be able to furnish such evidence. If
the owner-operator is unable to substantiate purchase or lease of the equipment, the
resident engineer should disallow use of the owner-operator classification for this
truck and contact the labor compliance office.
Insurance for the vehicle should be carried in the drivers name. Further checking
is required if the name on the policy does not match the name of the driver.
The California identification (CA) number issued by the California Highway
Patrol (CHP) should be in the drivers name. If the name on the CA number
doesnt match the name of the driver, further investigation is warranted.

If the ownership of a vehicle cannot be determined from the insurance, registration, or
title, forward the license number or a CA number to the district labor compliance
office. The district labor compliance office will send information to the Division of
Construction labor compliance unit to be run through DMV or CHP Motor Carrier
Permit Division record check.
8-103D (2b) Equipment Other Than Trucks
If the owner-operator is leasing or financing the equipment, the operator should be able
to furnish such evidence. If the owner-operator is unable to substantiate that they are
purchasing or leasing the equipment, the district labor compliance office should
disallow use of the owner-operator classification for this piece of equipment. The
contractor must establish proof of ownership in cases where there is doubt as to the
validity of the owner-operator designation. If difficulty is encountered in determining
truck ownership, all pertinent data should be submitted to the Division of Construction
labor compliance unit.
8-104 8-104 Covered and Non-Covered Employment
Covered and Caltrans is responsible for enforcement of both federal and state labor compliance
Non-Covered requirements for all contracts it advertises and awards. The California Labor Code
Employment requires that all public works projects are subject to the payment of prevailing wages
for the immediate geographic area in and adjacent to the project.
Every laborer or mechanic employed at the job site who performs a part of the contract
work is subject to the labor provisions of the contract. The laborer or mechanic may be
either an employee of the prime contractor, an employee of an approved or listed
subcontractor, or some other person or firm who furnishes on-site labor, including
specialists, sole owners, partners, corporate officers, and rental companies furnishing
equipment with an operator.
The terms job site or site of the work as applied to labor compliance are not limited
to the actual geographic location or limits of the project. In addition, these terms
include any location or facility established for the sole or primary purpose of
contributing to the specific project. Typical examples of these types of locations or
facilities include material sites, processing plants, fabrication yards, garages, or staging
sites set up for the exclusive or nearly exclusive furtherance of work required by the
project. Essential criteria for job site or off-site work is whether these facilities have
been operating on a commercial basis for a period of at least 2 months prior to the
award of the contract or whether that site performs a commercially useful function
exclusively for this project.
Employees working at a job site or site of work are covered by the prevailing wage law
and the provisions of the specific contract. The interpretation of covered work can
change often with new legislation, coverage determinations issued by the Department
of Industrial Relations, federal all agency memorandums, and court decision forming
case law. In those cases when the distinction between covered and non-covered
employment is not clear, the matter should be referred to the district labor compliance
manager for evaluation.
8-104A Materials Sites
For labor compliance purposes, materials sites used exclusively for the project are
considered as being on site. Employees at these sites must be paid prevailing wages.
Factors that determine coverage of material sites include:

The commercial or noncommercial nature of the operation.
The amount of contractor or supplier control of the site.
The exclusiveness of the material site to the project.
The location of the materials site relative to the project limits.
Which party has control of the materials loading operation.
Typical situations for coverage determinations favoring the payment of prevailing
wages include:
A commercial source outside the project limits where the prime contractor loads a
trucking companys trucks.
An imported borrow pit, located outside the project limits used exclusively by the
contractor for a specific project.
A pit established exclusively for a project to supply materials.
In all three of the above cases the work is covered and prevailing wages are required.
If material is delivered to the project site by the prime contractor or any on-site
subcontractors employees, the hauling will be covered under prevailing wage
requirements. If material is delivered from a commercial establishment by a third-party
or independent hauler, prevailing wages are not required to be paid as long as the
establishment meets the following criteria:
1. The establishment must be in the business of selling supplies to the public.
2. The establishment cannot have been opened specifically for the contract.
3. The plant cannot be located at the site of work.
4. The materials delivered from the plant cannot be immediately incorporated
into the project with no re-handling out of the flow of construction.
8-104B Material Plants
Roadside production of materials produced by other than the contractors forces is
considered subcontracted with respect to the contract labor requirements.
Materials, including aggregates, produced with any kind of portable, semi-portable,
temporary crushing, screening, proportioning, batching, or mixing plant are considered
to have originated at a materials plant.
When a materials plant has been established or reopened exclusively or nearly
exclusively for the purpose of supplying materials to a specific contractor for specific
projects, and when these plants are not generally operated commercially, they are
considered to be a site of the work and, therefore, covered for the payment of
prevailing wages. Work involved in the establishment, reopening, and general
operation of such plants will also likely be covered . Use the following guidelines to
determine if a plant is commercial and, therefore, not covered:
The operator has obtained a permit to operate as a commercial plant.
A business license has been obtained for the operation of the plant.
A public weigh master operates scales at the materials plant.
The contractor provides proof of sales to other agencies or individuals.

The plant is in operation before the project begins and remains in operation after
the project is completed.
The prime contractor must demonstrate that the primary purpose of this materials plant
is for general commercial operations. The contractor must provide proof that more than
token sales have originated at this material plant.
8-104C Equipment Furnished by Equipment Rental Firms
Equipment is often rented or leased by contractors from established commercial
equipment rental firms. The prevailing wage provisions of the contract do not cover
drop off, pick up, and incidental repair of this equipment. When rented equipment used
in the work, including extra work, is operated and maintained by employees of the
equipment rental firm, the equipment rental firm is considered to be a subcontractor
with respect to labor compliance. The employees of the rental firm are, in this situation,
covered by the labor compliance requirements of the contract.
8-104D Equipment Furnished by Owner-Operators
Owner-operators of general construction equipment such as graders, cranes, or
excavators are considered covered by state and federal prevailing wage requirements.
The hiring contractor must list them on Form CEM-2505, Owner-Operator Listing
Statement of Compliance. The owner-operator must be paid at least the minimum
prevailing wage rate in effect for the type of equipment operated. On federally funded
contracts, the Form CEM-2505 must also include the rate for the equipment rental.
8-104E Repair of Equipment
General repair of equipment used on the job site or located at the site of work,
including installing, overhauling, assembling, repairing, reconditioning, or other work
on machinery, equipment, or tools used in or upon the work, are covered by prevailing
wage requirements. Established, independent commercial repair shops that have been
in business prior to the award of the contract are not covered. Mechanics and other
employees working on such machinery, equipment, or tools are covered by the
contract labor provisions. Such employees must be listed on the contractors or
subcontractors certified payroll records.
8-104F Work Performed by Vendors, Suppliers, and Fabricators
Suppliers and fabricators of materials who are not subcontractors and who do no work
at the job site other than delivering materials are not subject to the contract labor
requirements. However, a supplier or fabricator is a subcontractor subject to the labor
provisions for that portion of the work performed at the job site. For instance:
Shop work during fabrication of structural steel is not subject to the contract labor
requirements. The contract labor provisions cover any structural steel work
performed subsequent to delivery of material to the job site even though shop
personnel may perform it. This includes repair of damaged or defective work, as
well as normal installation or erection.
Oil spreading by employees of asphalt suppliers is subject in certain conditions:
1. Only the time spent on site spreading the material is covered work. Standby
time is not.
2. Coverage will apply only when the employee, during one workweek, has
actually spent at least 20 percent of the total time worked spreading material
on the specific project. Once a particular employee qualifies for coverage, all

the actual spreading time that week is retroactively covered. Staggering
employees to avoid coverage is permissible.
Treat spreading of pavement reinforcing fabric in the same way that oil spreading
work is treated.
At the job site, installation of any manufactured product, such as mechanical and
electrical equipment, bridge deck expansion and bearing assemblies, sign frames,
precast or precast-prestressed concrete beams, and all similar fabricated items are
covered work and subject to the contract labor provisions.
8-104G Work Performed by Specialists
An independent firm that furnishes a special service or performs work of a specialized
nature is considered to be a subcontractor with respect to the labor provisions.
Work performed by specialty firms is subject to all contract labor requirements,
regardless of the nature of the work, service, or method of payment.
8-104H Engineering Consultants, Materials Testers, and Land Surveyors
All firms that furnish engineering services at the job site, such as construction
inspection, materials testing, and land surveying, regardless of whether that firm is
hired by the contractor or Caltrans, are subject to California Labor Code prevailing
wage requirements. The payment of prevailing wage rates is mandatory.
8-105 Classification of Labor and Wage Rate Determinations 8-105
Labor standards require the proper classification and payment of workers for the work Classification of
they actually perform. To meet these standards, the contractor and persons or firms Labor and
performing the work on the project must: Wage Rate
Use only the classification listed in the wage determination decision or prevailing Determinations
wage rate determination applicable to the contract.
Use classifications that describe the work being performed. For example, if
carpenters are used to place reinforcing steel, they should be shown as
ironworkers and paid accordingly.
Maintain an accurate record of the time spent in each work classification, and
show this time by means of separate entries in the payroll records and on the
certified payroll.
A single worker may perform many different tasks covered by more than one craft or
classification during the course of a single day. In this situation, the contractor may
break up the work into the different classification and pay accordingly or it may pay the
worker the highest applicable wage rate for the entire day. If the highest wage rate is
paid for the entire day, separate entries in the payroll records are not required.
Since most construction work is performed by recognized craft classifications,
prevailing practice in the industry and union rules will usually determine the proper
classification. Workers must be classified and paid according to the work they actually
perform, regardless of union affiliation, other titles, or designations.
Occasionally, the wage rate may not be provided in the federal wage determinations for
a particular labor classification. When this occurs, the workers should be reclassified, if
possible, to a comparable classification. If it is not possible to reclassify the work,
contact the district labor compliance office and request that a wage classification be

determined. A wage survey, collective bargaining agreements, local prevailing
practice, and the contractors previous experience with similar work will be considered
in reaching this determination.
To request wage rate determinations on federal-aid contracts, the district labor
compliance office uses Form SF-308, Request for Wage Determination and Response
to Request. To request federal wage rates, consult the Division of Construction labor
compliance unit.
In no case may a construction contract be considered effectively amended until a
response has been received from the Department of Labor indicating approval of the
proposed classification or reclassification requests.
8-105A Prevailing Wage Requirements
In most cases, the wage rates as determined by the California Department of Industrial
Relations and the United States Department of Labor will be the same for any given
labor classification. If there is a difference between Department of Labor wage rates
and Department of Industrial Relations wage rates for similar classifications of labor,
the contractor must pay the higher wage rate.
When there is an error in the published rate, the district should notify the Division of
Construction labor compliance unit. They will contact the Department of Industrial
Relations or the Department of Labor, depending on which agencys rate is in error.
8-105B Special Wage Determinations
The state general prevailing wage rates contain most crafts and classifications of
workers required on Caltrans projects. Occasionally, however, a unique labor
classification may be anticipated for future state-funded major construction projects or
for minor or miscellaneous service contracts, but is not listed in the general prevailing
wage rates. In this situation, the district labor compliance office must obtain a special
wage determination from the Department of Industrial Relations.
To initiate the request, the district labor compliance office prepares a memorandum to
the Division of Construction labor compliance unit, describing the following:
Job duties and the nature of the work.
The locality (county) where the work is to be performed.
The anticipated advertisement and award dates.
A list of contractors or employers, including complete addresses and telephone
numbers, who perform work of a similar nature within the same geographical area.
The most recent determination number of any prior requests.
The Division of Construction labor compliance unit will forward the request to the
Department of Industrial Relations, Office of Policy, Research, and Legislation who
will prepare a special wage determination and send it back to the Division of
Construction labor compliance unit. The Division of Construction labor compliance
unit will send the special wage determination by cover memo to all district labor
compliance offices for appropriate handling or future reference.
In case of a jurisdictional dispute, such as a dispute between cement masons and
operating engineers, a non-signatory contractor may pay either wage rate, as long as it
is recognized by the Department of Industrial Relations.

8-105C Supervisory and Managerial Personnel
As a general rule, when administering the prevailing wage requirements, those
employees whose work is supervisory or non-manual in nature are not considered as
laborers or mechanics. However, just because an employee is paid a salary or is called
a foreman does not mean that the person is not a laborer or mechanic.
If a supervisor, regularly and for a substantial period of time, performs journeyman
work, then that supervisor is subject to the prevailing wage requirements of the
contract.
If the time that the supervisor performs the work of a journeyman is negligible and
does not establish a definite pattern, that supervisors entire employment should be
considered supervisory and not subject to prevailing wage requirements.
8-105D Corporate Employees as Officers and Directors
A corporation is a single legal entity represented by the corporate officers acting
pursuant to the corporate bylaws and applicable state law.
Any corporate officer that works on a project as a laborer or mechanic, regardless of
an employment relationship to the corporation, must be paid not less than the
prevailing hourly wage rates established for the type of work performed.
The only exception is when corporate officers act in a supervisory capacity and do not
perform the function of a workman or laborer.
8-105E Employment of Apprentices
The California Labor Code limits payment of apprentice wage rates to persons
registered as apprentices in an approved apprenticeship training program with the
Department of Industrial Relations, Division of Apprenticeship Standards (DAS).
An apprentice who is not so registered is not properly indentured within the meaning
of the term as it is used in the California Labor Code and the Standard Specifications.
Under the provisions of the contract, a non-indentured apprentice is not considered to
be an apprentice and must be paid the journeyman wage rate for their classification.
For each project, the contractor is required to furnish evidence of its apprentices
registration. This evidence must be on a Form DAS-1, Apprenticeship Agreement, or
a letter giving notice of registration from the DAS. Either Form DAS-1 or a letter from
the DAS is acceptable evidence of apprentice registration. District labor compliance
staff may also identify apprenticeship status through the DAS online registration
database located at:
http://www.dir.ca.gov/das/appcertpw/AppCertSearch.asp
If an apprentice is scheduled to work on the project before the contractor receives
evidence of registration, the district labor compliance office must telephone the nearest
DAS office and confirm proper registration.
This procedure will expedite the verification of apprentices but does not preclude the
obligation of the contractor to supply written evidence of the apprentices registration
and to satisfy the state requirements and California Labor Code Section 1777.5.
In addition to evidence of registration in its program, the contractor is required to use
the appropriate apprentice-journeyman ratios and wage rate percentages, as addressed
in state prevailing wage determinations and contractors union agreements.

California Labor Code Section 1777.5 requires the contractor to contribute the training
fund portion of the fringe benefit to the appropriate apprentice trust fund or to the DAS,
California Apprenticeship Council.
On federal-aid projects, the prime contractor and subcontractor must furnish evidence
of federal registration for apprentices performing work on the contract. Federal
registration must be provided on U.S. DOL Form ETA-671, Program Registration
and Apprenticeship Agreement, or identified in a letter from the United States Office
of Apprenticeship providing notice of registration. Form ETA-671 will provide the
wage schedule for each registered apprentice.
Some federal-aid projects will contain a requirement for a minimum number of
apprentices that must be used on the project. Contractors must provide the resident
engineer with a plan identifying the specific training program to be used and how the
contractor will achieve the number of apprentices to be used before work begins on the
project. For more information, refer to Section 8-208, Contracts Containing Federal
Requirements Training Special Provision, of this manual.
8-105F Partial Coverage
Contractors or subcontractors who are engaged in more than one Caltrans construction
project at a time may use the same employees on two or more projects during a given
work week. Separate certified payrolls must be provided for individual contracts.
8-106 8-106 Labor Compliance Case Write-Ups
Labor Compliance After investigating the facts and determining that an apparent labor compliance
Case Write-Ups violation has occurred, the district labor compliance office will determine the amount
of penalty assessment and wage restitution due from the contractor. The district labor
compliance manager must document findings on Forms CEM-2506, Labor
Compliance - Wage Violation, and CEM-2507, Labor Violation: Case Summary.
Use Form CEM-2506 to record applicable data for each worker who was underpaid on
a Caltrans contract. Use Form CEM-2507 to summarize the data on the CEM-2506
and to provide a chronological record of the case. State labor compliance violation
cases must be documented to include:
A description of the facts and evidence collected to build the labor compliance
violation case.
A spreadsheet showing a summary of wages and penalties due each employee.
Evidence provided by and statements made by the contractor.
An analysis of the facts.
A case history
Recommendations to the Department of Industrial Relations.
Forms CEM-2506 and CEM-2507 are sufficient documentation for assessing penalties
and withholding back wages due employees for federal wage case violations.
When forwarding cases to the Division of Construction labor compliance unit with the
districts recommendations, attach the following to a cover letter:
Forms CEM-2506 and CEM-2507.
Form CEM-2508, Contractor Payroll Source Document Review.
Form CEM-2509, ChecklistSource Document Review.

A case history.
Applicable correspondence with the contractor.
8-106A Withhold of Funds Hearing
Legal authority to withhold funds from the contractor for labor compliance violations is
provided by California Code of Regulations, Title 8, Sections 1641016414.
Caltrans must provide written notice to the contractor and to any affected subcontractor
of the withholding or forfeiture. The notice must contain the following information:
The amount to be withheld or forfeited.
A short statement of the factual basis as to why the funds are to be withheld or
forfeited. Include the computation of any wages found to be due and the
computation of any penalties assessed under California Labor Code Section 1775.
Notice of the right to request a hearing and the manner and time within which a
hearing must be requested.
Notice that penalties can be recovered by the prime contractor from an offending
subcontractor.
The notice must be sent by certified mail to the last known address of the
contractor and the offending subcontractor.
Once the notice has been provided to the contractor and offending subcontractor,
Caltrans will withhold enough money to cover wage restitution and penalties as
stated in the notice.
8-107 Debarment of Contractors 8-107
Debarment of
8-107A State
Contractors
The Department of Industrial Relations, Division of Labor Standards Enforcement,
(DLSE) has the authority to debar contractors from bidding on public works projects.
Caltrans, through its approved labor compliance program, does not directly investigate
the contractor for debarment; however Caltrans can prepare a written complaint
requesting the debarment of a contractor. This complaint is forwarded to the
Department of Industrial Relations for a final debarment determination. Anyone may
file a debarment complaint, including an individual party.
A debarment order may be taken against a contractor or any subcontractor. The intent
of the law is to debar and prevent contractors who have committed any violation with
the intent to defraud or have committed more than one willful violation within a 3-year
period from bidding on public works projects.
The requirements and procedures for debarment can be found in Section 1777.1 of the
California Labor Code. Additional legal authority to debar contractors can be found in
Title 8, Industrial Relations, of the California Code of Regulations.
8-107B Process for Filing a Debarment Complaint
The district labor compliance office may request the Division of Construction labor
compliance unit to file a complaint for Caltrans with the Department of Industrial
Relations Division of Labor Standards Enforcement. The following information must
be provided:
An individual case summary of all district labor compliance enforcement actions.

