Construction Manual California PDF

CALIFORNIA
DEPARTMENT
OF TRANSPORTATION
Construction
Manual
Construction Manual
CALIFORNIA DEPARTMENT
CALIFORNIA DEPARTMENT OF TRANSPORTATION
OF TRANSPORTATION
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
Issued by
Division of Construction
GRAY DAVIS
Governor
JEFF MORALES
Director, Department of Transportation
TONY V. HARRIS
Chief Deputy Director
BRENT FELKER ROBERT PIEPLOW

Chief Engineer Chief, Division of Construction
JOHN MCMILLAN MICHAEL KISSEL

Assistant Division Chief, Construction Chief, Office of Contract Compliance
JOHN HANCOCK
Editor
MARK M. BRYNER - MILTON M. COSTELLO - ROY L. FISHER – and BRIAN SYFTESTAD

Editing Team
ALFRED BLUM – THERESA McCOURT - JOHN RODRIGUEZ - and CAROL ROSS

Technical Support
Additional Copies of this Manual can be Purchased from:
State of California
Department of Transportation
Publication Distribution Unit
1900 Royal Oaks Drive
Sacramento, California 95815-3800
FAX: (916) 324-8997

TELEPHONE: (916) 323-5606 or (916) 445-3520
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 Definitions and Terms
3-2 Proposal Requirements and Conditions
3-3 Award Execution and Approval of Contract
3-4 Scope of Work
3-5 Control of Work
3-6 Control of Materials
3-7 Legal Relations and Responsibility
3-8 Prosecution and Progress
3-9 Measurement and Payment
4 Construction Details
4-00 Introduction
4-10 Dust Control
4-11 Mobilization
4-12 Construction Area Traffic Control Devices
4-15 Existing Highway Facilities
California Department of Transportation • Construction Manual • December 2003

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 Erosion Control and Highway Planting
4-22 Finishing Roadway
4-24 Lime Stabilization
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 Portland Cement Concrete Pavement
4-41 Pavement Subsealing and Jacking
4-42 Groove and Grind Pavement
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 Timber Structures
4-58 Preservative Treatment of Lumber, Timber, and Piling
4-59 Painting
4-61 Culvert and Drainage Pipe Joints
4-62 Alternative Culverts
4-63 Cast-in-Place Concrete Pipe

TOC.2 Table of Contents
CONSTRUCTION MANUAL
TABLE OF CONTENTS
Chapter-Section
4-64 Plastic Pipe

4-65 Reinforced Concrete Pipe
4-66 Corrugated Metal Pipe
4-67 Structural Metal Plate Pipe
4-68 Subsurface Drains
4-69 Overside Drains
4-70 Miscellaneous Facilities
4-72 Slope Protection
4-73 Concrete Curbs and Sidewalks
4-74 Pumping Plant Equipment
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 Signals, Lighting and Electrical Systems
4-88 Engineering Fabrics
4-90 Portland Cement 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
5-3 Contract Change Orders
5-4 Disputes
Table of Contents TOC.3
CONSTRUCTION MANUAL
TABLE OF CONTENTS
Chapter-Section
5-5 Emergency Contract Administration
6 Sampling and Testing

6-1 Sample Types and Frequencies
6-2 Acceptance of Manufactured Material and Sampling Methods
6-3 Field Tests
7 Environmental
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
APPENDIX 1 Sample Forms
INDEX
California Department of Transportation • Construction Manual • July 2004

TOC.4 Table of Contents
Chapter 1 Caltrans Construction Organization
Construction Manual Overview Construction

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 apply
engineering experience and judgement is extremely important. The Construction
Manual (manual) cannot replace this valuable experience and judgement.
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

The 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 contractor’s 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 field engineer 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 Procedure Bulletins (CPBs) to
change policies and procedures. CPBs supercede 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 superceded
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 the Division of Construction manual coordinator. 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 Area 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 Office Assistant
1-105F Specialists and Coordinators
1-106 Local Projects

Construction Organization 1-1.i
Section 1
Section 1 Construction Organization Construction
Organization
1-101 General 1-101
In accordance with the Government Code, the powers and duties of Caltrans include General
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.
In addition, 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
Construction. of Construction
1-102A Division of Construction Chief Organization
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 division’s 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 A district must manage all construction contracts in accordance with statutory
Construction requirements, Caltrans directives, and Division of Construction policies.
Organization 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 work’s 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 the Construction Manual (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.
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.

1-1.2 Construction Organization
• Ensuring adequate training for assigned personnel.
• Ensuring that materials and completed work comply with plans, specifications,
and design criteria.
• Approving (or not approving) a resident engineer’s recommendation for contract
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 district’s 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 Engineer’s Act.
1-104 Office of Structure Construction Organization 1-104

The Office of Structure Construction is responsible for the technical control of Division of Structure
structure work. Engineers from the Office of Structure Construction are assigned to Construction
all districts to provide field engineering for structures. The district may request that Organization
the assigned structure representative act as the resident engineer 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 execute statewide structure construction services to the districts. The duties
of the position include the following:
• Planning and directing the activities of the statewide division.
• 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 activities of structure construction statewide with all district
functions and with other Engineering Services functions.
• Recommending to the Division of Construction chief, revisions in the Division
of Construction’s policies and objectives.
• Producing and distributing policies and procedures for inspecting and
administering structure construction work.