A summary of prevailing wage cases filed against the contractor.
Dollar amount of all withholds taken and penalties assessed.
Status of whether the cases were approved by the State Labor Commissioners
office.
Each district labor compliance office will maintain a Caltrans labor compliance
debarment log showing the dates of complaint preparation, when forwarded to the
Division of Construction labor compliance unit, and when sent to the Department of
Industrial Relations for a final decision.
The investigation and final determination for debarment rests solely with the
Department of Industrial Relations, legal office and the Division of Labor Standards
Enforcement. Final determinations will be forwarded to the complainant and the
awarding body.
8-107C Federal Suspension and Debarment
Suspension and debarment apply to all federal-aid highway construction projects and
are discretionary administrative actions taken to protect the federal government by
excluding persons from participation in the federal assistance programs.
A suspension and debarment action ensures that the federal government does not
conduct business with a person who has an unsatisfactory record of integrity and
business ethics. The suspension and debarment actions are administered government
wide; consequently, a person excluded by one federal agency is excluded from doing
business with any federal agency.
8-108 8-108 Summary of Labor Compliance Law, Act, and Statute
Summary of Labor This section provides an overview and content summary of labor compliance law,
Compliance Law, Act, acts, and statutes.
and Statute
8-108A Federal Law
8-108A (1) Copeland Act
Full wages earned must be paid.
Deductions from wages must be authorized.
Proper payroll records must be kept for a period of 3 years after contract
completion.
Statements of compliance must be submitted weekly by the prime contractor and
all persons or firms performing work on the contract.
8-108A (2) Prevailing Wage Provisions of Davis-Bacon Act
Wages paid to laborers and mechanics must not be less than the predetermined
hourly rates (including fringe benefits) shown in the appropriate wage schedule.
Laborers and mechanics must be properly classified and paid according to the
work actually performed.
Laborers and mechanics must be paid at least once a week.
The prevailing wage schedule, including fringe benefits and supplements (which
can be the one printed in the contract proposal), and the minimum wage poster
must be posted in a prominent place at the project site.

8-108A (3) Work Hours Act of 1962
Forty hours is the standard workweek. Any work over this limit must be
compensated at no less than one and one-half times the basic hourly wage rate
paid.
The contractor is liable to employees for unpaid wages.
The contractor is liable to the federal government for liquidated damages of $10
per day per worker for each violation of the provisions of this act.
In the event of violations of the provisions of this act, the state may withhold from
the progress pay estimate sufficient money to guarantee unpaid wages and
liquidated damages.
Intentional violations are a federal misdemeanor ($1000 fine and/or 6 months
imprisonment.)
8-108A (4) False Information Act
The making or use of false statements is a felony ($10,000 fine and/or 5 years
imprisonment).
The false statement poster shall be posted at one or more places where it is readily
available to all personnel concerned with the project.
8-108B State Law
Following are some of the more frequently cited California Labor Code sections:
Sections 213 and 224 disallow a contractor from withholding funds improperly and
requires employee authorization to withhold portions of the employees wages.
Section 1729 holds the subcontractor liable for failure to comply with the prevailing
wage requirements.
Section 1771.5 provides for approval of the Caltrans labor compliance program and
excludes from the prevailing wage requirements construction work with a value of
$25,000 or less; and alteration, demolition, repair, or maintenance projects with a value
of $15,000 or less.
Section 1774 requires all workers be paid not less than the specified prevailing wage
rate.
Section 1775 requires that penalties be assessed against the contractor for failure to pay
employees prevailing wages.
Section 1776 requires the contractor and subcontractor to keep accurate records of
wages paid, specifies which persons and under what circumstances these records may
be inspected, and provides penalties for failure to comply.
Section 1777.1 allows the contractor to pursue a hearing process on a determination of
a willful wage violation case through the Department of Industrial Relations.
Section 1777.5 pertains to apprenticeship standards and ratios, and nondiscrimination.
Section 1778 prohibits misuse of another persons wages. This is the only section of
the labor code that can result in a felony conviction.
Section 1779 prohibits the charging of a fee for employing a person on public works
projects.

Section 1780 prohibits a fee for placing an order for employment on public works.
Section 1810 defines 8 hours as a legal days work.
Section 1811 restricts work to 8 hours per day and 40 hours per calendar week without
overtime compensation.
Section 1812 requires the contractor to keep accurate records of hours worked and have
records available for inspection by the awarding body.
Section 1813 provides penalties for violations of provisions of Sections 1810-1815 by
any contractor.
Section 1814 provides that persons violating provisions of Sections 1810-1815 are
guilty of a misdemeanor.
Section 1815 provides overtime payment at one and one-half times the basic rate of
pay for hours worked in excess of 8 hours per day and 40 hours per calendar week.
Section 2750.5 provides that a worker is presumed to be an employee unless proven to
be an independent contractor.

Section 2 Equal Employment Opportunity

8-201 General
8-202 Laws, Regulations, and Specifications
8-203 Preconstruction Conference
8-204 Onsite Interviews
8-205 Federal-Aid Project Equal Employment Opportunity Posters
8-206 Contractor Employee Title VII ComplaintsDiscrimination Complaint
Processing
8-207 Equal Employment Opportunity Title VI Complaints and Contract
Administration
8-208 Contracts Containing Federal Requirements Training Special Provision
8-209 Contractors Annual Equal Employment Opportunity
8-210 Deducting Payment for Failure to Submit Reports
Example 8-2.1 Sample Letter to the Complainant
Example 8-2.2 Sample Letter to the Contractor

Equal Employment Opportunity 8-2.i
Equal
Section 2 Equal Employment Opportunity
Employment
Opportunity
8-201 General 8-201
This section presents the requirements for administration of the nondiscrimination and General
equal employment opportunity (EEO) provisions of the contract. The total EEO
program is complex and involves functional units outside of construction.
Requirements in this section apply primarily to activities and responsibilities resulting
from contractual requirements and are not necessarily complete for either Caltrans or
the contractor insofar as the total responsibilities and activities.
8-202 Laws, Regulations, and Specifications 8-202
California requirements for public works contractors on the subjects of Laws, Regulations,
nondiscrimination and EEO are located in Title VI of the Civil Rights Act of 1964, and Specifications
Section 12990 of the Government Code, Title 2 of the regulations of the Fair
Employment and Housing Commission, and Sections 8107 and 8203 of the California
Code of Regulations.
Section 7-1.02I(2), Nondiscrimination, [7-1.01A(4), Labor Nondiscrimination] of
the Standard Specifications and Section 7-1.11B of FHWA-1273 II,
Nondiscrimination, in the required federal contract provisions of the specifications
call the contractors attention to these and other requirements. Under the terms of the
contract, the contractor is responsible for its subcontractors compliance.
8-203 Preconstruction Conference 8-203
The resident engineer or district labor compliance officer must discuss the Preconstruction
nondiscrimination and EEO provisions of the contract at the preconstruction meeting Conference
and advise the contractor of the requirements in Title VI of the Civil Rights Act of
1964. See Section 5-0, Conduct of the Work, of this manual for details on
preconstruction conferences.
8-204 Onsite Interviews 8-204
District labor compliance officers or project personnel conduct onsite interviews with Onsite Interviews
employees of the contractor and subcontractors. Conduct employee interviews for
nondiscrimination and EEO at the rate of at least two employees per contract, per
month including at least one interview from the prime contractor and each
subcontractor until the contract is accepted or all employees on the project have been
interviewed. Record interviews on form CEM-2504, Employee Interview: Labor
Compliance/EEO, or form CEM-2504 (Spanish), Entrevista de Empleado: Labor
Compliance/EEO, if applicable. EEO interviews are done in conjunction with the
labor compliance interviews as a means of verifying that the contractors and
subcontractors are in compliance with the EEO and the labor nondiscrimination
contract provisions mandated by state and federal statutes and regulations.

Equal Employment Opportunity 8-2.1
When an employees responses to the EEO questions in form CEM-2504 indicate
possible violations, the district labor compliance officer must forward a copy of that
interview to the Division of Construction labor compliance unit for further action. See
Section 8-102A (3), Interviews With Contractor Personnel, of this manual for more
information.
8-205 8-205 Federal-Aid Project Equal Employment Opportunity Posters
Federal-Aid Project Ensure the contractors EEO policy and the Equal Employment Is the Law poster are
Equal Employment posted in a prominent location on the project for all employees to review for the
Opportunity Posters duration of the contract. Check to see that the contractor has these posted when visiting
each construction location. The Equal Employment Opportunity Is the Law poster
must also be posted in the resident engineers and contractors office.
The district labor compliance officer verifies that the policy and poster are displayed at
offsite locations during a source document audit. If the contractor is noncompliant, the
district labor compliance officer provides additional posters and writes a memo
advising the resident engineer of the contractors compliance status for inclusion in the
project file.
8-206 8-206 Contractor Employee Title VII ComplaintsDiscrimination
Contractor Employee Complaint Processing
Title VII Complaints- A complaint that implicates the contractors employment practice is considered an
Discrimination EEO complaint based on Title VII of the Civil Rights Act of 1964. EEO complaints
Complaint Processing may originate as a direct complaint from the contractors employees or as a result of a
contractor employee interview. When a complaint is received, document all EEO
complaints in a diary, a memo to the project files, or on form CEM-2504. The public,
contractors, suppliers, and vendors may also present these complaints. File the original
EEO complaint in the project records and send a copy of the complaint to the district
labor compliance officer.
The district labor compliance officer sends complainants a letter notifying them of their
rights under the Civil Rights Act of 1964. The letter also provides a complete list of
resolution options, including:
Use of the employers internal EEO program for investigation and resolution.
Filing a complaint directly with the California Department of Fair Employment
and Housing (DFEH).
Filing a complaint directly with the United States Equal Employment Opportunity
Commission.
A copy of the following items should be included in the letter:
Form DFEH-159 Guide for Complainants and Respondents, a DFEH brochure
available on the internet:
http://www.dfeh.ca.gov/res/docs/Publications/DFEH-159.pdf
http://www.dfeh.ca.gov/res/docs/Publications/DFEH-159s.pdf
Instructions on Filing a Charge of Employment Discrimination, are available on
the internet:
http://www.eeoc.gov/employees/howtofile.cfm

8-2.2 Equal Employment Opportunity
For a sample letter to the complainant, see Example 8-2.1 at the end of this section.
In addition, the district labor compliance officer sends a notification letter to the prime
contractor that an employee has alleged discrimination and that the employee was
given notice of available recourse. The labor compliance officer must not divulge the
employees name. The letter reminds the contractor of its obligation to conduct an
investigation pursuant to contract requirements. For a sample letter to the contractor,
see Example 8-2.2 at the end of this section.
The district labor compliance officer refers the issue to the Division of Construction,
including copies of the letter to the complainant, the letter to the contractor, and the
employee interview form. Take further district construction actions only on the advice
and guidance of the Division of Construction.
8-207 Equal Employment Opportunity Title VI Complaints and 8-207
Contract Administration Equal Employment
The Civil Rights Act of 1964, Title VI, Section 601 states in part, No person in the Opportunity Title
United States shall, on the grounds of race, color, or national origin, be excluded from VI Complaints and
participation in, be denied the benefits of, or be subjected to discrimination under any Contract
program or activity receiving federal financial assistance. Administration
Any complaint indicating that the practices of Caltrans have the effect of discrimination
is considered a Title VI complaint. It may originate from a direct complaint made by
the public or by a contractor. Refer Title VI complaints that occur during construction
to the district labor compliance officer, who refers the complaint to the Division of
Construction. The division reviews the complaint, gathers relevant documents, and
refers it to the Discrimination Complaint Investigations Unit to process the complaint
and take further action as necessary.
During construction, amendments to the contract may occur by change order. Some
change orders may invoke Title VI complaints or violate the principles of
environmental justice. Environmental justice is the fair treatment of people of all races,
cultures, and incomes with respect to the development, adoption, implementation, and
enforcement of environmental laws, regulations, and policies. Examples include new
traffic detours; changes in the length or limits of the project; mitigation measure
changes; materials changes; and changes in contract-mandated material borrow,
disposal sites, or setup of portable asphalt or concrete plants.
Take affirmative measures to ensure nondiscrimination and preservation of
environmental justice when administering changes. If a change requires Title VI
mitigation measures, the resident engineer may conduct community meetings, prepare
press releases, or hire public relations consultants to keep communities informed on
project scope and schedule changes. Consult with the Division of Constructions Labor
Compliance Officer, the design project engineer, and the project manager as necessary
to evaluate the impacts of any significant change including compliance with Title VI
requirements.
8-208 Contracts Containing Federal Requirements Training Special 8-208
Provision Contracts
Federal-aid projects use the training special provision when a project is of sufficient Containing Federal
size and duration to support full training periods. When the special provision provides a Requirements
number of required trainees or apprentices, Section 7-11D, Training, of the Standard Training Special
Specifications applies. The intent of the provision is to enhance contractors EEO Provision

programs through on-the-job training. Training and upgrading of minorities and
women toward journeyman status are the primary objectives of the provision.
However, the contractor must not use the training program to discriminate against an
applicant for training. The provision states the number of apprentices or trainees the
contractor must use on the project and provides guidance on actions the contractor
must take. In addition, the provision provides for reimbursement to the contractor for
each apprentice or trainee used on the project.
Before the work involving apprentices or trainees begins, the resident engineer requests
that the contractor submit a training plan with the number of apprentices or trainees in
each classification, the training program to be used, and the start date for training in
each classification. Review the training plan to confirm that it meets the requirements
of the training specification. Subcontractors who will be using apprentices or trainees
must provide a plan for them. Apprentices and trainees must be employed under
programs currently approved by the United States Department of Labor, Office of
Apprenticeship Training, Employer and Labor Services (DOL). Contractors must
submit evidence of apprentice or trainee registration in an approved training program to
the resident engineer or district labor compliance officer. Contractors may use trainees
only when the trainee wage schedule for the specific classification is listed in the
federal wage determination applicable to the contract.
The resident engineer may accept a training program not currently approved by DOL
as long as the program meets the EEO requirements of the federal contract special
provisions. Contractors must submit a request to the resident engineer for approval of
such programs before their use on the project. Submit the contractors request to the
district labor compliance officer who forwards it to the Division of Construction for
verification of conformance to federal requirements. If the training program meets the
requirements, the Division of Construction will submit the program to the Federal
Highway Administration (FHWA) with a recommendation for approval. Upon
approval from the FHWA, the division will notify the district labor compliance officer
and resident engineer.. Notify the contractor of the training program approval.
Write a change order, as specified in the contract, to provide the appropriate
compensation for the apprentices or trainees. The total amount of the change order
should reflect the contractors plan for use of apprentices or trainees. No markup will
be applied to the specified hourly rate.
During construction, the contractor must give periodic reports demonstrating
performance regarding training requirements. Tailor reporting periods to the duration
of the project. For example, a year-long project should require at least quarterly reports.
Review the reports for conformance with the contractors training plan before
approving reimbursement for training hours. Do not reimburse the contractor unless the
reports have been provided. Reimburse the contractor for training in excess of the
required number of apprentices or trainees as long as evidence of registration in a DOL
program is provided. When an apprentice or trainee quits the project, the contractor
must provide the reason. The contractor will have fulfilled contract requirements if
applicable training has been provided to the specified number of apprentices or
trainees.

8-209 Contractors Annual Equal Employment Opportunity 8-209
The United States Code of Federal Regulations, Title 23, Section 230.121 requires Contractors Annual
prime contractors and subcontractors, regardless of tier, to submit the FHWA form- Equal Employment
1391 to the resident engineer for review. The form shows the composition of the Opportunity
contractors workforce by race and gender for each job category. The requirement
applies to all contractors, regardless of tier, who have federal-aid contracts exceeding
$10,000 and who worked any part of the last full week of July. Contractors are subject
to a progress pay deduction for failure to submit a satisfactory form. Section 8-210
below lists applicable procedures and amounts.
8-210 Deducting Payment for Failure to Submit Reports 8-210
Make EEO deductions in situations where the contractor or subcontractor fails to Deducting Payment
submit the required training plan, does not post the necessary EEO information, or fails for Failure to
to provide FHWA form-1391, Federal-Aid Highway Construction Contractors Submit Reports
Annual EEO Report.
Before taking a deduction, notify contractors found in noncompliance in writing,
advising them of the specific deficiencies. Refer to Section 5-103F (1c), Deductions,
of this manual for instructions on taking the deduction.

Example 8-2.1. Sample Letter to the Complainant (Employee)
[City, CA Postal Zip Code]
[PHONE (Area Code) xxx-xxxx] Serious drought
Help save water!
TTY 711
www.dot.ca.gov
[The telephone and fax numbers must be those of the signature block regardless of who signs the letter. REMOVE
THIS NOTE BEFORE PREPARING THE LETTER.]
[Date: Month dd, yyyy]
[Employees Name]
[Address]
[City, State, Zip]
RE: [Caltrans Contract Number, Federal ID Number, and Project Description]
Dear [Employees Name]:
This letter confirms our discussion on [date] where you informed us that you believe you have experienced
discrimination and allege [company name] discriminated against you based on [race, color, national origin, sex, age, or
disability].
The district labor compliance officer reviewed the allegations and notified [company name] in writing, that you have
been provided a complete list of resolution options, including the use of the employers internal equal employment
opportunity program for investigation and resolution. Your name was not given to [company name].
The California Department of Transportation (Caltrans) monitors discrimination complaints against sub-recipients of
state or federal financial assistance. However, Caltrans has no statutory or regulatory authority to conduct an
investigation of alleged discrimination complaints between the contractor and the contractors employee. Caltrans has
no authority to gather evidence, subpoena documents, depose witnesses, or file equal employment opportunity cases on
behalf of a contractors employee. Caltrans ensures that the contractor conducts an equal employment opportunity
investigation, and documents oversight activities in the project records.
You must file a complaint with the California Department of Fair Employment and Housing or the United States Equal
Employment Opportunity Commission within specific statutory deadlines from the date of the alleged discriminatory
act. For more information, please refer to enclosed Form DFEH-159, Guide for Complainants and Respondents.
If you have questions relating to the information referenced above, please contact [Labor Compliance Officers name]
at [Labor Compliance Officers telephone number].
Sincerely,
[District Labor Compliance Officers Name]
District Labor Compliance Officer
District [Number] Construction
Enclosures: Form DFEH-159, Guide for Complainants and Respondents

Filing a Charge of Employment Discrimination, available online at:
http://www.eeoc.gov/employees/howtofile.cfm
c: Division of Construction
Office of Business and Economic Opportunity

Example 8-2.2. Sample Letter to the Contractor
[City, CA Postal Zip Code]
[PHONE (Area Code) xxx-xxxx] Serious drought
Help save water!
TTY 711
www.dot.ca.gov
[The telephone and fax numbers must be those of the signature block regardless of who signs the letter. REMOVE
THIS NOTE BEFORE PREPARING THE LETTER.]
[Month dd, yyyy]
[Contractors Name]
[Address]
[City, State, Zip]
RE: [Caltrans Contract Number, Federal ID Number, and Project Description]
Dear [Contractors Name]:
The California Department of Transportation (Caltrans) has been notified that a current or former employee of
[company name] filed (or) plans to file a formal complaint of discrimination. The current or former employee is
alleging discrimination based on [race, color, national origin, sex, age, or disability].
The district labor compliance officer provided the complainant a complete list of resolution options, including 1) the
use of the employers internal equal employment opportunity program for investigation and resolution and 2) filing a
complaint with the California Department of Fair Employment and Housing or with the United States Equal
Employment Opportunity Commission.
Caltrans complies with nondiscrimination laws and regulations, including Title VII of the Civil Rights Act of 1964.
Title VII state, It shall be an unlawful employment practice for an employer: (1) to fail or refuse to hire or to
discharge any individual or otherwise to discriminate against any individual with respect to their compensation, terms,
conditions, or privileges of employment, because of such individuals race, color, religion, sex, or national origin or (2)
to limit, segregate, or classify their employees or applicants for employment in any way which would deprive or tend
to deprive any individual of employment opportunities or otherwise adversely affect their status as an employee,
because of such individuals race, color religion, sex, or national origin. Caltrans ensures that its activities or
programs are nondiscriminatory.
No one may intimidate, threaten, coerce, or engage in other discriminatory conduct against anyone because he or she
has either taken action or participated in an action to secure rights protected by the nondiscrimination statutes. Any
individual alleging such harassment, retaliation, or intimidation may file a complaint with the California Department of
Fair Employment and Housing or with the United States Equal Employment Opportunity Commission.
If you have questions relating to the information referenced above, please contact the Office of Business and Economic
Opportunity at (916) 324-1700.
Sincerely,
[District Labor Compliance Officers Name]
District Labor Compliance Officer
District [Number] Construction
c: Division of Construction
Office of Business and Economic Opportunity
Subcontractors (if applicable)