1-104B Area Structure Construction Manager
The area 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 manager’s 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 contract change orders and claims
involving structure work.
• Providing the structure construction headquarters in Sacramento with status
information on all contracts within the manager’s 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 Engineering Services and the district’s 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 contract change orders and
time extensions on structure work items.
• Ensuring and verifying that the maintenance of project records complies with
the 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 Engineer’s Act.
1-105 1-105 Construction Project Organization

Construction Project The number of state personnel required on a contract varies with the particular
Organization circumstances involved. A resident engineer may be assigned to a single contract or
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.
1-105B Resident Engineer
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 5-1.01, “Authority of the Engineer,” of the Standard Specifications
• The manual
• Any other applicable administrative instructions
The construction engineer is the resident engineer’s 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. If the resident engineer is not registered as a professional
engineer, this person must defer to the construction engineer any decisions and actions
that constitute the practice of civil engineering, as defined by the Professional
Engineer’s Act.
Selecting a person to act as resident engineer is dependent upon the following:
• The work’s magnitude and complexity
• The type of work
• The degree of independent control and direction to be exercised

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 project’s 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 contractor’s operations, a
senior level engineer may be necessary. On more routine contracts that do not involve
civil engineering decisions and where the construction engineer is readily available, the
resident engineer may be an unregistered experienced transportation engineer. 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 supervisor’s attention.
To permit contract expenditures to overrun allotted funds seriously reflects on the
resident engineer’s ability. For the procedure for obtaining additional funds, see
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 contract change orders. As a representative of
Engineering Services, the structure representative acts within the authority of the
following:
• The State Contract Act
• The Standard Specifications
• The 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
to 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
Engineer’s 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 contractor’s 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 Office Assistant
The office assistant must maintain complete and accurate project records. These
records may include the following:
• Monthly progress pay estimates
• Extra work reports
• Contract change orders
• Labor and equipment records
• Correspondence
• Personnel records
When these duties do not result in full-time work, the office assistant may be assigned
to check quantity calculations.
Once assigned, the office assistant 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 and civil rights personnel
• Safety coordinators

• Traffic handling, signing, and electrical specialists
• Landscape specialists
• Environmental personnel
• Schedule analysts
• Claims engineers
In the absence of a Caltrans policy on any specific job problem, the authority of the
1-106 resident engineer will prevail over that of a specialist or coordinator.
Local Projects 1-106 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 Other Agencies,” 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 can be 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 can be divided into two subcategories: 1) relations Relations Among
between the resident engineer and staff and 2) relations between the resident engineer Caltrans Personnel
and the 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 week’s 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
application portions of the Standard Specifications, special provisions, the plans,
this Construction Manual, and any other applicable publications of Caltrans. 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
about project events from outside sources. Conversely, good management practice

Public Relations 1-2.1
requires that supervisors keep their personnel informed of decisions affecting an
employee’s 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 contractor’s 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 contract’s 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 contractor’s
personnel. If the resident engineer and assistant resident engineers know the plans
and specifications thoroughly, the contractor’s personnel will respect the resident
engineer’s 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 contractor’s 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 equally 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 contractor’s options. Deviations
from specified methods require contract change orders. Deviations must also provide
equal or better results while preserving the contract’s 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 Relations With
beneficial effect in completing a construction project within scope, schedule Utility Companies
and budget. Preconstruction discussions that may affect Caltrans functional and Other Public
units or local agencies and communities should involve all stakeholders. The
resident engineer should make early personal contact and establish a good
Agencies
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 owner’s 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 human 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 effect 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.
Start public relations early. The fullest possible cooperation of the contractor’s
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 1-206

The main differences in public relations toward the property owners and the general Relations With the
public occur in the scope of coverage and the degree of personal contact. When General Public
highway 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.
California Department of Transportation • Construction Manual • August 2005

Public Relations 1-2.3
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’ strategic General
plan, goals, and objectives. Moreover, most construction employees want to learn
new job skills. A comprehensive training and development program helps to recruit
and retain 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 employee’s current knowledge and skills
2. Additional job skills necessary for the employee’s success in the current job
assignment
3. Skills the employee will need for future job assignments
• Include training and development planning in each employee’s yearly individual
development plan.
• Provide each employee with adequate training and development opportunities
that will facilitate the implementation of the employee’s 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 employee’s
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.

Personnel Development 1-3.1
• When evaluating staffing needs and planning job assignments, carefully consider
cross-training opportunities for all staff, provided collective bargaining
agreements and 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 employee’s
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 employees to participate in external training opportunities requested by
the employees. 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 individual’s 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, for district employees, turn in
a copy of a completed Form OT-0300, “Training Request Form,” to the district
training officer, and for structure construction employees, turn in a copy to the
Office of Structure Construction training officer.

1-3.2 Personnel Development
1-305 Resources and Budgeting 1-305
As a minimum, individual construction employees must devote 2 percent of Resources and
regularly scheduled work time to “in-service occupational training.” In the 2 Budgeting
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 resources to sufficiently plan, prepare, and execute training
instruction required to support the district’s 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 Subject Matter,
accuracy of the information disseminated through training and development Trainees, and
activities. The Division of Construction, workforce development unit, 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 Just-in-Time
joint training with industry and construction staff. This training should include Training
all contractor 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
Personnel Development 1-3.3
• Manual on Uniform Traffic Control Devices (MUTCD) and MUTCD
California Supplement
• Maintenance Manual
• Manual of Test
• Other technical publications
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 through the ability to respect the experience of the mentor,
be genuinely interested, and become actively involved in the training process.
Occupational training must be accomplished as an organized effort followed
by on-the-job experience. Certainly no complete substitute exists for experience,
and often a well-regulated, on-the-job training program is an excellent method
for the completion of instruction. It is just as certain that on-the-job experience
is not necessarily synonymous with on-the-job training.
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 Engineer Offices

1-402A Commercial 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 Gauges
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 Resident Engineer
and other items and services included in the cost of resident engineers’ offices to the Offices
phase 4 expenditure authorization as state-furnished material. When an office is
used for more than one project, appropriately prorate the charges.
For a description of items and services included in the cost of the resident engineer’s
office, refer to the Coding Manual, Volume I, “Object Code 184.” State-furnished
material funds may also be used for utilities (Object Code 002) and monthly
communications (phones and cell phones, Object Code 025).
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.
You may arrange to place office trailers in maintenance yards or on state highway
right-of-way.