Section 3 Disadvantaged Business Enterprises and Disabled Veteran

8-301 General
8-302 Terms Used in Construction
8-302A Commercially Useful Function
8-302B Underutilized Disadvantaged Business Enterprises
8-303A Disadvantaged Business Enterprise and Disabled Veteran Business Enterprise
Commitment Form
8-303B Subcontractor List Versus Disadvantaged Business Enterprise and Disabled Veterans
Business Enterprise Commitment Form
8-303C Preconstruction Conference
8-304 Activities During Construction
8-304A Monitoring and Enforcement
8-304A (1) Monthly DBE/UDBE Trucking Verification Form
8-304A (2) When Listed DBE or DVBE Does Not Perform the Work
8-304B Substitution of Listed Firms
8-304B (1) Underutilized Disadvantaged Business Enterprise Substitutions
8-304B (2) Disadvantaged Business Enterprise Substitutions
8-304B (3) Disabled Veteran Business Enterprise Substitutions
8-304C Adding Disadvantaged Business Enterprises or Disabled Veteran Business Enterprises
8-305 Forms Required After Contract Acceptance
8-305A Final Report, Use of Disadvantaged Business Enterprises and Disabled Veteran Business
Enterprises, First-Tier Subcontractors
8-305B Disadvantaged Business Enterprises Certification Status Change (Federal-Aid Contracts)
8-306 Caltrans Office of Business and Economic Opportunity
Example 8-3.1 Second Notice, Contractor Has Failed to Respond to Verbal Notice on Nonuse of
Disabled Veteran Business Enterprise

Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises 8-3.i
Disadvantaged
Section 3 Disadvantaged Business Enterprises and Disabled Business Enterprises
Veteran Business Enterprises and Disabled
Veteran Business
Enterprises
8-301 General 8-301
Caltrans policy is to ensure equal opportunity in the award and performance of its General
contracts. Part of this policy includes programs designed to increase the use of
disadvantaged business enterprises (DBEs) on federally funded contracts and disabled
veteran business enterprises (DVBEs) on state-funded contracts.
Federal regulations define DBEs as firms owned and controlled by individuals who are
both socially and economically disadvantaged. For the states federally assisted
transportation program, Caltrans establishes an annual overall participation goal for
DBEs. Caltrans strives to meet the annual goal through varying individual contract
goals that contractors must either meet or conduct a good faith effort to meet during the
bidding process.
State law defines DVBEs as firms owned, managed, and controlled by one or more
disabled veterans. State law requires Caltrans to ensure at least 3 percent DVBE
participation in its contracting dollars expended annually. Caltrans strives to meet this
requirement by establishing individual DVBE participation requirements on state-
funded contracts. Contractors must meet the contract requirement to be awarded a
state-funded contract.
Contract goals are set based upon the type of work in the contract and the availability
of DBE firms to participate in the bidding process in the geographical area of the
contract. DVBE contract participation requirements vary from 3 to 5 percent depending
on the dollar value of the overall project. Contracts may also include a DVBE bid
incentive based on the percentage of the commitment made by the bidder.
For every advertised contract containing goals or percentage requirements, the
contractor must submit information to Caltrans during the bidding process regarding
the proposed use of DBEs or DVBEs. The contractors proposal is evaluated prior to
award of a contract to see if the contract requirement has been met or if a good faith
effort to use DBEs has been made, as applicable. If the low bidder has not met the
contract requirement or shown good faith efforts to do so, the contract may be awarded
to the next low bidder that meets these requirements. Once a contract is awarded, the
bidders statement of intent or good faith effort is a commitment that becomes a
contract requirement.
Projects funded only with state funds have no specific requirement for the use of
DBEs. Likewise, projects funded with federal transportation funds have no specific
requirement for the use of DVBEs. DBEs and DVBEs are not interchangeable.
Consequently, projects funded only by the state cannot use a DBE to meet the DVBE

Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises 8-3.1
requirement, and projects funded with federal transportation funds cannot use a DVBE
to meet the DBE goal.
Some contracts do not have DBE or DVBE goals. However, Caltrans still encourages
the use of DBEs and DVBEs on these contracts, and bidders are urged to obtain DBE
or DVBE participation.
The contract contains the Caltrans DBE or DVBE requirements. Specific restrictions
exist regarding the removal and replacement of both DBEs and DVBEs listed on the
contractors commitment documents provided at the time of bid submission. DBE or
DVBE requirements are in addition to the requirements of Sections 41004114,
Subletting and Subcontracting Fair Practices Act (Fair Practices Act), of the Public
Contract Code, which are described in Section 3-507C, The Subletting and
Subcontracting Fair Practices Act, of this manual.
8-302 8-302 Terms Used in Construction
Terms Used in
8-302A Commercially Useful Function
Construction
DBEa DBE performs a commercially useful function when it does all of the
following (as detailed in the Code of Federal Regulations Section 26.55[c]):
o Performs at least 30 percent of the total cost of its contract with its own work
force and does not subcontract out portions of its contract work that are greater
than normal industry practices for the type of work performed.
o Performs, manages, and supervises the work involved.
o Negotiates prices, determines quantity and quality, orders materials and
supplies, pays for the materials and supplies, and installs the materials where
applicable.
DVBEa DVBE performs a commercially useful function when it does all of the
following (as detailed in California Military and Veterans Code Section
999[b][5][B]):
o Is responsible for the execution of a distinct element of the contract.
o Carries out the obligation by actually performing, managing, or supervising
the work involved.
o Performs work that is normal for its business services and functions.
o Is responsible with respect to products, inventories, materials, and supplies
required for the contract; for negotiating price; determining quality and
quantity; and ordering, installing, if applicable, and making payment.
o Is not further subcontracting a portion of the work that is greater than that
expected to be subcontracted by normal industry practices.
A DBE or DVBE firm does not perform a commercially useful function if its role on
the contract is limited to being an extra participant in a transaction or contract through
which funds are passed in order to obtain the appearance of participation.
8-302B Underutilized Disadvantaged Business
An underutilized disadvantaged business entity (UDBE) is a certified DBE firm that is
recognized as being in one or more of the following DBE categories: Black American,
Asian-Pacific American, Native American, or Women.

8-3.2 Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises
In a 2007 Caltrans-led disparity study conducted to determine if disparity existed in the
use of one or more DBE categories, the four categories above were determined to be
underutilized in the construction industry. To achieve greater participation in the four
groups, Caltrans set UDBE goals on contracts advertised from February 27, 2009
through June 15, 2012. UDBE contract goals were not set on projects advertised after
June 15, 2012.
Before Work
8-303A Disadvantaged Business Enterprise and Disabled Veteran Business
Enterprise Commitment Form Begins
The DBE or DVBE commitment form provides the resident engineer with a listing of
specific work to be done or materials to be furnished by specific DBEs or DVBEs and
is based on information the contractor submitted during the bidding process. The
resident engineer will receive the approved commitment of DBE or DVBE
participation in the award package. For DBE participation commitments, bidders use
Form DES-OE-0102.10D, Caltrans Bidder - DBE - Commitment. For DVBE
participation commitments, bidders use Form DES-OE-0102.5, Certified DVBE
Summary. The percentage specified in the original contract advertisement may differ
from the approved listing, which is a specific contract commitment from the contractor.
The contractor must meet the DBE or DVBE commitment, regardless of the contract
percentage.
Review the commitment forms with inspection staff before work begins to ensure that
field staff knows who should be performing DBE or DVBE contract work. If the
commitment form has not been provided in the award package or is incomplete, the
resident engineer must contact the district labor compliance officer or the office
engineer.
8-303B Subcontractor List Versus Disadvantaged Business Enterprise and
Disabled Veteran Business Enterprise Commitment Form
Do not construe the commitment of DBE or DVBE subcontractors as a request to
subcontract or a notice of intent to subcontract as required by Section 5-1.13 [8-1.01],
Subcontracting, of the Standard Specifications. However, the approved form does
equate to a commitment from the contractor to meet the DBE or DVBE requirements
of the contract. In those instances where a DBE or DVBE subcontractor exceeds the
dollar figure threshold (half of 1 percent of the total bid, or $10,000, whichever is
greater) specified in the Fair Practices Act, the DBE or DVBE must also be listed on
the subcontractor list. Conversely, a DBE or DVBE whose value of work falls below
the threshold will not be listed on the subcontractor list, in accordance with the Fair
Practices Act. Because the DBE or DVBE may not be on the subcontractor list the
DBE or DVBE listing and the subcontractor list may not match. First-tier
subcontractors listed on the contractors DBE or DVBE use plan must be listed on
Form CEM-1201, Subcontracting Request. Refer to Section 3-507D, Procedure for
Approval or Acknowledgment of Subcontractors, of this manual for additional
information on first-tier subcontractors.
To cross-check DBE or DVBE commitments, compare the subcontractors and contract
items listed on the subcontractor list and Form CEM-1201 with the approved DBE or
DVBE commitment forms. Identify any irregularities during the preconstruction
conference.

8-303C Preconstruction Conference
During the preconstruction conference, review the commitment details with the prime
contractor and other attending parties. Inform the contractor of the contract
requirements to use the committed DBE or DVBE firms or go through the applicable
substitution process. Also inform the contractor that unless the work is performed or
supplied by the listed DBEs or DVBEs or a substitution is approved, the contractor is
not entitled to any payment for work or materials or may be subject to a 10 percent
contract withhold. The preconstruction conference is a good opportunity for the prime
contractor to inform Caltrans staff of any known issues prior to the work starting. If the
contractor identifies any issues, follow the process identified in Sections 8-304B and
8-304C of this manual.
8-304 8-304 Activities During Construction

Activities During
8-304A Monitoring and Enforcement
Construction
Caltrans is required by federal and state regulations to monitor worksites to ensure
work committed to a DBE or DVBE is actually being performed by the respective
firms through ensuring a commercially useful function. For federally funded projects,
the resident engineer must certify in writing that a field review of DBE records
occurred and the worksite was monitored by Caltrans staff.
The following procedures must be used by field staff to monitor and enforce the DBE
or DVBE requirements of the contract, including prompt payment.
1. When a DBE or DVBE firm performs work on the contract, inspection staff must
document in the daily inspection report the name of the firm and the associated
contract items performed. Cross-check the inspection reports against commitment
forms to ensure the appropriate firm is performing the work or providing the
materials.
2. Interview workers of DBE or DVBE subcontractors. For additional information on
conducting interviews, refer to Section 8-102A (3), Interviews With Contractor
Personnel, of this manual.
3. Confirm with the district labor compliance officer that certified payroll records
have been received for the DBE or DVBE, if applicable.
4. If the DBE or DVBE firm is a materials supplier, request that the contractor
provide documents such as delivery confirmation reports and canceled payment
checks to confirm that the DBE or DVBE supplied the materials.
5. If trucking is part of the contractors DBE commitment, identify trucking firms and
drivers and associated items of work for each trucking firm on daily inspection
reports. In addition, ensure the contractor submits Form CEM-2404F, Monthly
DBE/UDBE Trucking Verification, by the 15th of the month for the previous
months trucking activities. Randomly confirm the information on these forms by
requesting copies of weight tickets and canceled payment checks from the
contractor. Cross-check the information against daily inspection reports as well.
Refer to Section 8-304A (1), Monthly DBE/UDBE Trucking Verification Form,
below for additional information.
6. Do not allow a contractor to terminate or substitute a listed DBE or DVBE from
the contract without written consent. For information on the substitution process,
refer to Section 8-304B below.

7. Withhold contract funds, as applicable, for improper substitutions, terminations, or
failure to meet contract commitments.
8. Bring to the attention of the district labor compliance officer any complaints of
failure by the contractor to promptly pay DBE or DVBE firms.
9. Require the contractor to notify you in writing of any changes in DBE certification
status; that is, a DBE becomes decertified or a business entity becomes certified as
a DBE. For additional information on changes in DBE certification status, refer to
Section 8-304B (2) below.
10. Consult with the district labor compliance officer for questions on implementing
enforcement activities.
8-304A (1) Monthly DBE/UDBE Trucking Verification Form
When DBE trucking is approved on the commitment list, the contractor must submit to
the resident engineer Form CEM-2404F, Monthly DBE/UDBE Trucking
Verification, before the 15th of each month. The form must include the following for
all trucking performed during the reporting period:
The truck owners name.
The California identification (CA) number issued by the California Highway
Patrol.
The truck owners DBE certification number.
The company name and address.
The commission or amount paid.
The date paid.
The lease arrangement if applicable.
If the prime contractor fails to submit the form, the resident engineer must hold an
administrative deduction for missing documents.
In determining how much credit percentage to allow for the trucking company toward
the DBE contract goal, use the following factors:
The listed DBE must itself own and operate at least one fully licensed, insured, and
operational truck used on the contract.
The DBE receives credit for the total value of the transportation services it
provides on the contract, using trucks it owns, insures, and operates, and using
drivers it employs.
The DBE may lease trucks from another DBE firm, including an owner-operator
who is certified as a DBE. The DBE that leases trucks from another DBE firm
receives credit for the total value of the transportation services the lessee DBE
provides on the contract.
The DBE may also lease trucks from a non-DBE firm or a non-DBE owner-
operator. The DBE who leases trucks from a non-DBE is entitled to credit only for
the fee or commission it receives as a result of the lease arrangement. The DBE
does not receive credit for the total value of the transportation services provided by
the lessee because a DBE is not providing these services.

A lease must indicate that the DBE has exclusive use of and control over the truck.
The leased truck may work for others during the term of the lease with the consent
of the DBE, as long as the lease gives the DBE absolute priority for use of the
leased truck. (Generally, the lease must be long term and not for the specific
project.)
8-304A (2) When the Listed DBE or DVBE Does Not Perform the Work
If Caltrans personnel observe that firms other than those listed are doing the work or
providing the materials, promptly notify the contractor in writing that an apparent
violation is taking place. If you make an initial verbal warning, note this fact in the
resident engineers daily report. Also, for this work, hold an administrative deduction
on the next estimate for the dollar amount of work that should have been performed to
date as listed on the DBE commitment for the specific firm. For DVBEs, hold an
administrative deduction for 10 percent of the DVBE commitment for the specific
firm.
If the first notice is ineffective for any reason, send another written notice describing
the violation to the contractor. Include a warning that failure to comply with the DBE
or DVBE contract requirements will result in a withhold in the full amount of the items
of work listed and a referral to the Department of General Services (DGS) for
investigation for contracts with DVBE commitments. For a sample copy of such a
letter, refer to Example 8-3.1, Second Notice, Contractor Has Failed to Respond to
Verbal Notice on Nonuse of DBE or DVBE, at the end of this section.
If the written notice fails to achieve results, submit to the district labor compliance
office a memorandum noting the following:
The apparent violation.
Actions taken.
The contractors subsequent action or inaction.
Documentation of the notices sent to the contractor.
The district labor compliance office reviews for consistency the actions taken and
forwards this documentation to the Division of Construction labor compliance unit and
the construction field coordinator. Include any district recommendations for action. The
Division of Construction will notify the Caltrans Office of Business and Economic
Opportunity (OBEO). When necessary, OBEO will investigate the apparent violation
and notify the federal or state authorities as appropriate.
The actions described above are in addition to any that must be taken for violations of
the subcontracting provisions of the Standard Specifications and of the Fair Practices
Act.
8-304B Substitution of Listed Firms
The resident engineer must not allow a prime contractor to remove or substitute a listed
DBE or DVBE firm without prior written consent from Caltrans. This includes
allowing the prime contractor to self-perform work originally committed to a DBE or
DVBE firm. Requests for substitution of a listed DBE or DVBE firm must be in
writing.

8-304B (1) Underutilized Disadvantaged Business Enterprise Substitutions
The UDBE substitution procedures apply to contracts advertised between February 27,
2009 and June 15, 2012. For contracts with UDBE participation, follow the process
described below. The prime contractor is required to replace the listed UDBE with
another certified DBE firm identified as underutilized or conduct a good faith effort to
do so to the extent required to meet the original contract goal. For additional
information on those DBE firms considered to be underutilized, refer to Section 8-302,
Terms Used in Construction, of this manual.
Require the contractor to submit a written request for substitution of a listed UDBE.
Ensure the request cites one of the seven reasons listed in Section 5, General,
Performance of UDBEs, of the contract. If the prime contractor requests substitution
with a non-UDBE, the good faith effort must be included with the request and must
address the eight information and supporting document items identified in the contract
under Disadvantaged Business Enterprises. The prime contractors good faith effort
must be reviewed and approved by the district construction division chief before
approval of a substitution request. If the prime contractor fails to conduct a good faith
effort to replace a listed UDBE with another UDBE, deny the substitution request.
Provide the listed UDBE with written notice, including confirmation of receipt, of the
prime contractors request to substitute upon receipt of a request for substitution. The
written notice must allow the listed UDBE at least 5 days to object to the substitution.
If the UDBE objects and provides a timely response, the district must conduct a
hearing on the substitution request. Provide the prime contractor and UDBE with at
least 5 days written notice of the scheduled hearing. If the UDBE does not object to
the substitution or does not respond within the 5-day timeframe, give the prime
contractor written notice of the substitution approval. For approval of the substitution,
complete Form CEM-2401, Substitution Report for Disadvantaged Business
Enterprise (DBE) or Underutilized Disadvantaged Business Enterprise (UDBE).
If the prime contractor replaces a listed UDBE without approval, temporarily withhold
payment for the items of work committed to the UDBE from the next progress
payment. Send the prime contractor written notice of the improper substitution and
payment withhold. If the UDBE is also a listed subcontractor pursuant to the Fair
Practices Act, the substitution process must comply with the Fair Practices Act and
with Section 3-507C (5), Hearing Process for Substitution Violations, of this manual.
If the prime contractor is found in violation of the Fair Practices Act, the hearing officer
may also assess a penalty of up to 10 percent of the subcontract amount. Any
temporary withholds become permanent when a violation is confirmed.
8-304B (2) Disadvantaged Business Enterprise Substitutions
For DBE substitutions, follow the process listed below. The prime contractor is
required to replace the listed DBE with another certified DBE or conduct a good faith
effort to do so to the extent needed to meet the original contract goal.
Require the contractor to submit a written request for substitution of a listed DBE.
Section 5 General, Performance of Disadvantaged Business Enterprises, of the
contract identifies the information required for a contractor-requested substitution.
Review the contractors written request and ensure it includes all of the following:

One of the 11 reasons for substitution as identified in the special provisions.
A copy of the 5-day notice from the contractor to the DBE regarding the
substitution, including verification that the DBE received the notice.
The DBEs response to the 5-day notice.
If applicable, the contractors good faith effort documentation addressing the eight
requirements found in Section 2-1.12B(3), Good Faith Efforts Submittal, of the
If the request for substitution does not include the required information, notify the
contractor of the requirement to comply with the contract and do not proceed with the
substitution request.
If the DBE objects to the 5-day notice of substitution, the district must conduct a
hearing on the substitution request. The prime contractor and DBE must be provided at
least 5 days written notice of the scheduled hearing. If the DBE does not object to the
substitution or does not respond to the contractors notice within the 5-day timeframe,
the substitution can occur with another DBE or non-DBE as a result of an approval of
the good faith effort. To document written substitution approval, complete Form
CEM-2401, Substitution Report for Disadvantaged Business Enterprise (DBE) or
Underutilized Disadvantaged Business Enterprises (UDBE), and provide a copy to the
contractor.
If the prime contractor replaces a listed DBE without written approval from the resident
engineer, payment for the items of work committed to the DBE must be temporarily
withheld from the next progress payment. Send the prime contractor written notice of
the improper substitution and payment withhold. In addition, if the DBE is also a
subcontractor required to be listed at bid time by the Fair Practices Act, the substitution
process must comply with Section 3-507C (5), Hearing Process for Substitution
Violations, of this manual. If the substitution is found to be in violation of the Fair
Practices Act, the hearing officer may assess the prime contractor a penalty of up to 10
percent of the subcontract amount. Any temporary withholds become permanent when
a violation is confirmed.
Federally funded contracts require the contractor to report a DBE firm that becomes
certified or decertified during the course of the project. A DBE subcontractor that
becomes decertified during the course of the project must notify the contractor in
writing with the date of decertification. In the same manner, a subcontractor that
becomes a certified DBE during the course of the project must notify the contractor in
writing with the date of certification.
The prime contractor must notify the resident engineer if the contractor becomes aware
of a DBE obtaining or losing its certification during construction.
The contractor must still honor contractual commitments with a DBE firm performing
work on the contract even if the DBE loses its certification during construction. No
substitution is required.
For federal reporting purposes only, DBE credit for Caltrans will be limited to
payments made while the firm was certified. This has no effect on the Form CEM-
2402F, Final Report - Utilization of Disadvantaged Business Enterprises First-Tier
Subcontractors, which should show the total paid to the DBE. For additional
information on the final report, refer to Section 8-305A below.