Facilities and Equipment 1-4.1
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 engineer’s 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 engineer’s 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 FA-
2134, “Utility Service Request,” should be filled out and forwarded to the
Division of Accounting and a copy kept in the project files. The Division of
Accounting has a web site with an electronic form and instructions at:
http://onramp.dot.ca.gov/hq/accounting/utility.
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 engineer’s staff is not present, always keep the field
office locked. Commercial security systems may be warranted for a field office. You
can use funds for state-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, see Section 8.06, “Emergency Action Plan Requirements,” of the
Caltrans Safety 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
requirements for handling nuclear gauges, including transporting and storage. Refer
to California Test 121, “Use of Nuclear Gages,” for nuclear gauge requirements.

1-4.2 Facilities and Equipment
1-405 Automotive Equipment 1-405
District construction assigns vehicles to field personnel. The resident engineer Automotive
or the construction engineer will determine the use of vehicles at the project Equipment
level with due consideration for the needs of the Office of Structure
Construction’s 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 Saftey,”
of the Caltrans Safety Manual.
Section 9-09, “Requirements for First Aid Medical Supplies” of the Caltrans
Safety 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 Manual. Chapter 18 requires that each vehicle
carry Form STD. 269, “Accident Identification Card.”
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. For these guidelines, see the
Division of Equipment web page at the following address:
http://onramp.dot.ca.gov/hq/equipment/InfoRes.htm
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 Services 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 of the Construction Manual (manual) contains guidelines for paying General
for travel expenses and obtaining goods and 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
and Expense 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
The Caltrans Acquisition Manual is available at the following web address:
http://adsc.caltrans.ca.gov/
For items that are unavailable through district warehouses, use commercial vendors.
The following two procedures are the most frequently used methods field personnel
use for purchasing 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.

Field Expenses and Purchases 1-5.1
In general, use the Cal-Card for office and engineering supplies necessary to support
the construction project.
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 obtaining reimbursement for approved purchases, submit Form FA-3202, “Travel
Expense Claim,” or Form FA-0202, “Cash Expenditure Voucher.”
1-504 1-504 Services Contracts

Services 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
Section 1 Safety
2-101 General
2-102 Duties and Responsibilities

2-102A District Construction Deputy Director
2-102B 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 Nonserious 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 Accident Reports and Investigations
2-107 Safety Precautions for the Public in Construction Areas
2-108 Hazardous Waste

Safety 2-1.i
Section 1 Safety Section 1

Safety
2-101 General 2-101

Federal and state laws have established occupational safety and health standards General
with which all employers must comply. These laws require an employer to provide
a safe place of employment that is reasonably free from danger to life or health.
The Caltrans Safety Manual is the basis for the official Caltrans injury and illness
prevention program. Use the Caltrans Safety Manual in conjunction with the
Construction Manual (manual). The Caltrans Safety Manual lists mandatory safety
policies and procedures, provides a centralized reference to operational safety
advisories, and standardizes instructions related to reporting employee occupational
injuries, vehicular accidents, and claims against Caltrans.
Federal Highway Administration (FHWA) requirements and the Standard
Specifications establish compliance with safety regulations as a condition of the
contract. As a contract requirement, compliance with safety regulations is enforceable
by contract administration procedures, as are all other specifications.
2-102 Duties and Responsibilities 2-102

The following describes the district’s responsibilities for safety on Caltrans Duties and
construction projects: Responsibilities
2-102A District Construction Deputy Director
The district construction deputy director must ensure that a training program is
maintained to acquaint all Caltrans construction personnel with the basics of
construction safety.
2-102B Construction Safety Coordinator
The district’s construction safety coordinator must act as technical advisor and
coordinate the district’s administration of contractors’ compliance with safety
requirements. The construction safety coordinator must also do the following:
• Be familiar with highway construction procedures, equipment, and construction
zone traffic management, and also be able to recognize and anticipate unsafe
conditions created by a contractor’s operation.
• Visit projects periodically to observe the contractor’s operation and any traffic
conditions affected by construction activity. The frequency of these visits will
depend upon the type and complexity of the work. When requested by the resident
engineer, the coordinator must make additional visits. However, during the life
of shorter contracts, one visit may be sufficient.
• Make a written report of each visit, and file a copy of the report with the project
records. The purpose of the visit is not to perform a complete safety inspection,
but to observe the contractor’s overall efforts and answer questions or look at
specific areas as requested by the resident engineer.

Safety 2-1.1
• Be the district’s primary contact with the Division of Construction safety engineer
and the local Division of Occupational Safety and Health (Cal/OSHA), except
for emergencies involving imminent hazards.
• Be responsible for administering the district’s construction safety training
program. Structure the training program to meet the district’s needs. This
mandatory training must take place at a frequency of a minimum of four hours
per employee per year and must be included in the district’s annual training
plan. Safety training will include orientation training to all employees at the
time of their first assignment to construction. Employees returning to construction
following an absence of five years or more must also receive safety orientation
training.
• Be the advisor for the construction safety portion of the preconstruction
conference. If the coordinator does not take part in the discussion, the coordinator
must be involved in reviewing the specifications and determining what specific
areas of safety will be discussed with the contractor.
2-102C Construction Engineer
The district construction engineer must review construction projects to ensure that
the resident engineer is monitoring the contractor’s construction safety program
adequately and that an effective safety program is being performed. While the
construction safety coordinator acts as a technical advisor on construction safety,
the construction engineer is responsible for advising the resident engineer on
construction safety as it relates to contract administration.
District construction engineers are also accountable for the performance of employees
under their supervision. They should document their reviews of employee safety
programs.
2-102D Resident Engineer
The resident engineer must ensure that the contractor complies with all aspects of
the contract including the applicable Construction Safety Orders. In doing do, the
resident engineer must also do the following:
• Identify an unsafe condition as well as the specific regulation involved, if known.
Under no circumstances instruct the contractor verbally or in writing on how to
correct a deficiency.
• In a special safety report using Form CEM-4601, “Assistant Resident Engineer’s
Daily Report,” document the construction safety activities of both the contractor
and Caltrans project personnel. At least weekly, complete this report and file it
in Category 6, “Safety,” of the project records.
• Ensure the contractor complies with all safety orders through normal contract
administration procedures. The state-enforcing agency for safety regulations is
Cal/OSHA.
• Give project safety deliberate attention, both at preconstruction conferences and
throughout the duration of the contract. In the project files, document safety
discussions at preconstruction conferences and cover at least the following items:
1. The contractor’s accident prevention program required by Cal/OSHA.
2. The contractor’s code of safe practices, also required by Cal/OSHA. This
code must be developed for each contract and reviewed by either the resident
engineer or the construction safety coordinator.
3. Various permits that may be required before starting specific work items,
such as excavation, trench shoring, falsework, and scaffolding.
2-1.2 Safety
4. Other safety items that may be pertinent to the contract, related to items
such as blasting operations, work in confined spaces, personal protective
equipment, back-up alarms, rollover protective structures, traffic control,
and access to elevated work.
5. The reporting of disabling or fatal accidents to the resident engineer and
Cal/OSHA.
6. The contractor’s safety training program.
• Develop the code of safe practices for the project and ensure they are followed.
2-102E Project Safety Coordinator
The resident engineer may delegate safety responsibilities to an assistant who will
act as the project safety coordinator. Usually this delegated work will be in addition
to other assigned duties, but on large contracts it may be full time. The project safety
coordinator must monitor and document the contractor’s compliance with safety
requirements and must keep the resident engineer informed. The project safety
coordinator also acts as a safety advisor to Caltrans project personnel.
2-102F Project Staff
Caltrans does not intend that the resident engineer and the project safety coordinator
carry the total load of monitoring the contractor’s construction safety activities. All
construction personnel must consider the safety of the operations in conjunction
with their normal inspections.
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, would likely result
in an accident causing severe or permanently disabling injury, or causing death.
When an imminent hazard is found to exist or when the contractor permits repeated
occurrences of a hazardous condition, the resident engineer must take the following
steps:
• Immediately advise the contractor verbally 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 project’s safety report
with appropriate references in the resident engineer’s daily report.
• If the contractor does not comply, suspend the affected operation. Confirm the
suspension order with written notice to the contractor.
• Document the incident and the action taken in the resident engineer’s daily report.
Whenever it is necessary to suspend a contractor’s operation, notify the construction
safety coordinator and Cal/OSHA of the hazardous condition and the actions taken.
By fax, e-mail, or telephone, notify the Division of Construction safety engineer of
the actions taken. Safety reports, giving all details leading up to the suspension, and
copies of orders by the resident engineer, Cal/OSHA, or both, must be placed in
Category 6, “Safety,” of the contract files.

Safety 2-1.3
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 could develop into an imminent hazard. When
a dangerous condition is found to exist, the resident engineer must take the following
steps:
• Advise the contractor verbally 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 does provide timely correction, consider ordering a suspension
of the affected operation. Confirm the suspension order with written notice to
the contractor.
• Document the incident in the project’s safety report with appropriate references
in the resident engineer’s daily report.
2-103C Minor or Nonserious Conditions
Minor or nonserious conditions are ones that could result in minor injuries or that
may be classified as a minor threat to health. When a nonserious or minor condition
is found to exist, the resident engineer must take the following steps:
• Advise the contractor verbally of the condition and the need for correction.
• Document the incident in the project’s safety report.
• Protect Caltrans and consultant employees from exposure.
If the contractor fails to correct the condition or permits a repeated occurrence, notify
the construction safety coordinator.
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 Cal/OSHA inspections.
and Health 2-104A Authority and responsibility
The law requires Cal/OSHA to enforce the safety orders and to promote safe
workplaces and practices. Cal/OSHA achieves this function through three separate
agencies, a 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 the safety orders. Both state and federal law require that
these safety orders be no less restrictive than the 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, then
appealed to a superior court.
To allow Cal/OSHA to accomplish its mission, the Labor Code gives Cal/OSHA the
authority to enter and inspect any place of employment to ensure that safe conditions
and practices are being observed. If necessary, this right of entry can be enforced by
warrant.