8-304B (3) Disabled Veteran Business Enterprise Substitutions
For contracts advertised on or after January 1, 2010, DVBE firms listed at the time of
bid for participation credit must only be substituted with another DVBE firm. For
contracts advertised on or after April 1, 2013, DVBE firms must be substituted with
another DVBE or a small business firm in the demonstrated absence of an available
DVBE firm. In addition, for all DVBE substitutions, Caltrans must receive approval
from DGS before allowing a contractor to proceed with the substitution.
Require the contractor to submit a written request for substitution. Review the request
to ensure compliance with the requirements of Section 5-1.13C, Disabled Veteran
Business Enterprises, of the Standard Specifications. This includes citing one or more
of the allowed reasons for substitution and providing copies of the following:
Written notice of the substitution request provided to the DVBE firm and any
response received.
Documentation of the absence of DVBE substitutable firms, if applicable.
The commitment quote from the replacement firm.
The business information, items of work, and corresponding dollar value for the
replacement firm.
The allowable reasons for substitution are as follows:
1. When the DVBE becomes bankrupt, insolvent, or goes out of business.
2. When the DVBE does not perform as listed in the Bidder Declaration.
3. When the DVBE does not meet the bond requirements of the contractor.
4. When the DVBEs name is incorrect due to an inadvertent clerical error. In the
case of public works contracts, compliance with Section 4107.5 of the Public
Contract Code is required.
5. When the DVBE is not licensed as required by any State of California regulatory
agency.
6. When the awarding department, or its duly authorized officer, determines that the
DVBE: (a) did not perform in accordance with the plans and specifications; or,
(b) has delayed or disrupted the progress of the work.
For contracts advertised prior to April 1, 2013, Caltrans provides the DVBE with
written notice of the substitution request, using a traceable mailing method such as
registered, overnight, or certified mail, if the contractors request does not already
include documentation of such notice. The written notice gives the DVBE 5 working
days to object, in writing, to the substitution and request a hearing with Caltrans.
Return to the contractor for correction requests that do not include the required
information or do not indicate substitution with another DVBE or small business firm.
If the listed DVBE provides a written objection to a contractors substitution request,
within 5 working days of receipt of the objection, set a date for a hearing and send a
notice to the contractor and DVBE of the date and location. Conduct the hearing in
compliance with Section 3-507C (3), Hearing Process for Substitutions, of this
manual. If the listed DVBE does not respond to the notice of a contractors request to
substitute within 5 working days or does not object to the substitution, no hearing is
required.

After resolving any issues with the substitution request and determining that the
substitution may occur, complete Form CEM-2405, Disabled Veteran Business
Enterprise (DVBE) Substitution Request to the Department of General Services
(DGS), and send it to the Division of Construction, to the attention of the labor
compliance program manager. Also send a copy to the district labor compliance
manager. Include all supporting documents such as the contractors substitution
request; notice to the DVBE; DVBEs response, as applicable; request for hearing; and
hearing decision. The Division of Construction labor compliance program manager
reviews and signs the DVBE substitution form and forwards it to DGS for final review
and approval or denial. DGS responds to the request within 3 business days. The
Division of Construction notifies the district of DGS final decision upon receipt.
Provide the contractor with notice of DGS decision. If the substitution is approved by
DGS and the new DVBE or small business is a first-tier subcontractor, ensure the
prime contractor completes and submits an updated Form CEM-1201, Subcontracting
Request. If the substitution is denied by DGS, do not allow substitution of the DVBE
originally listed.
Do not allow the proposed substitute DVBE or small business firms work to occur
until a substitution request has been approved by DGS.
If the contractor improperly substitutes a listed DVBE with a non-DVBE or non-small
business, withhold 10 percent of the dollar value of the original listed DVBE
participation. Send the prime contractor written notice of the improper substitution and
payment withhold. In addition, if the DVBE is also a subcontractor required to be listed
at bid time by the Fair Practices Act, the substitution process must comply with Section
3-507C (5), Hearing Process for Substitution Violations, of this manual. Substitution
of a listed DBE or DVBE may be a lengthy process. However, contractors are not
entitled to either time adjustments or increased costs as a result of substituting the DBE
or DVBE firm.
Consult with the district labor compliance program manager for assistance with the
substitution process for DBE or DVBE firms.
8-304C Adding Disadvantaged Business Enterprises or Disabled Veteran
Caltrans permits and encourages the contractor to increase the amount of work to
DBEs or DVBEs over what was originally listed for contract commitment. If a portion
of the work will be subcontracted, the contractor must comply with Section 5-1.13,
Subcontracting, of the Standard Specifications and with the Fair Practices Act. For
the procedures for subcontracting, refer to Section 3-507, Subcontracting, of this
manual. Place a copy of the contractors request in the project file for later reference
when approving Form CEM-2402F, Final Report - Utilization of Disadvantaged
Business Enterprises First-Tier Subcontractors, or Form CEM-2402S, Final Report -
Utilization of Disabled Veteran Business Enterprises (DVBE) State Funded Projects
Only.
8-305 8-305 Forms Required After Contract Acceptance
Forms Required The following forms are required after contract acceptance. Refer to the Standard
After Contract Specifications for the specific due date of each form.
Acceptance

8-305A Final Report, Use of Disadvantaged Business Enterprises or Disabled
Veteran Business Enterprises
The specifications require the contractor to submit to the resident engineer either Form
CEM-2402F, Final Report - Utilization of Disadvantaged Business Enterprises First-
Tier Subcontractors, or Form CEM-2402S, Final Report - Utilization of Disabled
Veterans Business Enterprises (DVBE) State Funded Projects Only, upon completion
of the contract work. These final reports provide key information required to certify
that DBE and DVBE firms participated on the contract and were paid for the work
performed.
Ensure the final utilization report includes the following information:
The names and addresses of DBE or DVBE firms and first-tier subcontractors for
federal-aid projects.
The date each of the firms completed the work.
The date of final payment to the firms.
The total dollar figure paid to each firm.
All actual expenditures (not the contract item prices) paid to DBEs or DVBEs.
Any lower-tier DBEs or DVBEs that were used, even if the firms were not
originally listed in the bid submittals for the purposes of goal attainment.
If the prime contractor is a DBE or DVBE firm, the reports must also show the date of
work performed by its own forces, along with the corresponding dollar value of the
work claimed toward DBE or DVBE commitments. Require the contractor to submit a
complete form if any of the required information is not included.
Compare the contractors original dollar commitment with the amount shown on the
final DBE or DVBE report. Review the contractors calculations to verify that the
appropriate amount is credited for participation of DBE suppliers and truckers. Below
are the criteria for crediting DBE supplier and trucker participation:
One hundred percent credit if the materials or supplies are obtained from a DBE
manufacturer.
Sixty percent credit if the materials or supplies are obtained from a DBE regular
dealer.
Only fees, commissions, and charges for assistance in the procurement and
delivery of materials or supplies, if they are obtained from a DBE that is neither a
manufacturer nor regular dealer. Code of Federal Regulations, Title 49, Section
26.55 defines manufacturer and regular dealer.
One hundred percent credit for the total value of the transportation services the
DBE provides on the contract using trucks it owns, insures, and operates using
drivers it employs or leases from another DBE.
Actual fee or commission amount for participation by non-DBE trucks leased by
DBEs.
DVBE subcontractors, suppliers and truckers receive full participation credit as long as
the entity has performed a commercially useful function on the project.

If any question exists concerning the reports accuracy, require a written explanation
from the contractor. The response must explain any differences between the initial plan
and the final summary, unless the contractors comments on the final DBE or DVBE
report are in sufficient detail to provide the explanation. Examples of items the
contractor would need to explain in writing include why the names of lower-tier
subcontractors, the work items, or dollar figures do not match the contractors initial
plan. Attach the explanation to the final DBE or DVBE report. The written explanation
is not required for projects that do not have specific percentage goals for DBE or
DVBE participation or final projects that show no change from the DBE or DVBE
commitment.
For federally funded projects only, if the contractors DBE attainment falls short of the
contract commitment, hold only the amount of contract funds necessary to meet the
original DBE contract goal. If funds were previously withheld from the contractor for
failure to meet DBE participation requirements, continue to hold only the amount of
contract funds necessary to meet the original DBE contract goal. Any penalties
previously assessed for violations of the Fair Practices Act are not returned to the
contractor, even if the contractor meets the DBE commitment with other DBE firms.
For contracts with DVBE participation commitments, do not return previously
withheld funds to the contractor. If the contractor does not attain the original goal for
reasons beyond their control, then no funds should be withheld. For example, if a
change order eliminates all or a portion of an item originally designated to be
performed by a DBE or DVBE, this situation is beyond the contractors control.
Conversely, if a change order increases the work allocated to a DBE or DVBE, the
contractor is not required to have the DBE or DVBE perform the work, but should be
encouraged to do so. Consult with the district labor compliance manager for questions
regarding withheld funds for DBE or DVBE participation.
If no issues with the final utilization reports are identified, the resident engineer signs
the final report. For federally funded contracts, the signature of the resident engineer
provides written certification of DBE participation through onsite monitoring and
record review activities. The final DBE or DVBE report (together with the contractors
narrative) must be sent to the Office of Business and Economic Opportunity (OBEO)
by email at [email protected]. A copy should also be sent to the district
construction office.
If the contractor does not submit the final utilization reports, take the appropriate
deduction on the after-acceptance estimate. For federal-aid contracts, withhold
$10,000. For state-funded contracts, initiate an other outstanding document (OOD)
withhold. For more information on these withholds refer to Section 3-907A, Payment
Before Final Estimate, of this manual. Return the withhold when a completed report is
submitted and verified.
8-305B Disadvantaged Business Enterprises Certification Status Change (Federal-
Aid Contracts)
To document and report changes to DBE certification, the contractor must complete
Form CEM-2403F, Final Report - Disadvantaged Business Enterprises (DBE)
Certification Status Change. The form must list the amount of money paid to the DBE
while it was certified.
The contractor must submit the form at the contracts completion, regardless of any
changes in DBE status. If no change in DBE status occurs during the life of the

contract, the contractor must write, no change across the fields of Form CEM-2403F.
If the prime contractor fails to submit the form, include this report as part of the OOD
deduction when preparing the after-acceptance payment.
8-306 Caltrans Office of Business and Economic Opportunity 8-306
Caltrans OBEO develops policy related to and generally administers and oversees the Caltrans Office of
DBE program for Caltrans. Additionally, among other duties, OBEO certifies DBEs, Business and
publishes the lists of the certified firms, and determines whether those firms meet the Economic
requirements of applicable federal regulations. DGS certifies DVBEs, and determines Opportunity
whether these firms meet the requirements of applicable state regulations.
OBEO also approves contract goals, determines goal attainment during the contract
award process, and performs external equal employment opportunity compliance
reviews of Caltrans contractors, including use of DBE and DVBE firms.
Although overall program responsibility rests with OBEO, specific construction project
responsibility rests with district construction and the Division of Construction. Be
aware of the general contract requirements related to use of DBE and DVBE firms and
equal employment opportunity, and when a question arises about the requirements or
when a violation of the requirements has apparently occurred, immediately notify the
district construction office.
If the district needs assistance, the district contacts the Division of Construction labor
compliance manager. If a complaint is received from a DBE or DVBE firm regarding
treatment on the project, and the firm alleges that the claimed mistreatment is due to its
DBE or DVBE status, promptly notify the district labor compliance officer. If an
investigation or other action is appropriate, the district labor compliance officer will
make a request to the Division of Construction.
The Division of Construction will arrange for any necessary additional steps, including
assistance from other functions, such as the Legal Service Center, OBEO, or Audits
and Investigations. District construction should only take additional actions that may be
necessary after receiving the Division of Constructions advice and guidance.

Example 8-3.1. Second Notice, Contractor Has Failed to Respond
to Verbal Notice on Nonuse of DVBE
[Contract Identification]
[Todays Date]
[Contractor's Superintendent]
[Prime Contractor]
[Job Site Address]
Dear [Superintendent]:
On [date], the work on Contract Item [contract item ##, description of item] apparently
was being done by employees of [name of firm]. Our records indicate that your company
stated in its DVBE use plan that this work would be done by [name of DVBE firm]. On
[notification date], I called your attention to this apparent violation of the contract, yet
[name of firm] has continued to perform work on curbs and gutters. Be advised that,
pursuant to the paragraph titled Subcontracting in Section 5 of the contract provisions,
no payment will be made for the work that was allocated to the listed subcontractor, but
performed by [name of firm].
To avoid the possibility of further consequences for violating the provisions of the
contract, we suggest that you either comply with your companys original DVBE use
plan or submit a request in writing to make a change. Any request for change must detail
your companys reasons for that change, and those reasons must be one of those
allowable under the contract provisions. If your request to remove the originally listed
subcontractor is approved, you are further advised that you must either replace the value
of work to be done by DVBEs with other DVBEs or small businesses, subject to Caltrans
and the Department of General Services approval. This process can be fairly lengthy, and
we urge you to immediately take such steps as are necessary. You are cautioned that we
will be unable to authorize either increased costs or time due to your failure to comply
with your original contractual commitment.
We are sending copies of this letter to your company's home office and to Caltrans
headquarters office in Sacramento. Please contact me if I can assist you in your efforts to
fulfill your contract.
Sincerely,
Resident Engineer
cc: Prime Contractor, Home Office

HQ Construction Program
RE File
Note 1: The above letter concerns the least complicated situations in which the prime contractor is doing
work planned to be sublet to a DVBE. If a second subcontractor is involved, other contract
specifications are probably being violated; for instance, the following:
Standard Specifications Section 5-1.13 [8-1.01] "Subcontracting"Lack of prior notice of
subcontract (if state funded).
Sections 41004114, "Subletting and Subcontracting Fair Practices Act," of the Public Contract
CodeSubstitutions for listed subcontractors without the engineers approval will result in a
penalty of up to 10 percent of the contract item amount.
Note 2: When subcontractor approval or notice requirements are involved, the letter to the prime contractor
should refer to subcontracting and DVBE provisions rather than merely DVBE provisions.
When the subcontractor listing law is involved, the letter must clearly address both the Subletting
and Subcontracting Fair Practices Act and DVBE violations.

Chapter 9- Projects
Funded by Others
Chapter 9 Projects Funded by Others
Section 1 Construction Contract Administration for Projects

Funded by Others
9-101 General
9-102 Advertise, Award, and Administer Construction Contracts
9-103 Caltrans Administered Projects Funded by Others
9-103A Requesting Additional Funds for Local Federal-Aid (Subvention) Projects
9-103B Requesting Additional Funds for Locally Funded Projects

Construction Contract Administration for Projects Funded by Others 9-1.i
Construction
Section 1 Construction Contract Administration for Contract
Projects Funded by Others Administration
for Projects
Funded by
Others
9-101 General 9-101
Caltrans encourages local and private funding of state highway improvements. Local General
agencies develop and implement local funding programs that supplement federal and
state funding programs to meet their current and future transportation needs. Projects
funded by others that are constructed on the state highway system are sponsored by a
city, county, local transportation authority, local transit agency, or private entity and
use local or private funding.
Local revenues for state highway projects may include local sales tax, other local
funds, local federal-aid funds (Surface Transportation Program [STP], Congestion
Mitigation Air Quality [CMAQ], Transportation Enhancement Activities [TEA], and
other funds), and private funds. Local agencies may combine their local funds with
state and federal funds (State Transportation Improvement Program [STIP],
Interregional Improvement Program [IIP], State Highway Operation and Protection
Program and Minor Projects [SHOPP and Minor]) to develop transportation
improvements.
The term local agency used throughout this section means any public entity (federal,
state, regional transportation planning agency [RTPA], county, city, or other local
government entity) that sponsors or administers a construction contract on the state
highway system. In addition, any private entity that sponsors or administers
construction contracts on the state highway system, unless otherwise noted, can be
considered a local agency.
Caltrans policy states that the local or private entities sponsoring state highway system
projects financed with local and private funds are responsible for construction contract
administration. Caltrans will consider performing construction contract administration
on a reimbursed basis in certain cases that are described in Section 9-103 of this
manual.
9-102 Advertise, Award, and Administer Construction Contracts 9-102
Caltrans policy states that advertising, award, and contract administration shall not be Advertise, Award,
divided among different entities; that is, the entity that advertises the project shall also and Administer
award and administer the construction contract. Only the Chief, Division of Construction
Construction can waive this policy. Contracts

Construction Contract Administration for Projects Funded by Others 9-1.1
9-103 9-103 Caltrans Administered Projects Funded by Others
Caltrans The district may honor local agency requests that Caltrans advertise, award, and
Administered administer the construction contract for local funded projects at the discretion of the
Projects Funded by district director, and subject to availability of resources. The local agency must accept
Others the processing procedures normally applied to regular state highway projects, since the
local funded project will be processed along with Caltrans regular workload associated
with developing the statewide transportation program.
The district director determines the appropriate method for advertising, awarding, and
administering a construction contract project funded by others. The district director
should consider advertising, awarding, and administering contracts in these instances:
The project involves major urban freeway or expressway construction, where
heavy public traffic will occur through construction.
The project requires extensive night work.
The project involves long and unusual structures.
The Federal Highway Administration requests administration by Caltrans.
Caltrans administered projects that are funded by others follow this manual and the
terms of the cooperative agreement. Whenever Caltrans advertises, awards, and
administers the contract, the project is considered state administered. Caltrans
personnel perform the construction engineering in most cases. Arrangements may be
made, however; for Caltrans to provide the resident engineer, structures representative,
lead inspectors, and the remainder of the construction engineering staff to be local
agency personnel, local agency hired consultants, or a combination of the two. In the
latter case, the district (not the local agency) must ensure that such a project is properly
staffed. The district must not allow a project to be inadequately staffed because the
local agency does not furnish the expected personnel. The cost of the construction
engineering team provided by a local agency is considered part of the local agencys
share of the project costs.
Caltrans personnel make charges against the expense authorization for state
administered projects similar to charging practices used on Caltrans projects. As a
result of using this charging method, the local agency shares the engineering costs in
accordance with the cooperative agreement between the local agency and Caltrans.
Charges made for the local agencys personnel or consultants on state administered
projects are also charged against the project and shared in accordance with the
cooperative agreement. The method of charging the project for local agency personnel
may vary depending on the entity and the agreement.
The Caltrans claims process in consultation with the fund provider is used when
Caltrans administers a construction contract. For more information about this process,
refer to Section 5-4, Disputes, of this manual. The agreement must state that the fund
provider will abide by the outcome of the Caltrans claims process.
9-103A Requesting Additional Funds for Local Federal-Aid (Subvention) Projects
If the project is funded in whole or part with local federal-aid funds, and the resident
engineer determines that additional funds are needed, the resident engineer follows the
procedures outlined in Section 5-203, Obtaining Additional Funds, of this manual,
with the following changes:

9-1.2 Construction Contract Administration for Projects Funded by Others
The meeting with the resident engineer, construction engineer, construction field
coordinator, and project manager to discuss funding needs and alternatives shall
also include the district local assistance engineer and a representative of the local
agency that sponsored the project. The meeting should include a representative of
the local RTPA if the local federal-aid funds are programmed by the RTPA. The
meeting should include the Federal Highway Administration transportation
engineer for full oversight projects.
The memorandum to request additional funds will be processed through the RTPA
or district local assistance engineer. The meeting participants decide who receives
the memorandum.
If state funds are funding part of the project costs, the meeting will determine the
responsibilities for the additional funds request. Project managers process the
request for additional state (STIP, IIP, SHOPP and Minor) funds as outlined in
Section 9-103B of this manual. The request for additional local federal-aid funds
will be processed as determined at the meeting.
9-103B Requesting Additional Funds for Locally Funded Projects
If the project is not funded by local federal-aid funds, and the resident engineer
determines that additional funds are needed, the resident engineer follows the
procedures outlined in Section 5-203, Obtaining Additional Funds, of this manual,
with the following changes:
Include a representative of the local agency that sponsored the project when
discussing funding need and alternatives during the meeting with the resident
engineer, construction engineer, construction field coordinator, and project
manager.
Send the memorandum to request additional local funds to the local agency.
Determine the split on the responsibility for the additional funds request during the
meeting, if state funds are funding part of the project costs. Project managers
process the request for additional state (STIP, IIP, SHOPP and Minor) funds as
outlined. The request for additional local funds will be processed as determined at
the meeting.