2-1.4 Safety
2-104B Citations and Civil Penalties
Cal/OSHA has the duty to issue citations if unsafe conditions or work practices are
documented during an inspection. Civil penalties are proposed consistent with the
severity of the violations cited. The amount of the penalty is determined by procedures
established in the regulations. Public agencies are not exempt from these penalties.
Violations are classified by severity, as either general or serious. Under specific
circumstances, these classifications will be expanded to willful, repeat, or both.
Violations result in monetary penalties. Penalties are also mandatory for failing to
abate hazards and for making false statements.
In addition to the civil penalties noted above, managers can be held criminally
responsible. To be held criminally responsible, the manager must knowingly or
negligently allow a serious violation, repeatedly violate the safety orders, or directly
refuse to correct a known, unsafe condition. The criminal penalties can be as severe
as six months to one year in jail and may include fines.
Occasionally, Cal/OSHA will issue an informational memorandum when a condition,
or potential condition, is encountered in which no employee has been exposed, but
if an employee were to be exposed, a safety violation would exist. Violations of an
informational memorandum are always classified as willful violations.
2-104C Classes of Employers
California recognizes four different types of employers, any of which can be cited
by Cal/OSHA for safety violations. This classification of different types can result
in more than one employer being cited for the same violation. The following are the
recognized classes of employers as defined by the Labor Code:
• Exposing employer—The employer whose employees were exposed to the
hazard.
• Creating employer—The employer who actually created the hazard.
• Controlling Employer—The employer who was responsible by contract or
through actual practice for the safety and health conditions on the work site.
This employer is the one who had the authority for ensuring the hazardous
condition was corrected.
• Correcting Employer—The employer who had the responsibility for actually
correcting the hazard.
With regard to Caltrans employees, Caltrans (not the resident engineer) may be the
exposing employer if a Caltrans employee is allowed to work in an unsafe location
or to participate in an unsafe act. Because Caltrans has given resident engineers and
their staff engineers the authority to intervene when they believe a condition or act
to be unsafe, the possibility also exists that Caltrans may be considered by Cal/
OSHA to be a controlling employer.
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 during a Cal/OSHA inspection.
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, described as follows:
• Opening conference—The Cal/OSHA inspector will ask for the highest level of
management on-site. Introductions will be made, and the inspector will state the

Safety 2-1.5
reason and purpose of the inspection. At this time, the inspector will ask questions
about the employer, such as the size of the organization, number of employees
on-site, addresses and phone numbers, and other information. Questions may
also be asked about the employer’s injury and illness prevention program. The
basis for Caltrans’ program is the Caltrans Safety Manual. The employer will be
asked for permission to make a walk-through inspection of the site, and the
employer will be invited to accompany the inspector.
• Walk-through inspection—The inspector will tour the site observing the work
in progress, the condition of the site, and the work practices being followed.
Employees may be interviewed concerning the training they have received, work
procedures, and protective equipment they are using. The inspector may take
photographs and measurements during the inspection. If this is a post-accident
investigation, witnesses will be identified and interviewed. Witness contact
information, such as name, address and telephone number, may be requested.
The inspector will identify any violations that are observed. Any such violation
probably will become a citation during the closing conference.
• Closing conference—After the walk-through inspection has been completed,
the inspector will meet with management, supervisors, and employee
representatives to discuss the violations and any proposed citations. Citations
may be based on the inspector’s observations and also on statements made by
managers, supervisors, and employees. This conference may be held immediately
after the walk-through inspection or may be deferred. Although this conference
is usually conducted in person, it may sometimes be conducted by telephone.
2-104D (2) Participation in the Inspection

• As a matter of policy, Caltrans will cooperate and participate with Cal/OSHA. If
you are asked questions that you are uncomfortable with, politely decline to
answer. Caltrans employees are not required to make any statement that may be
harmful to their interests or those of Caltrans. In the event of an inspection, do
the following:
• Opening conference—Notify the construction safety coordinator that Cal/OSHA
is planning to make an inspection. If the construction safety coordinator is not
available, notify the district safety officer of the pending inspection. At the same
time, notify the construction engineer. If the construction safety coordinator or
safety officer can arrive in a reasonable length of time, request that the walk-
through inspection be delayed pending their arrival. The resident engineer or
representative must participate in the inspection. The construction engineer should
participate.
• Walk-through inspection—Participate and document the inspection. Record what
areas were inspected, who was interviewed, and what violations were mentioned
by the Cal/OSHA inspector. If the inspector takes photographs, take the same
photograph for Caltrans records. Also, if any measurements are taken,
independently take the same measurements.
• Closing conference—The resident engineer must participate in the closing
conference, and the construction engineer or a representative (other than the
resident engineer) should participate. If the district safety officer or construction
safety coordinator is not present, insist that the closing conference be delayed
until the district safety officer is present. If citations are proposed, remain open
and noncommittal.

2-1.6 Safety
2-104D (3) Procedures If Citations Are Received
If citations are received either by personal delivery or by mail, take the following
actions:
• Notify the district safety officer and your construction engineer that the citations
have 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, structure representatives must notify the
Office of Structure Construction of the citations.
The district safety officer, and in most instances the Office of Safety and Health,
will work with the resident engineer to resolve the citations. If necessary, arrangements
for legal support will also be made.
2-105
2-105 Specific Safe Practices
Specific Safe
Every employee has the responsibility to be informed of and to follow the specific
Practices
policies and practices discussed in the Caltrans Safety Manual.
2-105A Code of Safe Practices
The Construction Safety Orders require that every employer adopt a written code of
safe practices. The resident engineer must ensure that this code is prepared for every
project. Pay particular attention to ensure the code includes those items unique to a
specific project as well as those portions of the contractor’s code that affect Caltrans
employees and consultants. The project file must contain documentation that all
employees and consultants have read and understood the code of safe practices and
have received a project safety orientation.
2-105B Tailgate Safety Meetings
The Construction Safety Orders also require tailgate or toolbox safety meetings. As
stated in Construction Safety Order 1509, “Injury and Illness Prevention Program,”
these meetings must be held at least once every 10 working days.
Section 2-05, “Tailgate Safety Meetings for Field Personnel,” of the Caltrans Safety
Manual, contains specific instructions for tailgate meetings. Follow this section and
district policy.
2-106
2-106 Accident Reports and Investigations
Accident Reports
Chapter 19, “Special Reporting of Serious Injury, Illness, or Fatality,” of the Caltrans
Safety Manual, explains the reporting requirements for the serious injury, illness, or
and Investigations
fatality of Caltrans employees and non-Caltrans employees working on a Caltrans
project. This chapter also explains the reporting requirements for major property
damage or fatal accidents that occur in construction zones. Part 4, “The Investigative
Processes,” of Chapter 19, “Special Reporting of Serious Injury, Illness, or Fatality,”
of the Caltrans Safety Manual, discusses and describes accident committee
investigations.
Report to the Division of Construction accidents with no injuries, but with a high
potential for being fatal or disabling. These types of accidents include the following:
• Falsework or guying system failures
• Overturned cranes
• High-voltage contacts