Construction Contract Administration for Projects Funded by Others 9-1.3
Section 2 Projects Administered by a Local Agency on the State

Highway System
9-201 General
9-202 Quality
9-203 Reimbursement
9-204 Source Inspection
9-205 Project Review

Projects Administered by a Local Agency on the State Highway System 9-2.i
Projects
Section 2 Projects Administered by a Local Agency on the Administered by
State Highway System a Local Agency
on the State
Highway System
9-201 General 9-201

Ensure that all projects on or proposed for the state highway system are constructed General
efficiently and effectively in accordance with Deputy Directive 23-R1, Roles and
Responsibilities for Development of Projects on the State Highway System. The
directive requires local agencies to conform to Caltrans standards and practices as
defined in policies, procedures, manuals, and guidance documents.
The implementing agency is that entity charged with successful completion of each
project component as defined in Government Code, Section 14529 (b) of which one
component is construction, construction management, and engineering, including
surveys and inspection. To ensure clear lines of responsibility, contract advertisement,
award, and administration shall be completed by the same implementing agency.
Work in partnership with the local agency by committing to fulfill all Caltrans
promises as established by Directors Policy DP-10, Department Commitments.
These commitments will have been agreed to in the cooperative agreement and the
encroachment permit.
Obtain a copy of the cooperative agreement and encroachment permit before work
begins. Comply with the terms of both agreements or jointly amend them as necessary.
Perform quality management work in accordance with Deputy Directive 90, Funding
of Quality Management Work on State Highway Projects, that outlines how quality
management work will be performed for state highway system projects. That directive
requires the implementing agency, other than Caltrans, to develop a quality control
plan for construction administration.
The local agency must obtain an encroachment permit and use Caltrans approved plans
and specifications before performing any construction administration or work on the
state highway system. The local agency will provide the resident engineer and
construction engineering team. Caltrans will provide independent quality assurance
(IQA) and oversight of construction.
The Construction Manual Supplement for Local Agency Resident Engineers and the
Local Agency Structure Representative Guidelines provide guidance to the
implementing agency when it administers a construction project that modifies,
maintains, or improves the state highway system. District construction and Office of
Structures Construction oversight engineers should provide copies of these guidelines
to the implementing agency at the project development team meeting where the
construction phase cooperative agreement is discussed and at the preconstruction

Projects Administered by a Local Agency on the State Highway System 9-2.1
meeting where roles, responsibilities, and procedures are discussed. The local agency is
expected to conform to these guidelines.
9-202 9-202 Quality

Quality When Caltrans is the implementing agency for construction administration, quality
management work consists of quality control, quality assurance, and IQA activities
described in the contract, structures construction technical manuals, and this manual.
When a government agency or private entity is the implementing agency, it is
responsible for implementing adequate quality control and quality assurance
procedures that ensure the project complies with Caltrans policies, procedures,
standards and best practices such that the local agencys:
1. Contractor is responsible for quality control that consists of operational techniques
and activities that are performed or conducted to fulfill contract requirements for
quality.
2. Resident engineer is responsible for quality assurance that consists of planned and
systematic actions necessary to provide confidence that product or service quality
will satisfy the contract requirements as detailed in the Construction Manual
Supplement for Local Agency Resident Engineer.
3. Structure representative is responsible for providing quality assurance as detailed
in the Local Agency Structure Representative Guidelines.
The Construction Manual Supplement for Local Agency Resident Engineers and the
Local Agency Structure Representative Guidelines are used by government agencies
and private entities to prepare their quality management plan and to administrate the
construction contract. A recommended local agency quality management plan outline
is available at:
http://www.dot.ca.gov/hq/construc/CPDirectives/LA_QMP_for_Construction_Ph
ase.pdf
Caltrans district construction, with input from structures construction for projects
involving structures, must approve the quality management plan before the
encroachment permit for construction is issued.
Caltrans oversees construction administration of the project administered by local
agencies in order to ensure compliance with state and federal regulations and laws, and
Caltrans standards. This IQA and oversight means Caltrans provides policy and
procedural direction to non-Caltrans organizations, personnel, or companies
administering construction contracts on projects under encroachment permit on the
state highway system. Caltrans provides direction for similar organizations and
personnel for projects that will become a future part of the state highway system.
The Division of Constructions Oversight Engineer Field Guidelines provides policy
and procedures related to the duties of Caltrans construction IQA and oversight
personnel on local agency administered construction projects. These guidelines
establish Caltrans policy and procedure, and are to be used as a resource for Caltrans
employees who provide IQA and oversight on projects administered by others on the
existing or future state highway system. The Oversight Engineer Field Guidelines
should not be used as a substitute for the encroachment permit or the cooperative
agreement.

9-2.2 Projects Administered by a Local Agency on the State Highway System
9-203 Reimbursement 9-203
When the implementing agency is a private entity, Caltrans performs IQA services at Reimbursement
the private entitys expense. Caltrans may also perform a limited amount of quality
assurance work for the private entity on a reimbursement basis.
When another government agency is the implementing agency, Caltrans IQA services
are provided at state expense. Caltrans may perform a limited amount of the
government agencys quality assurance responsibilities on a reimbursed basis. These
activities could include source inspection, acceptance testing, and construction
inspection.
9-204 Source Inspection 9-204
Caltrans may provide source inspection on a reimbursed basis to the implementing Source Inspection
agency when it is not the implementing agency.
The local agency is required to prepare a Source Inspection Quality Management Plan
(SIQMP) if it proposes to perform its own source inspection.
The state materials engineer will ensure that the implementing agency has prepared a
SIQMP. Prior to issuance of the encroachment permit for construction, the SIQMP
must be approved by the state materials engineer.
The recommended SIQMP Outline was introduced with the Materials Engineering
and Testing Services Source Inspection Quality Management Plan Outline
memorandum dated April 20, 2012 from the Division of Engineering Services, Deputy
Division Chief for Materials Engineering and Testing Services (METS).
METS developed the SIQMP Outline to help local agencies manage their source
inspection efforts when administering construction projects within the state highway
system. The outline is available at:
http://www.dot.ca.gov/hq/esc/Translab/OSM/documents/agencyresources/SIQMP
_Outline.pdf
9-205 Project Review 9-205
Caltrans, the local agency, and the contractor review a locally administered state Project Review
highway construction project prior to contract acceptance.
Prior to this review, Caltrans oversight personnel perform a separate review and
coordinate Caltrans safety and maintenance reviews of the local agency project at 90
percent complete.
Before local agency contract acceptance, the Caltrans oversight personnel discuss the
findings of the independent review, safety review, maintenance review, and
contractors final project review with the local agency.
The local agency must submit all required contract, technical, and administrative
documents, including as-built plans, change orders, and project history file before
Caltrans accepts the project.
Caltrans oversight personnel must use Form OFG-6, Final Acceptance Checklist for
Caltrans Oversight Projects, to facilitate the review and acceptance by Caltrans of
local agency or private entity-administered construction projects on the state highway
system.

Projects Administered by a Local Agency on the State Highway System 9-2.3
Index
Index
A
Abbreviations.....................................................................................................................................3-3.1
AC, see Asphalt concrete
A
Acceptance of contract................................................................................................................... 3-5.41
Acceptance of materials.........................................................................................................6-1.9, 6-2.1
Acceptance records ...........................................................................................................................6-1.8
Acceptance sampling and testing requirements tables ............................................................... 6-1.10
Acceptance tests ................................................................................................................................6-1.3
Acceptance testing and evaluation, hot mix asphalt ................................................................. 4-39.32
Access to the work ............................................................................................................................3-5.1
Additives
chemical, water....................................................................................................................... 4-17.1
hot mix asphalt ....................................................................................................................... 4-39.1
slurry seal and micro-surfacing ............................................................................................ 4-37.1
soil.............................................................................................................................................4.24.1
Adhesive ................................. 4-12.3, 4-40.2, 4-41.2, 4-41.8, 4-73.2, 4-85.1, 4-95.1, 6-1.37, 6-2.20
Adjustment in compensation.............................................................................................. 5-1.36, 5-3.8
Adjustment of overhead costs .......................................... 3-9.17, 3-9.30, 5-3.6, 5-3.7, 5-3.15, 5-3.31
Administration ...................................................................................................................................1-0.1
Aerially deposited lead .................................................................................................................. 7-1.24
Aggregate bases ................................................................................................................. 4-26.1, 6-1.16
Aggregate subbases ........................................................................................................... 4-25.1, 6-1.15
Agreements .......................................................................................................................... 3-5.10, 3-6.2
Air entrainment ........................................................................................ 4-40.6, 4-90.9, 6-1.19, 6-1.33
Air pollution control ............................................................................................. 4-16.2, 4-84.1, 7-1.10
Alternative dispute resolution process ................................................................. 3-5.34, 3-5.35, 5-4.4
Antistrip treatment of aggregates and hot mix asphalt ................................................ 4-39.8, 4-39.17
Appearance, job site ....................................................................................................................... 3-5.19
Apprentices .................................................................................................. 8-1.6, 8-1.17, 8-1.21, 8-2.3
Approach slabs .................................................................................................................. 4-42.3, 4-51.1
Arbitration ............................................................................................................. 3-9.34, 5-4.17, 5-4.55
Areas for use ................................................................................................................................... 3-5.19
Asbestos sheet packing .................................................................................................................. 6-2.23
Asphalt
hot mix, warm mix, rubberized ............................................................................................ 4-39.1
membrane waterproofing ...................................................................................................... 4-54.1
performance grade ................................................................................................................. 4-92.1
Asphalt rubber binder .................................................................................................................... 4-92.1
Asphalt rubber latex joint filler ..................................................................................................... 6-2.31
Asphalt treated permeable base ....................................................................................... 4-29.2, 6-1.21
Asphaltic emulsion, polymer-modified ............................................................. 4-37.1, 4-94.1, 6-1.24
Asphaltic emulsions ....................................................................................................................... 4-94.1
Asphalts ........................................................................................................................................... 4-92.1
Assignment ........................................................................................................................................3-5.3
Audits............................................................................................................................................... 5-4.16
Authority of engineer ........................................................................................................................3-5.1

Index I-1
Index
Automotive equipment .....................................................................................................................1-4.3

Award and execution of contract .....................................................................................................3-3.1
B B
Backflow preventers, irrigation systems ....................................................................... 3-8.18, 4-20.14
Bars, raised (precast) ...................................................................................................................... 6-1.54
Barbed wire ........................................................................................................... 4-80.1, 6-1.51, 6-2.23
Barricades ............................................................................................................ 4-12.2, 4-12.6, 4-12.12
Barriers, railings and ...................................................................................................................... 4-83.1
Basement soil .................................................................................................................................. 5-1.28
Bases
aggregate .................................................................................................................... 4-26.1, 6-1.16
asphalt treated permeable ......................................................................................... 4-29.2, 6-1.21
cement treated................................................................................................. 4-27.1, 6-1.17, 6-3.4
cement-treated permeable ........................................................................................ 4-29.2, 6-1.22
concrete ................................................................................................................................... 4-28.1
lean concrete .............................................................................................................. 4-28.1, 6-1.19
Batch plants ................................................................................................................................... 4-39.23
Bearing devices, structures ............................................................................................................ 4-51.3
Beginning of work.............................................................................................................................3-8.2
Bid openings ......................................................................................................................................3-2.1
Bids .....................................................................................................................................................3-2.1
Bitumen ratio .................................................................................................................................. 4-37.7
Bituminous adhesive, pavement markers .................................................................................... 4-85.1
Bituminous seals................................................................................................................ 4-37.1, 6-1.24
Blasting ............................................................................................................................................ 4-19.2
Board of Review................................................................................................................................5-4.6
Board of Review report ................................................................................................................. 5-4.19
Bolted connections ......................................................................................................................... 4-56.3
Borrow
excavation .................................................................................................4-19.6, 4-19.14, 4-19.17
imported ................................................................................ 3-6.2, 4-19.10, 6-1.11, 7-1.9, 8-1.13
local................................................................................. 3-6.3, 4-19.6, 4-19.10, 4-19.14, 4-19.17
Brick................................................................................................................................................. 6-2.23
Bridge deck ........................................................................................................... 4-51.1, 4-86.6, 8-1.15
Bridge removal ............................................................................................................................... 4-15.3
Bridge railing ..................................................................................................................... 4-83.3, 6-2.18
Budgeting ..........................................................................................................1-1.2, 1-3.2, 3-8.4, 5-2.1
Buy America requirements .......................................................................... 3-6.4, 5-0.8, 5-3.27, 6-2.3
C C
Cable railing .................................................................................................................................... 4-83.3
Calibration program for equipment .................................................................................................6-3.2
California Manual on Uniform Traffic Control Devices (California MUTCD) ................................
............................................................................................................................ 1-3.3, 2-2.1, 4-12.1

I-2 Index
Index
California test methods ..................................................................................................... 1-3.3, 4-39.38
California test number:
105 .................................................................................................... 6-1.17, 6-1.19, 6-1.25, 6-1.26
109 ....................................................................... 3-9.3, 4-90.6, 4-90.8, 6-1.1, 6-2.6, 6-3.6, 6-3.7
110 ..............................................................................................................................................6-3.3
115 ..............................................................................................................................................6-3.3
121 ...................................................................................................................................1-4.3, 6-3.6
125 ............................ 4-39.2, 4-39.5, 4-39.9, 4-39.12, 4-39.17 thru 4-39.19, 4-39.21, 4-39.26,
4-39.27, 4-90.2, 4-90.6, 4-90.8, 4-92.2, 4-92.4, 4-92.5, 6-1.1, 6-1.3, 6-2.31, 6-2-32
202 ..............................................6-1.10 thru 6-1.13, 6-1.15 thru 6-1.17, 6-1.19, 6-1.21, 6-1.22,
6-1.24 thru 6-1.26, 6-1.31, 6-1.32, 6-1.39, 6-1.40, 6-1.44, 6-1.45, 6-1.53, 6-3.3, 6-3.4
204 ............................................................................................................... 3-39.8, 4-39.10, 6-1.11
205 ................................................................................6-1.12, 6-1.21, 6-1.24 thru 6-1.26, 6-1.53
206 .................................................................................................... 6-1.32, 6-1.40, 6-1.45, 6-1.54
207 ................................................................................................................. 6-1.32, 6-1.40, 6-1.45
208 ........................................................................................................................................... 6-1.27
211 ......................................................6-1.21, 6-1.22, 6-1.24 thru 6-1.26, 6-1.31, 6-1.39, 6-1.44
212 ........................................................................................................................................... 6-1.12
213 ................................................................................................................. 6-1.31, 6-1.39, 6-1.44
214 .................................................................................................... 6-1.22, 6-1.32, 6-1.40, 6-1.45
216 ................................................................................6-1.10, 6-1.11, 6-1.14 thru 6-1.16, 6-1.18
217 ....... 6-1.10 thru 6-1.12, 6-1.15 thru 6-1.17, 6-1.19, 6-1.25, 6-1.26, 6-1.31, 6-1.39, 6-1.44
223 ........................................................................................................................................... 4-90.8
226 ..................................................................... 4-39.9, 4-39.18, 4-39.20, 6-1.13, 6-1.16, 6-1.18
227 ............................................................ 6-1.21, 6-1.22, 6-1.24, 6-1.25, 6-1.31, 6-1.39, 6-1.44
229 .................................. 6-1.12, 6-1.16, 6-1.22, 6-1.25, 6-1.31, 6-1.39, 6-1.44, 6-1.53, 6-1.54
231 ...........................................4-25.2, 4-26.3, 6-1.10, 6-1.11, 6-1.14 thru 6-1.16, 6-1.18, 6-3.6
301 ............................................................................................. 6-1.10, 6-1.11, 6-1.15 thru 6-1.17
302 ................................................................................................................. 6-1.21, 6-1.24, 6-1.25
308 ......................................................................................................................................... 4-39.30
309 .............................................................................................................4-39.28, 4-39.30, 6-1.28
310 ......................................................................................................................................... , 6-1.21
312 ................................................................................................................... 6-1.17, 6-1.18, 6-3.4
338 ................................................................................................................... 4-27.2, 6-1.18, 6-3.4
339 .............................................................................................................................. 4-37.3, 6-1.30
342 ................................................................................................................. 4-40.9, 4-42.3, 6-1.35
362 ........................................................................................................................................... 6-1.21
366 ........................................................................................................................................... 6-1.28
367 .............................................................................................................................. 6-1.28, 6-1.29
368 ........................................................................................................................................... 4-39.4
370 ............................................................................................. 4-39.9, 4-39.18, 4-39.20, 4-39.23
371 ....................................................................... 4-39.5, 4-39.8, 4-39.10, 4-39.28, 6-1.4, 6-1.29
373 ........................................................................................................................................... 6-1.13
375 ............................................................................................................................ 4-39.30, 6-1.28
379 ........................................................................................................................................... 6-1.21
382 ........................................................................................................................................... 6-1.28

Index I-3
Index
397 ........................................................................................................................................... 6-1.28

401 ........................................................................................................................................... 4-94.1
406 ........................................................................................................................................... 6-2.33
415 .................................................................................................... 6-1.33, 6-1.41, 6-1.46, 6-1.49
417 ..........................................................................6-1.17, 6-1.19, 6-1.23, 6-1.33, 6-1.41, 6-1.46
422 ..........................................................................6-1.17, 6-1.19, 6-1.23, 6-1.33, 6-1.41, 6-1.46
504 ...................................... 4-90.9, 6-1.20, 6-1.34, 6-1.42, 6-1.47, 6-1.48, 6-1.50, 6-3.3, 6-3.5
518 ...............................................................4-72.5, 4-90.2, 4-90.9, 6-1.42, 6-1.47, 6-1.50, 6-3.5
521 .......................................................................................4-62.2, 4-90.2, 6-1.42, 6-1.48, 6-1.50
523 ................................................................................................................. 4-40.5, 4-90.2, 6-1.34
524 ........................................................................................................................................... 4-41.8
526 .................................................................................................... 4-39.30, 4-40.9, 4-42.3, 6-3.3
529 .......................................................................................4-90.9, 6-1.34, 6-1.42, 6-1.47, 6-1.48
531 ........................................................................................................................................... 6-1.35
533 ...................4-90.2, 4-90.9, 4-90.10, 4-90.13, 6-1.20, 6-1.34, 6-1.42, 6-1.47, 6-1.48, 6-3.5
535 .............................................................................................................................. 4-28.5, 4-40.8
539 ................................................................................................................................ 4-90.2, 6-3.4
540 .................................................................4-90.2, 6-1.8, 6-1.42, 6-1.47, 6-1.48, 6-1.50, 6-3.5
541 .............................................................................................................................. 4-41.4, 6-1.53
543 ..............................................................................................................................................6-3.5
548 ........................................................................................................................................... 6-1.19
643 ........................................................................................................................................... 6-1.11
Carpobrotus cuttings ...................................................................................................................... 4-20.5
Cash expenditure voucher ............................................................................................................. 5-1.21
Cast-in-place
concrete pipe ........................................................................................................................... 3-8.18
concrete ................................................................................................................................... 4-50.1
Cement mortar ................................................................................................................................ 4-65.2
Cement treated
permeable base ....................................................................................................................... 4-29.2
permeable material.................................................................................................... 4-68.2, 4-29.1
Cement treated bases.........................................................................................................4-27.1, 6-1-17
Certificate of environmental compliance..................................................................................... 7-1.35
Certification of samplers and testers ...............................................................................................6-1.1
Certification program for suppliers of asphalt.............................................................. 4-39.38, 4-92.2
Certifications ................................................................................................................................... 3-5.10
Chain link fence .............................................................................................................................. 4-80.1
Chain link railing ............................................................................................................................ 4-83.3
Changeable message signs, portable ................................................................ 4-12.3, 4-12.8, 4-12.13
Change order ......................................................................................................................................5-3.1
Change order memorandum ......................................................................................................... 5-3.16
Change order category code.......................................................................................................... 5-3.18
Change order requirements for FHWA ....................................................................................... 5-3.26
Channelizers....................................................................................................... 4-12.3, 4-12-7, 4-12-13
Character of workers .........................................................................................................................3-5.9

I-4 Index
Index
Claims .................................................................................................................................................5-4.3
avoidance ...................................................................................................................................5-4.2
Minor B contracts................................................................................................................... 5-4.11
overhead .................................................................................................................................. 5-4.14
payments ................................................................................................................................. 5-4-14
resolution process ......................................................................................................................5-4.4
settlements............................................................................................................................... 5-4.12
Cleanup............................................................................................................................... 2-2.10, 3-5.19
Cleanup, final ....................................................................................................................... 3-4.8, 4-22.1
Clearance and bridge permit rating changes ..................................................................................3-7.4
Clearing and grubbing ................................................................................................................... 4-16.1
Climate map .................................................................................................................................... 4-92.1
Coating tests .......................................................................................................................................6-1.4
Compaction ................................................................................................................................... 4-19.13
determination by cores ........................................................................................................ 4-39.30
Compliance, Certificates of ..............................................................................................................3-6.4
Compressive strength samples and tests ...................................................... 6-1.13 thru 6-1.50, 6-3.4
Concrete
compressive strength .................................................................................................. 4-90.7, 6-3.4
curbs and sidewalks ............................................................................................................... 4-73.1
lightweight ............................................................................................................................ 4-90.14
minor ..................................................................................................................................... 4-90.12
pavement, portland cement ................................................................................................... 4-90.1
precast.................................................................................................................................... 4-90.13
railing....................................................................................................................................... 4-83.4
rapid strength ........................................................................................................................ 4-90.12
recycled ................................................................................................................................... 4-90.1
removal....................................................................................................................... 4-15.3, 4-41.4
repair ........................................................................................................................................ 4-41.1
retaining walls........................................................2-2.17, 4-19.8, 4-51.1, 4-80.1, 4-83.3, 4-88.1
rapid strength ........................................................................................................... 4-41.3, 4-90.12
self-consolidating ................................................................................................................. 4-90.14
structures ................................................................................................................................. 4-51.1
Concrete backfill for pipe trenches ............................................................................................... 4-62.1
Concrete barriers............................................................................................................................. 4-83.4
Concrete structures ......................................................................................................................... 4-51.1
Cones, traffic ....................................................................................................... 4-12.3, 4-12.7, 4-12.13
Construction area signs ...................................................................................... 4-12.2, 4-12.7, 4-12.13
Construction area traffic control devices ..................................................................................... 4-12.1
Contingency plan............................................................................................................................ 2-2.13
Continuous mixing plants............................................................................................................ 4-39.23
Contract acceptance, see Acceptance of contract
Control of
materials .....................................................................................................................................3-6.1
work ............................................................................................................................................3-5.1
Controlling operation ........................................................ 2-2.16, 3-5.33, 3-8.5, 4-20.7, 5-0.6, 5-4.14

Index I-5
Index
Coordination with other entities.................................................................................................... 3-5.10

Copeland Act ....................................................................................................................... 8-1.7, 8-1.20
Corrugated metal pipe.................................................................................................................... 4-66.1
Cost reduction incentive, see Value engineering
COZEEP (Construction Zone Enhanced Enforcement Program) ............................................ 2-2.15
Critical path method ................................................................................................. 3-8.1, 5-0.5, 5-1.28
Culverts
concrete ...................................................................................................................... 4-51.1, 4-61.1
alternative slotted pipe ........................................................................................................... 4-62.1
temporary ................................................................................................................................ 4-62.1
structural plate culverts .......................................................................................................... 4-67.1
Curb ramps (wheelchair ramps) ................................................................................................... 4-73.1
Curbs and sidewalks....................................................................................................................... 4-73.1
Curing compound...................................................4-90.7, 6-1.20 thru 6-1.50, 6-2.16, 6-2.24, 7-1.11
D D
Daily extra work .........................................................................5-1.34, 5-1.37, 5-1.43, 5-1.53, 5-1.76
Damage, responsibility for ............................................................................................................ 3-5.25
Damages, liquidated....................................................................................................................... 3-8.20
Dampproofing................................................................................................................................. 4-54.1
Davis Bacon Act............................................................................................................................. 8-1.20
DBE ............................................................................................................3-5.4 thru 3-5.9, 8-1.2, 8-3.1
Decreased quantities, increased and ............................................................................................. 3-9.15
Defective materials......................................................................................................................... 3-5.19
Delays, right of way ....................................................................................................................... 3-5.22
Delegation of authority ..................................................................................................... 5-4.17, 5-4.53
Delineation ................................................................................................. 2-2.9, 4-12.1, 4-82.1, 4-84.1
Delineators, markers ...................................................................................................................... 4-82.1
Department-furnished materials ......................................................................................................3-6.1
Details, shop ......................................................................................................................... 4-56.2, 6-2.4
Detours..................................................................................................................... 2-2.20, 3-7.2, 5-3.25
Differing site conditions ...................................................................................................................3-4.2
Disabled veteran business enterprises (DVBE) .....................................3-5.4 thru 3-5.9, 8-1.2, 8-3.1
Disadvantaged business enterprises (DBE)............................................3-5.4 thru 3-5.9, 8-1.2, 8-3.1
Disposal of material outside the highway right-of-way ............................................................. 3-5.10
Disposal, staging and borrow sites (DSB) ......................................................................................7-1.7
Dispute process for acceptance tests .......................................................................................... 4-39.15
Dispute resolution board (DRB) ................................................................................................... 3-5.36
Disputes ................................................................................................................................ 3-5.31, 5-4.1
Drain hole ........................................................................................................................... 4-51.4, 4-86.7
Drainage inlets ................................................................................................................................ 4-51.1
Drainage pumping equipment....................................................................................................... 4-74.1
Drains, overside .............................................................................................................................. 4-69.1
Drains, subsurface (edge, geocomposite systems, horizontal, underdrains)............................ 4-68.1
Dry sieve analysis ..............................................................................................................................6-3.4

I-6 Index
Index
Dump truck rental........................................................................................................................... 3-9.13
Dust control ..................................................................................................................................... 7-1.10
Dust palliative ................................................................................................................................. 4-18.1
DVBE .........................................................................................................3-5.4 thru 3-5.9, 8-1.2, 8-3.1
E
Earthwork ........................................................................................................................................ 4-19.1
slipouts and slides................................................................................................................... 4-19.8
E
slope rounding ........................................................................................................................ 4-19.9
slopes, embankment............................................................................................................. 4-19.13
local borrow ................................................................... 3-6.3, 4-19.6, 4-19.10, 4-19.14, 4-19.17
Edge drains............................................................................................................ 4-29.2, 4-29.3, 4-68.1
Electrical systems ........................................................................................................................... 4-86.1
Eliminated items ................................................................................................................ 3-9.15, 5-3.13
Emergency contract administration.................................................................................................5-5.1
Employee complaints.............................................................................................................8-1.2, 8-2.2
Emulsions, asphaltic....................................................................................................................... 4-94.1
Engineering fabrics ........................................................................................................................ 4-88.1
Entrained air ............................................................................................. 4-40.6, 4-90.9, 6-1.19, 6-1.33
Environmental commitments record....................................................................................5-0.3, 7-1.1
Environmental compliance certification ...................................................................................... 7-1.35
Environmental hazards and safety procedures ............................................................................ 7-1.22
Environmental Quality Act ..............................................................................................................7-1.8
Epoxy............................................................................................................................................... 4-95.1
Equal employment opportunity .......................................................................................................8-2.1
Equipment, plant................................................................................................................................6-3.6
Equipment, pumping (and controls)............................................................................................. 4-74.1
Equipment rental rates ......................................................................................................................3-9.9
Erosion control................................................................................................................................ 4-21.1
Erosion control and highway planting ......................................................................................... 4-20.1
Excavation....................................................................................................................................... 4-19.1
Execution of contract, award and ....................................................................................................3-3.1
Expansion joint armor.................................................................................................................... 4-51.3
Extra work ......................................................................................... 3-4.1, 3-9.6, 5-1.60, 5-3.8, 5-3.15
F
Fabricated materials, acceptance of.................................................................................................6-2.1
Fabrication, out of state.....................................................................................................................3-6.5
F
Facilities, existing ........................................................................................................................... 4-15.1
Facility preservation ....................................................................................................................... 3-5.20
Fair Labor Standards Act..................................................................................................................3-7.1
False Information Act .................................................................................................................... 8-1.21
Falsework, erection or removal........................................................................................................3-7.2
lighting..................................................................................................................................... 4-86.9
safety...........................................................................................................................................2-1.4

Index I-7
Index
Federal-aid contracts on the national highway system............................................................... 3-8.26

Federal Highway Administration involvement in contract administration
high-profile projects ....................................................................................... 5-0.8, 5-3.17, 5-3.26
delegated projects ......................................................................................................................5-0.8
Fence, temporary ................................................................................................... 4-80.1, 6-2.30, 7-1.4
Fences .............................................................................................................................................. 4-80.1
Field
inspection ............................................................................................. 3-5.42, 3-6.1, 6-2.34, 6-3.1
laboratory ...................................................................................................................................6-3.2
office ...........................................................................................................................................1-4.1
testing equipment ......................................................................................................................6-3.2
Filter fabric ...................................................................................................................................... 4-88.1
Final cleanup ........................................................................................................................ 3-4.8, 4-22.1
Final inspection............................................................................................................................... 3-5.41
Finishing roadway .......................................................................................................................... 4-22.1
Flaggers ........................................................................................................................................... 4-12.2
Flagging ............................................................................................................................ 4-12.6, 4-12.12
Flashing arrow signs .......................................................................................... 4-12.2, 4-12.6, 4-12.12
Flashing beacons, portable ................................................................................ 4-12.2, 4-12.6, 4-12.13
Flexible start .......................................................................................................................................3-8.3
Fog seal coat.................................................................................................................................. 4-39.31
Force account payment ..........................................................................................................3-9.6, 5-3.5
Foreign materials ...............................................................................................................................3-6.4
Forms
CEM-0101, Resident Engineers Report of Assignment .....................................................5-1.1
CEM-0501, Relief from Maintenance....................................................................................5-1.2
CEM-0601, Construction Safety Report ................................................................................5-1.2
CEM-0602, Project Safety Program Statement.....................................................................5-1.2
CEM-0603, Major Construction Incident Notification .............................................2-3.2, 5-1.2
CEM-0606, Construction Safety Checklists ..........................................................................5-1.2
CEM-1101, Documents Bond of State Highway Oversight Projects.................................5-1.2
CEM-1201, Subcontracting Request ......................................................................................5-1.2
CEM-1202, Contractor Action RequestChange of Name/AddressAssignment of
Contract Monies................................................................................................................5-1.2
CEM-1203, Contractor Action RequestAssignment of Contract
Performance ......................................................................................................................5-1.3
CEM-1204, American Recovery and Reinvestment Act (ARRA) Monthly Employment
Report.................................................................................................................................5-1.3
CEM-1901, Burial Location of Soil Containing Aerially Deposited Lead ........................5-1.3
CEM-1902, Burial Location of Soil Containing Naturally
Occurring Asbestos ..........................................................................................................5-1.3
CEM-2001, National Pollution Discharge Elimination System Annual Certification .....5-1.3
CEM-2002, Notification of Construction (NOC) .................................................................5-1.3
CEM-2004, Notification of Completion of Construction (Desert Areas) ..........................5-1.3
CEM-2005, Notification of Rainfall Erosivity Waiver ........................................................5-1.3

I-8 Index
Index
Forms (continued):
CEM-2006, Legally Responsible Person Authorization of Approved
Signatory............................................................................................................................5-1.3
CEM 2006T, Legally Responsible Person Authorization of Approved SignatoryLake
Tahoe Hydrologic Unit ....................................................................................................5-1.4
CEM-2008, SWPPP/WPCP Amendment Certification and Acceptance ..........................5-1.4
CEM-2009, SWPPP/WPCP Amendments Log....................................................................5-1.4
CEM-2023, Stormwater Training Record .............................................................................5-1.4
CEM-2024, Stormwater Training Log ...................................................................................5-1.4
CEM-2030, Stormwater Site Inspection Report....................................................................5-1.4
CEM-2031, Daily Stormwater Site Inspection Report .........................................................5-1.4
CEM-2034, Stormwater Best Management Practices Status Report..................................5-1.4
CEM-2035, Stormwater Site Inspection Report Corrective
Actions Summary .............................................................................................................5-1.4
CEM-2040, Weather Forecast Log.........................................................................................5-1.4
CEM-2041, Weather Monitor Log .........................................................................................5-1.4
CEM-2045, Rain Event Action PlanHighway Construction Phase ...............................5-1.5
CEM-2045T, Rain Event Action PlanHighway Construction Phase
Contractor Action RequestLake Tahoe Hydrologic Unit ........................................5-1.5
CEM 2046, Rain Event Action PlanPlant Establishment Phase.....................................5-1.5
CEM-2047, Rain Event Action PlanInactive Project .......................................................5-1.5
CEM-2048, Storm Event Sampling and Analysis Plan........................................................5-1.5
CEM-2049, Qualifying Rain Event Sampling and Analysis Plan ......................................5-1.5
CEM-2049T, Qualifying Rain Event Sampling and Analysis PlanLake Tahoe
Hydrologic Unit ................................................................................................................5-1.5
CEM-2050, Sample Information, Identification, and Chain-of-Custody
Record ................................................................................................................................5-1.5
CEM-2051, Stormwater Sampling and Analysis Log..........................................................5-1.5
CEM-2052, Stormwater Sample Field Test Report..............................................................5-1.5
CEM-2054, Stormwater Sample Laboratory Test Report ...................................................5-1.5
CEM-2055, Stormwater Equipment Maintenance Log .......................................................5-1.5
CEM-2056, Stormwater Turbidity Meter Calibration Record ............................................5-1.6
CEM-2057, Stormwater pH Meter Calibration Record .......................................................5-1.6
CEM-2058, Stormwater Meter Calibration Record..............................................................5-1.6
CEM-2061, Notice of Discharge Report................................................................................5-1.6
CEM-2062, Numeric Action Level Exceedance Report......................................................5-1.6
CEM-2062T, Numeric Action Level Exceedance ReportLake Tahoe
Hydrologic Unit ................................................................................................................5-1.6
CEM-2063, Numeric Effluent Limitation Violation Report................................................5-1.6
CEM-2063T, Numeric Effluent Limitation Violation ReportLake Tahoe
Hydrologic Unit ................................................................................................................5-1.6
CEM-2065, Notice of Discharge Log Instructions ...............................................................5-1.6
CEM-2070, SWPPP/WPCP Annual Certification of Compliance .....................................5-1.6
CEM-2090, Notice of Completion of Construction..............................................................5-1.7
CEM-20CC, Attachment CC, Water Pollution Control Best Management
Practices List .....................................................................................................................5-1.7

Index I-9
Index
Forms (continued):
CEM-20DAPP, Appendix D, Notification Log ....................................................................5-1.7
CEM-20DCON, SWPPP/WPCP Attachment D, Contractor Personnel
Training Record ................................................................................................................5-1.7
CEM-20DSUB, SWPPP/WPCP Attachment D, Subcontractor Personnel Stormwater
Training Record ................................................................................................................5-1.7
CEM-20EE, SWPPP Attachment EE, Stormwater Sampling Locations...........................5-1.7
CEM-2101, COZEEP Daily Report .......................................................................................5-1.8
CEM-2102, COZEEP/MAZEEP Task Order .......................................................................5-1.8
CEM-2103, COZEEP/MAZEEP Cancellation Form ..........................................................5-1.8
CEM-2401, Substitution Report for Disadvantaged Business Enterprise (DBE) or
Underutilized Disadvantaged Business Enterprise (UDBE) .......................................5-1.8
CEM-2402(F), Final ReportUtilization of Disadvantaged Business Enterprises (DBE),
FirstTier Subcontractors ..............................................................................................5-1.8
CEM-2402(S), Final ReportUtilization of Disabled Veteran Business Enterprises
(DVBE), State Funded Projects Only ............................................................................5-1.8
CEM-2403(F), Disadvantaged Business Enterprises (DBE) Certification Status Change .......
.............................................................................................................................................5-1.8
CEM-2404(F), Monthly DBE/UDBE Trucking Verification .............................................5-1.8
CEM-2501, Fringe Benefit Statement ....................................................................................5-1.9
CEM-2502, Contractor or Subcontractor Payroll .................................................................5-1.9
CEM-2503, Statement of Compliance ...................................................................................5-1.9
CEM-2504, Employee Interview: Labor Compliance/EEO................................................5-1.9
CEM-2504 (Spanish), Entrevista de Empleado: Labor Compliance/EEO ........................5-1.9
CEM-2505, Owner-Operator Listing Statement of Compliance ........................................5-1.9
CEM-2506, Labor ComplianceWage Violation...............................................................5-1.9
CEM-2507, Labor Violation: Case Summary .......................................................................5-1.9
CEM-2508, Contractors Payroll Source Document Audit Summary ...............................5-1.9
CEM-2509, ChecklistSource Document Audit ................................................................5-1.9
CEM-2510, Truck Owner-Operator Certification of Ownership..................................... 5-1.10
CEM-2601, Construction Progress Chart ........................................................................... 5-1.10
CEM-2701, Weekly Statement of Working Days ............................................................. 5-1.10
CEM-2702, Overrun in Contract Time ............................................................................... 5-1.10
CEM-3101, Notice of Materials to be Used ....................................................................... 5-1.10
CEM-3501, Hot Mix Asphalt Production Report .............................................................. 5-1.10
CEM-3502, Hot Mix Asphalt Placement Report ............................................................... 5-1.10
CEM-3511, Contractor Job Mix Formula Proposal .......................................................... 5-1.10
CEM-3512, Contractor Hot Mix Asphalt Design Data ..................................................... 5-1.10
CEM-3513, Caltrans Hot Mix Asphalt Verification.......................................................... 5-1.10
CEM-3514, Contractor Job Mix Formula Renewal .......................................................... 5-1.11
CEM-3701, Test Result Summary....................................................................................... 5-1.11
CEM-3702, Relative Compaction Summary ..................................................................... 5-1.11
CEM-3703, Caltrans Production Start-Up Evaluation ...................................................... 5-1.11
CEM-3801, Request for Assignment of Inspectors, Samplers, and Testers ................... 5-1.11
CEM-3802, Quality Control Inspector Affidavit of Proficiency ...................................... 5-1.11
CEM-3803, Daily Summary of Quality Control Testing .................................................. 5-1.11