Safety 2-1.7
• Trench excavation or shoring failures
• Gas or fuel line fires or explosions
• Hazardous utilities breaks
• Collisions with structures under construction or with their supporting falsework
that cause displacement of a major member
For all accidents occurring in construction zones, the resident engineer should take
sufficient photographs or videotapes to document the conditions that existed at the
time of the accident, including all signing and traffic control features that may have
been in effect at the time of the accident. Depending on district policy and the nature
and severity of the accident, additional documentation may be required. For additional
information on accident investigation and documentation, consult the construction
safety coordinator.
2-107 2-107 Safety Precautions for the Public in Construction Areas

Safety Precautions Many construction activities and areas have a tendency to attract onlookers. Children,
for the Public in especially, are attracted to observe construction operations. Moving construction
Construction Areas equipment poses a potential danger to onlookers.
Resident engineers and assistant resident engineers must be aware of these potential
hazards to the general public and work with the contractor to take reasonable
precautions to exclude the public from the construction area. Fencing, if practical,
and “no trespassing” signs should be provided at all sites that may be potentially
dangerous.
2-108 2-108 Hazardous Waste

Hazardous Waste If hazardous waste is encountered on the project, notify the district hazardous waste
coordinator immediately. The coordinator will advise and may assist in the disposal
procedures and may also suggest extra safety measures the resident engineer can
take to protect the public and workers.
See Chapter 7, “Environmental,” of this manual for additional guidelines for dealing
with hazardous waste.

2-1.8 Safety
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 Construction Safety Coordinator
2-205 Guidelines for Traffic Control Plans

2-205A Basic Instruction
2-205B General Considerations
2-206 Elements of a Roadway

2-206A Geometrics
2-206B Cross-Over Transitions
2-206C Existing Ramps
2-206D Run-Off Area
2-206E Lane Widths
2-206F Lateral Shifting
2-206G Surfacing Materials--Color and Texture
2-215A (11) COZEEP Procedures
2-207 Speed Zones
2-208 Night Work
2-209 Delineation
2-210 Ramp Closures

Traffic 2-2.i
2-211 Informing the Public
2-212 Keep it Clear and Clean
2-213 Roadways Over Railroad Tracks
2-214 Transportation Management Plans
2-215 Construction Zone Enhanced Enforcement Program

2-215A COZEEP Guidelines
2-215A (1) Estimating Funding
2-215A (2) Redirection of Project Funds
2-215A (3) Obtaining Additional Funds
2-215A (4) Responsibility of the Project Engineer
2-215A (5) Responsibility of the Resident Engineer
2-215A (6) Using COZEEP on Freeways and Expressways
2-215A (7) Using COZEEP on Connectors and Ramps
2-215A (8) Using COZEEP on Conventional Highways
2-215A (9) Risk Factors
2-215A (10) Estimating COZEEP Funding Requirements

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 References
restrict the use of any state highway whenever Caltrans considers such actions
necessary for the following reasons:
• To protect the public
• To protect a highway from damage during storms, after major earthquakes,
or other natural disasters
• To protect a highway during construction, improvement, or maintenance
operations
Traffic control systems conform to the Standard Plans, unless the contract
specifies otherwise.
All signs, lights, and devices must conform to Section 12, “Construction Area
Traffic Control Devices,” of the Standard Specifications. For how to apply
signs, lights, and devices used on construction projects, review the current
version of the Manual on Uniform Traffic Control Devices (MUTCD) and
MUTCD California Supplement.
2-202 Objective 2-202

The objective of this section is to provide for worker protection and the safe Objective
passage of public traffic through 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 Planning
construction zones starts with planning. A traffic control plan must be included
in all contract plans and special provisions. Before the district submits the plans,
specifications & estimate to headquarters, the district construction plans and
specifications reviewer must review the plan.
The plan must be adequate for conditions that will be encountered during
construction. The reviewer should determine that the plan can be implemented
and that it adequately facilitates the movement of traffic. Any comments or
suggestions regarding traffic control should be discussed with district design
and traffic units during the project’s planning and design phase.