I-10 Index
Index
Forms (continued):
CEM-3804, Hot Mix Asphalt Inspection and Testing Summary..................................... 5-1.11
CEM-4101, Materials Release Summary ........................................................................... 5-1.11
CEM-4102, Material Inspected and Released on Job........................................................ 5-1.12
CEM-4202, Material Plant Safety Checklist ...................................................................... 5-1.12
CEM-4204, California Test 109 Sticker.............................................................................. 5-1.12
CEM-4401, Solid Waste Disposal and Recycling Report ................................................ 5-1.12
CEM-4501, Resident Engineers Daily Report/Assistant Resident Engineers
Daily Report ................................................................................................................... 5-1.12
CEM-4601, Assistant Resident Engineers Daily Report ................................................. 5-1.12
CEM-4701, Drainage System Summary ............................................................................ 5-1.12
CEM-4801, Quantity Calculations....................................................................................... 5-1.12
CEM-4900, Change Order.................................................................................................... 5-1.12
CEM-4901, Change Order Input.......................................................................................... 5-1.12
CEM-4902, Extra Work Bill (Short Form)......................................................................... 5-1.12
CEM-4902A, Extra Work BillTitle Page ....................................................................... 5-1.13
CEM-4902B, Extra Work BillLabor Charges ............................................................... 5-1.13
CEM-4902C, Extra Work BillEquipment Charges....................................................... 5-1.13
CEM-4902D, Extra Work BillMaterial Charges ........................................................... 5-1.13
CEM-4903, Change Order Memorandum.......................................................................... 5-1.13
CEM-4904, Caltrans Authorization for Using Internet Extra Work
Bill System ..................................................................................................................... 5-1.13
CEM-4905, Contractor Authorization for Using Internet Extra Work
Bill System ..................................................................................................................... 5-1.14
CEM-5101, Request for Payment for Materials on Hand................................................. 5-1.14
CEM-5501, Partnering Facilitator EvaluationKick-Off................................................ 5-1.14
CEM-5501, Partnering Facilitator EvaluationClose-Out.............................................. 5-1.14
CEM-6002, Contract Administration System (CAS)Report Requests ....................... 5-1.14
CEM-6003, Progress PayEstimate Project Initiation or Update .................................. 5-1.14
CEM-6004, Contract Transactions Input ............................................................................ 5-1.14
CEM-6101, Project RecordEstimate Request ................................................................ 5-1.14
CEM-6201, Notice of Potential............................................................................................ 5-1.14
CEM-6201A, Initial Notice of Potential Claim .................................................................. 5-1.15
CEM-6201B, Supplemental Notice of Potential Claim .................................................... 5-1.15
CEM-6201C, Full and Final Documentation of Potential Claim ..................................... 5-1.15
CEM-6201D, Initial Potential Claim Record ..................................................................... 5-1.15
CEM-6201E, Supplemental Potential Claim Record ........................................................ 5-1.15
CEM-6201F, Full and Final Potential Claim Record ........................................................ 5-1.15
CEM-6202, Dispute Resolution Board Establishment Report ......................................... 5-1.15
CEM-6203, Dispute Review Board (DRB) Update Report ............................................. 5-1.15
CEM-6204, Dispute Resolution Board Dispute Meeting Report..................................... 5-1.15
CEM-6205, Dispute Review Board (DRB) Completion Report ..................................... 5-1.15
CEM-6206, Dispute Resolution AdvisorEstablishment Report .................................. 5-1.16
CEM-6207, Dispute Resolution AdvisorDispute Meeting Report .............................. 5-1.16
CEM-6208, Dispute Resolution Ladder Establishment .................................................... 5-1.16
CEM-6209, Elevation of a Dispute...................................................................................... 5-1.16

Index I-11
Index
Forms (continued):
CEM-6301, Contract Acceptance ........................................................................................ 5-1.16
CEM-6302, Final Materials Certification ........................................................................... 5-1.16
CEM-6303, Final Acceptance Checklist for Federal-Aid High-Profile
Projects............................................................................................................................ 5-1.16
CEM-9001, Construction Manual Proposed Change ........................................................ 5-1.16
OFG-1, Oversight Engineers Preconstruction Checklist ................................................. 5-1.16
OFG-2, Local Agency and Oversight Engineer Preconstruction
Conference Checklist .................................................................................................... 5-1.17
OFG-3, Oversight Engineer Contract Provisions Checklist.............................................. 5-1.17
OFG-4, Oversight Engineers Construction Contract Administration
Verification Checklist.................................................................................................... 5-1.17
OFG-5, Federal-Aid Projects................................................................................................ 5-1.17
OFG-6, Final Acceptance Checklist for Caltrans Oversight Projects .............................. 5-1.17
Materials Engineering and Testing Services Forms

TL-0015, Quality Assurance-Nonconformance Report .................................................... 5-1.17
TL-0016, Quality Assurance-Nonconformance Resolution ............................................. 5-1.17
TL-0028, Notice of Materials to be Inspected at the Jobsite ............................................. 5-1.17
TL-0029, Report of Inspection of Material ......................................................................... 5-1.18
TL-0038, Inspection Request Form ..................................................................................... 5-1.18
TL-0101, Sample Identification Card .................................................................................. 5-1.18
TL-0502, Field Sample of Portland Cement Concrete Sample Card............................... 5-1.18
MR-0518, Job Cement Samples Record ............................................................................. 5-1.18
TL-0608, Notice of Materials to be Furnished ................................................................... 5-1.18
TL-0624, Inspection Release Tag ........................................................................................ 5-1.18
TL-0625, Material Suitability Tag ....................................................................................... 5-1.18
TL-0649, Inspectors Report of Material on Hand ............................................................ 5-1.18
TL-3096, Pavement Core Record ........................................................................................ 5-1.19
TL-6013, Materials Suitability Documentation Report..................................................... 5-1.19
TL-6014, Materials Suitability Report................................................................................. 5-1.19
TL-6037, Fabrication Progress Report ................................................................................ 5-1.19
Other State Forms
DPD-3013, Request for Construction Staking ................................................................... 5-1.19
LA-17, Report of Chemical Spray Operations ................................................................... 5-1.19
Traffic Operations Forms
TR-0019, Notice of Change in Clearance or Bridge Weight Rating ............................... 5-1.19
TR-0020, Notice of Change in Vertical or Horizontal Clearance .................................... 5-1.20
TR-0029, Notice of Change in Clearance or Bridge Weight Rating ............................... 5-1.20
Federal Forms
FHWA-1391, Federal-Aid Highway Construction Contractors Annual EEO Report .. 5-1.20
DOL SF-308, Request for Wage Determination and Response to Request ................... 5-1.20
Equal Employment Opportunity is the Law Poster ........................................................... 5-1.20
Forms used for contract administration ..........................................................................................5-1.1
Funds/Funding ........................................................................................................................5-2.1, 9-1.1

I-12 Index
Index
G
Garment, high-visibility standards...................................................................................................2-1.9
Geosynthetics........................................................................................................ 4-88.1, 6-1.52, 6-2.26
G
Glass beads............................................................................................................ 4-84.1, 6-2.26, 6-2.34
Grading plane..................................................................................................................... 3-5.19, 4-19.7
Grates, frames, and miscellaneous metal ........................................................... 4-75.1, 6-2.17, 6-2.25
Groove and grind pavement .......................................................................................................... 4-42.1
Guard railing, metal beam ............................................................................................................. 4-83.1
Guide posts.........................................................................................................................................6-1.4
H
Handrailing......................................................................................................................... 2-2.21, 4-83.3
Hazardous spills................................................................................................................... 2-3.3, 7-1.34
H
Hazardous waste ................................................................................................................ 4-15.2, 7-1.22
Hearing process for substitution ......................................................................................................3-5.6
Highway planting ........................................................................................................................... 4-20.1
Hook details .................................................................................................................................... 4-52.1
Horizontal drains ............................................................................................................................ 4-68.1
Hot mix asphalt
aggregate treatment .............................................................................................................. 4-39.18
construction processes ........................................................................................................... 4-39.1
production ............................................................................................................................. 4-39.20
Hydraulic jacks ..................................................................................................................................6-3.4
Hydroseeding .................................................................................................................................. 4-21.2
I
Imported borrow........................................................................... 3-6.2, 4-19.10, 6-1.11, 7-1.9, 8-1.13
Increased and decreased quantities ............................................................................................... 3-9.15
I
Incident notification, major construction ........................................................................................2-3.2
Indemnification and insurance .........................................................................................................3-7.5
evidence of insurance ...............................................................................................................3-7.5
railroad protective insurance ....................................................................................................3-7.6
Independent Assurance Program.............................. 4-39.2, 4-39.14, 4-39.38, 4-40.9, 4-92.2, 6-1.1
Inspection, access ..............................................................................................................................3-5.1
Insurance ............................................................................................................................................3-7.5
Interviews, onsite ...............................................................................................................................8-2.1
Items
eliminated................................................................................................................................ 3-9.15
final pay......................................................................................................................................3-9.6

Index I-13
Index
J J
Jacking
pavement ................................................................................................................................. 4-41.1
reinforced concrete pipe ........................................................................................................ 4-65.2
Job categories, alphabetical list of ................................................................................................ 5-1.41
Job categories, numerical list of.................................................................................................... 5-1.39
Job mix formula
acceptance ............................................................................................................................... 4-39.7
adjusted.................................................................................................................................... 4-39.6
renewal .................................................................................................................................... 4-39.6
review ...................................................................................................................................... 4-39.3
submittal .................................................................................................................................. 4-39.3
verification .............................................................................................................................. 4-39.4
Joint filler expansion ...................................................................................................................... 6-1.51
Joint sealing compounds................................................................................................................ 6-2.31
L L
Labor surcharge ...................................................................................................... 3-9.9, 5-1.61, 5-1.76
Labor code...................................................................................................... 2-1.6, 3-7.1, 5-3.21, 8-1.1
Labor compliance ............................................................................. 3-5.5, 3-9.25, 5-0.3, 5-1.67, 8-1.1
Lane closures ....................................................................................................................... 2-2.11, 2-3.2
Laws, regulations, and specifications ..............................................................................................8-2.1
Laws to be observed..........................................................................................................................3-7.1
Lean concrete base ......................................................................................................................... 4-28.1
Legal relations and responsibility ....................................................................................................3-7.1
Licenses, contractor........................................................................................................................ 3-5.10
Lime stabilization ........................................................................................................................... 4-24.1
Lines and grades ................................................................................................. 3-5.21, 4-19.12, 4-73.2
Liquid antistrip treatment .............................................................................................4-39.10, 4-39.19
Liquid asphalts .......................................................................................4-37.3, 4-37.5, 4-39.37, 4-93.1
Liquidated damages ....................................................................................................................... 3-8.20
Load limits....................................................................................................................................... 3-5.24
Local
funding .......................................................................................................................................9-1.1
roads......................................................................................................................................... 5-1.81
Local borrow.......................................................................... 3-6.3, 4-19.6, 4-19.10, 4-19.14, 4-19.17
Local material ......................................................................................................... 3-5.10, 3-5.16, 3-6.2
Log of test borings.................................................................................................... 3-4.3, 3-4.4, 5-3.22
M M
Maintenance and protection .......................................................................................................... 3-5.23
Maintenance and responsibility, relief from................................................................... 3-5.26, 3-7.11
Management review committee ........................................................................................ 3-4.5, 5-3.23
Manholes ............................................................................................................................ 4-70.1, 6-2.23

I-14 Index
Index
Manual on Uniform Traffic Control Devices (see California)
markers and delineators ......................................................................................................... 4-82.1
object markers ........................................................................................................................ 4-82.1
pavement markers .................................................................................................................. 4-85.1
Manufactured materials, acceptance of...........................................................................................6-2.1
Map, climate ................................................................................................................................... 4-92.1
Marination of lime treated aggregate ......................................................................................... 4-39.10
Markers
object ....................................................................................................................................... 4-82.1
pavement ................................................................................................................................. 4-85.1
Materials plants..................................................................................................................................6-3.6
Median barriers .................................................................................................................... 2-2.6, 4-83.3
Mesh reinforcing, wire...................................................................................................... 6-1.55, 6-2.18
Metal beam guard railing............................................................................................................... 4-83.1
Metal railing .................................................................................................................................... 4-83.2
Methods of payment ........................................................................................................... 5-3.5, 5-3.37
Micro-surfacing, bituminous seals .................................................................................. 4-37.1, 6-1.25
Mineral aggregate, voids in ............................................................................................ 4-39.28, 6-1.28
Mineral filler ................................................................................................................................... 4-37.1
Minor B contracts .......................................................................................... 3-2.1, 5-4.1, 5-4.11, 5-5.4
Minor B claims ............................................................................................................................... 5-4.12
Minor B limits, emergency contracts in excess of ...................................................................... 5-1.45
Minor concrete..........................................................................4-73.1, 4-73.3, 4-90.12, 6-1.49, 6-2.24
Minor structures.............................................................................................................................. 4-51.2
Miscellaneous
iron and steel ........................................................................................................................... 4-75.1
metal ........................................................................................................................................ 4-75.1
Miscellaneous drainage facilities .................................................................................................. 4-70.1
Mix design.......................................................................................................................... 4-90.1, 4-90.3
Mobilization ............................. 2-2.13, 3-9.19, 3-9.27, 3-9.30, 5-1.47, 5-1.51, 5-1.59, 5-1.68, 5-5.2
Monuments ..................................................................................................................................... 4-81.1
N
Negative estimates.......................................................................................................................... 3-9.26
Night work ................................................................................................... 2-2.8, 4-12.3, 7-1.17, 9-1.2
N
Noise control ................................................................................................................................... 7-1.17
Non-highway facilities, utility....................................................................................................... 3-5.21
Nonreinforced concrete pipe ......................................................................................................... 4-65.1
Notices, stop .................................................................................................................................... 3-9.25
Nuclear gauges .......................................................................................................................1-4.2, 6-3.6
O
Object markers................................................................................................................................ 4-82.1
Obliterating roads and detours ...................................................................................................... 4-15.2
O
Office Engineer, Office of ................................................................................................................3-3.1

Index I-15
Index
Operation, controlling ....................................................... 2-2.16, 3-5.33, 3-8.5, 4-20.7, 5-0.6, 5-4.14

Order of work.................................................................... 3-5.3, 3-8.3, 3-8.17, 4-19.2, 4-21.1, 5-3.34,
Overhead claims ..................................................................................................... 5-4.3, 5-4.14, 5-4.53
Overhead costs, adjustment of ................................................................. 3-8.16, 3-9.30, 5-3.6, 5-3.15
Overhead sign structures .................................................................................................. 3-9.22, 4-56.3
Overside drains ............................................................................................................................... 4-69.1
Oversight ................................................................................................................... 5-0.8, 5-3.26, 9-2.2
Owner-operated equipment................................................................................................ 3-9.8, 8-1.10
Owner-operators ..................................................... 3-5.18, 8-1.2, 8-1.4, 8-1.5, 8-1.10, 8-1.11, 8-1.14
P P
Paint ................................................................................................................................................. 3-8.19
4-84.1, 4-91.1, 6-1.52, 6-2.4, 6-2.16, 6-2.17, 6-2.19, 6-2.27, 6-2.33, 7-1.11, 7-1.22, 7-1.28
Painting .............................................. 4-12.7, 4-56.3, 4-56.4, 4-57.1, 4-59.1, 4-84.1, 4-86.10, 6-2.16
Palliative, dust ................................................................................................................................. 4-18.1
Parking, accessible ............................................................................................................ 2-2.20, 2-2.21
Partial payments ............................................................................................................................. 3-9.19
Partnering ...........................................................................................................................................3-5.2
Pavement
hot mix asphalt ....................................................................................................................... 4-39.1
joints, longitudinal....................................................................................4-39.11, 4-39.26, 4-41.8
joints, transverse ........................................................................................... 4-41.1, 4-41.6, 4-85.2
grind ......................................................................................................................................... 4-42.1
groove ...................................................................................................................................... 4-42.1
jacking ..................................................................................................................................... 4-41.1
portland cement concrete ...................................................................................................... 4-90.1
rubberized hot mix asphalt .................................................................................................... 4-39.1
smoothness............................................................................................................... 4-39.30, 6-1.30
subsealing................................................................................................................................ 4-41.1
warm mix asphalt ......................................................................................... 4-39.1, 6-1.29, 6-2.21
Pavement markers ............................................................................................................. 4-15.2, 4-85.1
Pavement recesses .......................................................................................................................... 4-85.2
Pavement reinforcing fabric ............................................................................................. 4-88.1, 8-1.15
Pavement personnel ....................................................................................................................... 4-39.1
Pavement safety edge...................................................................................................... 4-39.11, 4-40.1
Payment ..............................................................................................................................................3-9.1
adjustment .......................................................................................... 3-4.2, 3-9.14, 4-39.37, 5-3.6
adjustment, delays and price index fluctuations ................................................................. 3-8.16
extra work .................................................................................................................... 3-9.6, 3-9.21
final .......................................................................................................................................... 3-9.32
force account..............................................................................................................................3-9.6
interest ..................................................................................................................................... 3-9.21
offset ........................................................................................................................................ 3-9.33
Payroll records ............................................................................................... 5-1.77, 8-1.4, 8-1.5, 8-3.4
PCC pavement (see also Portland cement concrete)

I-16 Index
Index
joints, contact ............................................................................................................. 4-40.6, 4-40.9
joints, weakened plane........................................................................................................... 4-28.3
slip-form .................................................................................................................................. 4-40.4
thickness deficiency ............................................................................................................. 4-40.12
tie bars for ............................................................................................................................... 4-40.2
water supply for...................................................................................................................... 4-90.7
weakened plane joints............................................................................................................ 4-28.3
Pedestrian facilities......................................................................................................................... 2-2.20
Penetration treatment ..................................................................................................................... 4-93.1
Perforated pipe ................................................................................................................................ 4-68.1
Permeable base
asphalt treated ............................................................................................................ 4-29.2, 4-92.1
cement treated............................................................................................................ 4-29.2, 6-1.22
Permits ..................................................................................................................... 3-5.10, 3-6.2, 7-1.17
encroachment....................................................................................... 2-2.13, 3-5.21, 9-2.1, 9-2.2
environmental ............................................................................................................ 7-1.17, 7-1.19
home storage..............................................................................................................................1-4.3
list of potential permits .......................................................................................................... 7-1.18
Pervious backfill material ............................................................................................... 3-8.19, 4-19.12
Pesticides ............................................................................................................... 4-20.3, 4-20.5, 7-1.22
Pigmented curing compound ........................................................................................... 6-1.20, 6-1.38
Piling .............................................................................................. 3-8.19, 3-9.21, 4-49.1, 6-2.6, 6-2.17
Pipe
alternative pipe and pipe arch culverts................................................................................. 4-62.1
corrugated metal ..................................................................................................................... 4-66.1
corrugated metal, aluminum ................................................................................................. 4-66.1
corrugated metal, steel ........................................................................................................... 4-66.1
joints, culvert and drainage ................................................................................................... 4-61.1
plastic....................................................................................................................................... 4-64.1
reinforced concrete................................................................................................................. 4-65.1
structural metal plate .............................................................................................................. 4-67.1
Plans
intent of.......................................................................................................................................3-4.1
work drawings .............................................................................................. 3-5.18, 3-9.27, 4-50.1
Plant establishment work.................................................................................................. 3-9.24, 4-20.8
Plant operations ........................................................................4-39.8, 4-39.16, 4-90.5, 4-90.7, 4-92.3
Plant stakes, highway planting...................................................................................................... 4-20.7
Plants
erosion control ........................................................................................................... 4-21.2, 4-21.4
highway planting.................................................................................................................... 4-20.1
irrigation ................................................................................................................................ 4-20.11
watering................................................................................................................................... 4-20.8
Plastic lumber structures ................................................................................................................ 4-57.1
Plastic pipe ....................................................................................................................... 4-20.14, 4-64.1
Pollution control
air ............................................................................................................................................. 7-1.10

Index I-17
Index
Pollution control (continued)

noise ......................................................................................................................................... 7-1.17
stormwater ....................................................................................... 7-1.11, 7-1.13, 7-1.15, 7-1.17
water ........................................................................................................................................ 7-1.11
Polyurethane ................................................................................................................................... 6-1.16
Portable
changeable message signs ......................................................................... 4-12.3, 4-12.8, 4-12.13
delineators ...........................................................................4-12.1, 4-12.2, 4-12.6, 4-12.13, 6-2.2
Portland cement concrete .............................................................................................................. 4-90.1
admixtures........................................................................................ 4-90.3, 4-90.5, 4-90.8, 6-2.20
Portland cement concrete pavement............................................................................................. 4-90.1
Potential claim, notice of ......................................................................... 5-1.14, 5-3.15, 5-3.45, 5-4.2,
Potential claim records...................................................................................................... 3-5.28, 3-5.29
Precast raised traffic bars ............................................................................................................... 6-2.28
Preconstruction conference with the contractor .............................................................................5-0.3
Preliminary construction claim findings ...................................................................................... 5-4.18
Preliminary tests ................................................................................................................ 5-1.28, 5-1.40
Preparing planting areas................................................................................................................. 4-20.6
Prepaving conference................................................................................................................... 4-39.10
Preservation, property and facility................................................................................................ 3-5.20
Preservative treatment of lumber, timber and piling .................................................................. 4-57.1
Prestressing concrete ...................................................................................................................... 4-50.1
Prevailing wage .............................................................................................................................. 8-1.16
Priority tests........................................................................................................................................6-1.4
Production startup evaluation........................................................................4-39.15, 4-39.19, 4-39.26
Profile index .................................................................................................................................... 4-42.3
Profilograph .......................................................................................................................................6-3.3
Progress
calculating ............................................................................................................................... 3-9.18
of work .......................................................................................................................................3-8.1
prosecution.................................................................................................................................3-8.1
schedule................................................................................................................3-5.3, 3-8.1, 3-8.5
Progress pay estimate project initiation or update ..................................................................................
...................................................................................3-8.2, 5-1.14, 5-1.38, 5-1.65, 5-1.74, 5-1.75
Project records ................................................................................................................................ 5-1.20
categories, alphabetical list of ............................................................................................... 5-1.41
categories, numerical list of .................................................................................................. 5-1.39
Property preservation ..................................................................................................................... 3-5.20
Proposal requirements and conditions ............................................................................................3-2.1
Proposed final estimate .................................................................................................................. 3-9.28
Prosecution and progress ..................................................................................................................3-8.1
Protests................................................................................................................................................3-5.2
Pumping plant electrical equipment ............................................................................................. 4-74.1
Pumping plant equipment.............................................................................................................. 4-74.1
Public access to project records .................................................................................................... 5-1.76
Public convenience............................................................................................................................3-7.2

I-18 Index
Index
Public interest.....................................................................................................................................3-6.3
Public relations ..................................................................................................................................5-5.5
Pull boxes .............................................................................................4-20.12, 4-20.16, 4-86.6, 6-2.25
Q
Quality assurance........................................................................... 3-5.1, 3-6.3, 4-11.1, 4-21.4, 4-21.6,
4-39.14, 4-39.39, 4-90.3, 4-92.2, 5-1-31, 6-2.2, 6-2.7, 6-2.10, 6-2.34, 9-2.2, 9-2.3
Q
Quality assurance program..........4-39.32, 4-92.2, 4-92.4, 4-92.5, 6-1.1, 6-1.4, 6-1.5, 6-2.1, 6-2.11
Quality control ..................................................................................................................................3-5.1,
3-6.3 4-11.1, 4-24.1, 4-37.2, 4-39.13, 4-40.2, 4-92.6, 5-1.31, 6-1.4, 6-2.4, 9-2.2
Quality control quality assurance ..........4-39.7, 4-39.13, 4-39.15, 4-39.30, 4-39.36, 4-39.37, 6-1.4
R
Railings (Type K), temporary ..................................................4-12.3, 4-12.7, 4-12.13, 4-83.1 6-2.30
Railings and barriers....................................................................................................................... 4-83.1
R
Records, project .............................................................................................................................. 3-5.18
Reinforced concrete pipe ...........................................................4-62.1, 4-65.1, 6-2.13, 6-2.14, 6-2.18
Reinforcement ................................................................................................................................ 4-52.1
Reinforcing bars ............................................................................................................................. 4-52.1
Reinforcing fabric.............................................................................................................. 4-88.1, 8-1.15
Relative compaction..........................................................................................................................6-3.6
Relief from maintenance and protection...................................................................................... 3-5.26
Remote control valves ................................................................................................................. 4-20.11
Removal of rejected and unauthorized work............................................................................... 3-5.19
Removal, bridge ............................................................................................................................. 4-15.3
Rental
dump truck .............................................................................................................................. 3-9.13
equipment................................................................................................................................ 3-9.10
Requests for information (RFI)..................................................................................................... 3-5.28
Responsibility for damage ............................................................................................................. 3-5.25
Retaining walls, concrete............................................................................................................... 4-51.1
Retentions .............................................................................................................. 5-1.46, 5-1.67, 5-1.68
Retroreflective pavement markers................................................................................................ 4-85.1
Right-of-way delays .......................................................................................................... 3-5.22, 3-8.16
Rights in land and improvements .................................................................................... 3-5.10, 3-5.19
Roadside signs ................................................................................................................................ 4-56.4
Roadway excavation .......................................................................................... 4-19.1, 4-19.7, 4-19.15
Rock slope protection .................................................................................................................... 4-72.1
Rock slope protection fabric ............................................................................................ 4-72.3, 4-88.1
Root protectors, highway planting................................................................................................ 4-20.2
Rubber ................................................................................................................................................6-1.4
Rumble strips ................................................................................................................................ 4-40.10

Index I-19
Index
S S
Safety
Blasting.................................................................................................................................... 4-19.2
Code of Safe Practices..............................................................................................................2-1.8
Excavation .................................................................................................................................3-7.1
Falsework...................................................................................................................................2-1.4
Tunnel.........................................................................................................................................3-7.2
Safety and health provisions ............................................................................................................2-1.1
Sample ................................................................................................................................................6-1.1
Sampling and testing .........................................................................................................................6-1.1
Scale sheets ........................................................................................................................................3-9.4
Scales ..................................................................................................................................................6-3.3
Scales and balances ...........................................................................................................................6-3.3
Scope of work ....................................................................................................................................3-4.1
Screens and sieves .............................................................................................................................6-3.3
Seal coats ......................................................................................................................................... 4-37.1
Seed.................................................................................................................................................. 4-21.2
Seed sampling ................................................................................................................................. 4-21.4
Semifinal estimate .......................................................................................................................... 3-9.32
Shop details .......................................................................................................................... 4-56.2, 6-2.4
Shoring.......................................................................................................... 2-1.3, 2-1.4, 3-5.18, 4-19.2
Shortage of materials...................................................................................................................... 3-8.17
Shotcrete .......................................................................................................................................... 4-53.1
Shoulder backing ..............................................................................................4-19.6, 4-19.15, 4-19.17
Sidehill embankment ..................................................................................................................... 4-19.5
Sidewalks ........................................................................................................................................ 4-73.1
Sieve analysis .....................................................................................................................................6-3.4
Signs................................................................................................................................................. 4-56.1
Sign structures................................................................................................................................. 4-56.1
Silos, hot mix asphalt ................................................................................................................... 4-39.24
Slides and slipouts ............................................................................................................. 4-19.8, 5-3.25
Slope
embankment ............................................................................................................ 4-19.4, 4-19.13
paving ...................................................................................................................................... 4-72.4
protection ................................................................................................................................ 4-72.1
rounding ................................................................................................................... 4-19.9, 4-19.15
Slotted pipe, edge drains ................................................................................................................ 4-68.4
Slurry seal ........................................................................................................................... 4-37.5, 6-1.25
SMARTS......................................................................................................................................... 7-1.12
Soil, basement ................................................................................................................................. 5-1.28
Solid waste disposal and recycling reporting .............................................................................. 7-1.32
Sound control requirements .......................................................................................................... 7-1.17
Sound walls ..................................................................................................................................... 4-58.1
Source documents .............................................................................................................................3-9.2
Speed zones........................................................................................................................................2-2.7

I-20 Index
Index
Stabilized soils ................................................................................................................................ 4-24.1
Stakes and marks ............................................................................................................................ 3-5.18
State Contract Act .............................................................................................................................3-6.2
State right of way, contractors use ........................................................................ 7-1.53-5.10, 3-5.19
Stop notices ..................................................................................................................................... 3-9.25
Storm Water Multiple Application and Report Tracking System (SMARTS)....................... 7-1.12
Straw, erosion control ....................................................................................................... 4-21.2, 6-2.25
Striping ............................................................................................................................................ 4-84.1
Structural metal plate pipe, arches and pipe arches .................................................................... 4-67.1
Structural steel................................................................................................................................. 4-55.1
Structure backfill ................................................................................................ 3-8.19, 4-19.12, 6-1.10
Structure excavation.........................................................................................4-19.4, 4-19.11, 4-19.16
Structure excavation and backfill ...................................................................4-19.4, 4-19.11, 4-19.16
Structures-related work .....................................................................................................................4-0.1
Styrofoam filler............................................................................................................................... 6-2.30
Subbases, aggregate .......................................................................................................... 4-25.1, 6-1.15
Subcontracting .............................................................................................................3-5.4, 8-1.4, 8-3.2
Subgrade enhancement geosynthetic .............................................................4-19.6, 4-19.14, 4-19.17
Submittals........................................................................................................................................ 3-5.18
Subsealing pavement ..................................................................................................................... 4-41.1
Subsistence and travel allowance .........................................................................................3-9.9, 8-1.6
Substitution process...........................................................................................................................3-5.5
Substitution request-UDBE/DBE/DVBE ......................................................................................8-3.6
Subsurface drains............................................................................................................................ 4-68.1
Superintendence ................................................................................................................................5-0.4
Surcharge, labor ...................................................................................................... 3-9.9, 5-1.61, 5-1.76
Surety
work completed ...................................................................................................................... 3-8.23
work not completed ............................................................................................................... 3-8.24
Surface Mining and Reclamation Act of 1975 (SMARA) ...........................................................7-1.4
Survey monuments......................................................................................................................... 4-81.1
Suspension of work, temporary .................................................................................................... 3-8.16
T
Tack coat .......................................................................................................................... 4-39.25, 4-92.1
Tapered notch wedge ................................................................................................................... 4-39.11
T
Temporary fence..................................................................................................... 4-80.1, 6-2.30, 7-1.4
Temporary pedestrian facilities.......................................................................................... 2-2.21, 3-7.3
Temporary railing (Type K).....................................................4-12.3, 4-12.7, 4-12.13, 4-83.1 6-2.30
Temporary suspension of work .................................................................................................... 3-8.16
Termination of contract ................................................................................................................. 3-8.26
Termination of control ................................................................................................................... 3-8.29
Test borings, log of.................................................................................................... 3-4.3, 3-4.4 5-3.22
Test/testing .........................................................................................................................................6-3.1
Test cylinders ..........................................................................................................................6-1.5, 6-3.5
Thermal expansion, coefficient of ...................................................................... 4-40.3, 4-40.6, 6-1.34

Index I-21
Index
Thermoplastic traffic stripes and pavement markings ............................................................... 4-84.1

Thrie beam barrier .......................................................................................................................... 4-83.2
Timber piles .................................................................................................................................... 3-8.18
Time adjustment ............................................................................. 3-8.4, 3-8.5, 3-8.17, 3-8.20, 3-9.17
Time-related overhead ................................................................................................................... 3-9.17
Time of completion .................................................................................................. 5-3.3, 5-3.4, 5-3.10
Title 6 and Title 7 ........................................................................................................7-1.5, 8-1.4, 8-2.1
Traffic cones ....................................................................................................... 4-12.3, 4-12.7, 4-12.13
Traffic control ....................................................................................................................................2-2.1
Traffic control devices, construction area .................................................................................... 4-12.1
Training ..............................................................................................................................................1-3.3
Training, just-in-time .................................................................................... 1-3.3, sec 4-4- MCT 13-6
Training special provision ................................................................................................................8-2.3
Transportation management plans................................................................................................ 2-2.11
Treated permeable bases................................................................................................................ 4-29.1
Trenches ............................................................................................................................. 4-19.6, 4-19.8
Truck rental, dump ......................................................................................................................... 3-9.13
Tunnel Safety .....................................................................................................................................3-7.2
U U
Underdrains ................................................................................................................. 4-68.1 thru 4-68.3
Underutilized disadvantaged business enterprise (UDBE) ..........................................................8-3.2
Unsuitable material, earthwork ..................................................................................................... 4-19.7
Use of materials found on the work ................................................................................................3-4.1
Use of pesticides ................................................................................................... 4-20.3, 4-20.5, 7-1.22
Utility and nonhighway facilities.................................................................................................. 3-5.21
Utility relocation ............................................................................................................................. 4-86.6
V V
Value engineering .............................................................................................................................3-4.5
Vehicle code.......................................................................................................................................3-7.1
Vehicle detectors ............................................................................................................................ 4-86.8
Violation hearing ...............................................................................................................................3-5.7
W W
Wage, prevailing............................................................................................................................. 8-1.16
Water................................................................................................................................................ 4-17.1
Water pollution control .................................................................................................................. 7-1.11
Water pollution control plan ............................................................................................................5-0.4
Water stops, concrete structures.................................................................................................... 4-51.4
Water supply ................................................................................................................................... 4-17.1
Waterproofing....................................................................................................... 4-54.1, 6-2.21, 6-2.30
Waterproofing, asphalt membrane ............................................................................................... 4-54.1
Weekly Statement of Working Days ................................................................................ 3-5.33, 3-8.4

I-22 Index
Index
Weep holes
concrete slope protection....................................................................................................... 4-72.4
concrete structures.................................................................................................................. 4-51.4
Weigh sheets ................................................................................................................................... 4-21.3
Weights and measures ......................................................................................................................3-9.2
Weights and measures coordinator..................................................................................................3-9.3
Weight limitations .......................................................................................................................... 3-5.24
Welded steel pipe ........................................................................................................................... 4-70.1
Welded wire fabric ............................................................................................................ 4-52.1, 6-2.30
Wheelchair ramps
curb ramps, concrete .............................................................................................................. 4-73.1
Wire mesh, fences .......................................................................................................................... 4-80.1
Wire mesh reinforcing ...................................................................................................... 6-1.55, 6-2.18
Wiring ................................................................................................................4-20.13, 4-20.16, 4-86.7
Wood structures .............................................................................................................................. 4-57.1
Working drawings ................................................................................................ 3-5.18, 3-9.27, 4-50.1
Z
Zero balance ....................................................................................................................... 3-8.25, 3-9.32
Zero tolerance .................................................................................................................... 3-5.9, 4-39.24
Z

Index I-23

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Job 0177

Construction Manual (MCT 14-6)

EDMUND G. BROWN, JR.

KARLA SUTLIFF MARK LEJA

JOHN STAYTON ANGELA SHELL

CONSTRUCTION PUBLICATIONS MOHAN BONALA

Visit our website to download an electronic copy of this manual:

1 Caltrans Construction Organization

1-0 Construction Manual Overview

2 Safety and Traffic

California Department of Transportation Construction Manual September 2014

4-16 Clearing and Grubbing

California Department of Transportation Construction Manual September 2014

4-61 Culvert and Drainage Pipe Joints

5-0 Conduct of the Work

California Department of Transportation Construction Manual September 2014

5-3 Change Orders

6 Sampling and Testing

6-1 Sample Types and Frequencies

7-1 Environmental Rules and Requirements

8-1 Labor Compliance

9 Projects Funded by Others

9-1 Construction Contract Administration for Projects Funded by Others

California Department of Transportation Construction Manual September 2014

California Department of Transportation Construction Manual September 2014

1-004 1-004 Changes

California Department of Transportation Construction Manual September 2014

Section 1 Construction Organization

California Department of Transportation Construction Manual September 2014

California Department of Transportation Construction Manual September 2014

1-103 1-103 District Construction Organization

California Department of Transportation Construction Manual September 2014

California Department of Transportation Construction Manual September 2014

California Department of Transportation Construction Manual September 2014

California Department of Transportation Construction Manual September 2014

California Department of Transportation Construction Manual September 2014

California Department of Transportation Construction Manual September 2014

California Department of Transportation Construction Manual September 2014

Section 2 Public Relations

California Department of Transportation Construction Manual September 2014

1-201 General 1-201

California Department of Transportation Construction Manual September 2014

California Department of Transportation Construction Manual September 2014

California Department of Transportation Construction Manual September 2014

California Department of Transportation Construction Manual September 2014

Section 3 Personnel Development

California Department of Transportation Construction Manual September 2014

California Department of Transportation Construction Manual September 2014

1-305 1-305 Resources and Budgeting

California Department of Transportation Construction Manual September 2014

California Department of Transportation Construction Manual September 2014

California Department of Transportation Construction Manual September 2014

Section 4 Facilities and Equipment

California Department of Transportation Construction Manual September 2014

California Department of Transportation Construction Manual September 2014

1-404 1-404 Nuclear Gauges

California Department of Transportation Construction Manual September 2014

California Department of Transportation Construction Manual September 2014

Section 5 Field Expenses and Purchases

California Department of Transportation Construction Manual September 2014