Traffic 2-2.1
2-204 2-204 Responsibilities and Procedures
Responsibilities and The following outlines the responsibilities and procedures for each of the key
Procedures personnel involved in traffic control.
The resident engineer has the responsibility and authority for administering the
traffic control plan and all other aspects of safety on construction projects. The
resident engineer may delegate the administration of traffic control to another
person assigned to the project, preferably to the project safety coordinator. For
the duties and responsibilities of the project safety coordinator, see Section 2-1,
“Safety,” of the Construction Manual (manual).
Once assigned to the project, the resident engineer should perform the following
administrative duties:
• Compare the plan for traffic handling to the conditions found at the site.
Note any unusual local traffic movements and the movements of emergency
vehicles. Include in the preconstruction conference a discussion of the traffic
control plan. For details related to preconstruction conferences, see Section
5-003, “Preconstruction Conferences with the Contractor,” of this manual.
• Modifications of the traffic handling plan may be considered at this point.
Given the specifics of a contractor’s needs, it may be possible to provide
improved traffic service over the service originally contemplated. Changes
requested by the contractor must provide at least equal traffic service to
receive favorable consideration.
• Changes made in existing contract plans and specifications or new plans
and specifications covering unanticipated conditions or conditions not fully
delineated in the contract must be covered by contract change order. Such
ordered changes must include plans in sufficient detail to define all elements
of the proposed changes and roadway design.
• The district will establish a procedure for the 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.
• Some unpredictable, immediate situations of a minor nature or short duration
will arise during the work and will require good judgment to obtain optimum
results. In these instances, formally approved plans are not required, but
delineate or specify what is to be done and record in writing actions taken
and orders given.
• To establish the geometry, markings, devices, and signs that existed at any
time during the project, maintain in sufficient detail a record of the placement
into service, changes, and discontinuance of roadways and detours. The
form of the record 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 very valuable.
• If the contractor’s operations interfere with or cause potential safety problems
with vehicular or pedestrian traffic, contact the contractor immediately and
request correction of the deficiency. If necessary, direct the contractor in
writing to act at once to remedy the unsatisfactory situation. Caltrans work

2-2.2 Traffic
forces should be called upon only when necessary, because of a physical
inability of the contractor or a refusal by the contractor to act. A contractor’s
failure to perform is cause to order the cessation of the operations.
2-204B State Representative
Where the contract is administered by others, oversight of traffic through and
around a construction zone involves overseeing and working with the local
entity or private sponsor’s resident engineer. The state representative assigned
to the project must make sure the resident engineer performs the duties as
outlined above.
For all changes to the district approved traffic control plans on contracts
administered by others, use the same review and approval process established
for projects administered by Caltrans.
As a last resort, the state representative has the authority to stop the contractor’s
operation wholly or in part or take appropriate action when public safety is
jeopardized.
2-204C Construction Safety Coordinator
Section 2-1, “Safety,” of this manual covers the duties of the district’s
construction safety coordinator. Here we further detail the coordinator’s duties
related to traffic handling.
The district’s construction safety coordinator 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
these reviews in the project records and discuss any apparent deficiencies in
the traffic control plan or problems in traffic safety with the construction engineer,
traffic engineer, and resident engineer. Instead of the construction safety
coordinator, a specialist from the district traffic unit may perform the traffic
reviews provided the required documents and discussions are included in the
project records.
A construction engineer is responsible for ensuring that traffic handling through
construction projects conforms to the specified traffic control plans. If the plans
are modified by contract change order, construction engineers must take the
necessary steps to ensure that the modified plans are adequate to provide the
highest level of traffic safety and service consistent with the conditions actually
encountered. During routine visits to the project, construction engineers should
also include reviews of signing, delineation, and general traffic handling.
2-205 Guidelines for Traffic Control Plans 2-205

The following are some basic guidelines and general considerations for traffic Guidelines for
control plans. Traffic Control
2-205A Basic Instruction Plans
The following instructions usually apply more to the planning and design phase
of a project. They are included here to help provide construction personnel
with some basic concepts for safe and efficient traffic flow through a highway
construction project. Use these guidelines when it is necessary to make changes
in traffic control plans during construction.
• Whenever possible, permit traffic continued undiminished use of the existing
facilities.
• When such use is not possible, accommodate traffic by ensuring a continuous
Traffic 2-2.3
roadway throughout the length of the project. To ensure this continuous
roadway is achieved, use 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 is diverted over a temporary roadway
5. Allowing traffic to pass through the work in progress
• Ensure the temporary roadway is engineered to the highest standards
practically possible. Apply the same type of design considerations as those
incorporated into the new construction. These considerations include the
following:
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
• Show the design of the temporary roadway in the traffic control plan.
• Make safety and convenience the first design consideration. Economy will
be a factor only as it is necessary to obtain balance between benefits and
resources. By itself, cost must not be a primary limiting factor.
2-205B General Considerations
There is no formalized solution and design that applies to all situations. The
following guidelines are intended only to guide engineering judgment and
ingenuity:
• The engineer’s job is to create a physical facility that will induce motorists
to make the proper responses to guide their vehicles in the intended path of
travel and that will make it possible for the vehicle to react as intended.
• The path the car is intended to follow, the traffic lane, is the most important
single element of the roadway. The following are elements that affect the
driver’s ability to follow the intended path:
1. The lane’s 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, but if differences must exist, make
the differences clearly apparent.
• Accident concentrations and inconvenience often occur with changes in direction,

2-2.4 Traffic
number of lanes, alignment, and necessary change of speed. Compensate
for a required reduction of one by an improvement of another. For example,
compensate for a sharper curve with solutions such as an increased lane
width or a runoff area.
• Visualize what effect the changing conditions of visibility and lighting will
create. Glare conditions such as rain at night or facing the 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 day and night. Anticipate any 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 (Type K), all of which indicate a potential need for improvement. Be
aggressive in seeking changes to improve the situation. Continue this
appraisal through the life of the project. Each day a condition can change
that may have an impact on the facilities’ effectiveness.
• Reductions in the width or number of lanes affect the capacity and the
traffic flow. When severe congestion is forecast because of capacity
reductions, include plans for media notification, alternate route development,
metering via upstream ramp closures, and use of changeable message signs.
2-206 Elements of a Roadway 2-206

The following are some guidelines for the design of roadways carrying traffic Elements of a
through construction areas: Roadway
2-206A Geometrics
For conditions shown on the plans that need adjustment, discuss any proposed
changes with the district traffic unit. Include the following considerations for
conditions requiring minor changes in the field:
• Design for the speed 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 the 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 the design speed differential is no more that 15 km/h.
The geometrics for a transition at the end of a high speed approach should
be better than the geometrics that may be adequate for a situation within the
construction area.
• Locate the approach transition so that it is visible to the approaching motorist.

Traffic 2-2.5
Avoid placing the entering transitions on horizontal curves, just beyond
horizontal curves, or beyond 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 to just clear the construction area.
• If physically possible, in the transition give the driver at least the same effective
traversable roadway width, and preferably more, as on the approach roadway.
Adequate maneuver room at critical points is an important factor in preventing
accidents.
• Design to require the least change, whether in change of direction, 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 Cross-Over Transitions
The following guidelines apply to cross-over transitions:
• Design cross-over transitions to the highest geometric standards within tolerable
limits of cost. Use flat diagonal crossing in preference to reversing curves.
• When cross-overs 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 cross-overs are not in use, place positive barriers across entry areas,
including appropriate signing.
2-206C Existing Ramps
For temporary modifications of existing ramps, pay close attention to acceleration and
deceleration lanes. Reducing standards on existing facilities, such as sharpening curves
and shortening auxiliary lanes, can adversely affect the operating characteristics.
Supplemental construction work may be necessary to retain the effective operating
characteristics of the existing facility.
2-206D Run-Off Area
Whenever physically possible, establish and maintain a safely traversable area outside
the delineated roadway of such width that there will be a run-off zone. To enhance
night visibility, delineate material, equipment, excavations, or obstructions 4 m or
more from the traveled way (outside of normal required protection parameters).
Creating safe run-off areas may also require ordering the 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 lane widths or
additional surfaced shoulder width in transitions and critical alignment.
2-206F Lateral Shifting
Construction situations frequently require a lateral shifting of traffic in relation to
the normal path of travel. This lateral shift may involve dropping a lane. Use the
standard formula for taper length as shown in the Manual on Uniform Traffic Control
Devices (MUTCD) and MUTCD California Supplement or in the details included in
the project’s traffic control plan.

2-2.6 Traffic
Before opening lanes to traffic, remove or obliterate all conflicting lines and markings.
Day and night and under all weather conditions, obliterated lines and markings
must be unidentifiable as pavement delineation.
2-206G Surfacing Materials—Color 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 very critical. If
asphalt concrete joins asphalt concrete the difference in texture and color between
the existing and new 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 because at night and during rainy weather the joints often
stand out more prominently than the traffic lane lines.
• When conditions prevent starting the temporary surfacing at a square join on
the existing pavement, the necessary continuity of the traveled lane can be
established by a treatment such as a light sand seal. Establishing continuity of
the traveled lane in some manner 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 traffic on the highway, 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 the procedures stated in the
Manual on Uniform Traffic Control Devices (MUTCD) and MUTCD California
Supplement. The district construction and traffic units must jointly review and
agree to these limits. Also, it is advisable to discuss the limits with the California
Highway Patrol. Participation in the Construction Zone Enhanced Enforcement
Program (COZEEP) is a precondition for any project for which a reduced speed
zone is proposed. See the heading “Construction Zone Enhanced Enforcement
Program” later in this section.
• To avoid the necessity of obtaining more than one order for speed reduction per
project, ensure the limits requested in the order cover the maximum distance where
reduced 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 in place and displayed.
• It is imperative that the speed limit be posted only for the duration of the conditions
justifying the reduction and only for those areas of the project within which it is
unsafe at any and all times to travel at a speed in excess of the posted limit.

Traffic 2-2.7
• Speed limit signing may be considered during work operation parameters.
When work operations are complete for the day, remove or cover the signs
immediately. Implement temporary speed limit reductions in conjunction
with a COZEEP operation.
• Use the posting of advisory speeds on appropriate warning signs to advise
the public of what speed is considered appropriate at specific localized
situations such as points of curvature or traffic diversion. The selected speed
should be that at which the driver exercising due care would drive in normal
conditions of light and weather.
2-208 2-208 Night Work

Night Work Frequently the special provisions for a project 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 upon
the contract plans and upon the details of the contractor’s operations. Require
the contractor to submit and obtain approval of the plan or operations before
proceeding with night work. Also, here are some details to consider:
• Avoid traffic splits if at all possible. Shift traffic to one side or to the other,
but do not split it into two traffic streams. This requirement sometimes
requires the closure of an extra lane.
• Confine the work area to as short a distance as is practical.
• The immediate work area should be well lighted by floodlights, but in such
a way so as to not blind drivers of approaching vehicles. (See Section 7-
1.06, ”Safety and Health Provisions,” of the Standard Specifications.) If
properly shielded, most of the floodlights can be mounted on construction
equipment. Ensure the intensity of the lighting is not any brighter than is
necessary for inspection work.
• Ensure the contractor’s plan of operation provides sufficient room for
delivery vehicles so that none are ever forced to stop in the traffic lanes.
• Providing for exit ramp traffic within the limits of the coned-off area may
be extremely difficult. Sometimes through traffic tends to follow an exiting
vehicle. To expedite the work, it is helpful to temporarily close the exit if
traffic patterns and volumes permit.
• In addition to the 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 4-1203J, “Portable Changeable
Message Signs,” of this manual. You may also consult the district traffic
unit.
• Use road flares to get motorists’ attention only under emergency conditions.
Take care to prevent fires in susceptible high-fire rated areas.
• For the use of amber flashing lights and for driving and parking in a closed
lane at night, see the Caltrans Safety Manual.
• Either through illumination or suitable marking, ensure all equipment is
visible to traffic.

2-2.8 Traffic
• During daylight hours, mark in advance signs and lane closure locations.
The resident engineer should review lane closure layouts for visibility and
effectiveness. When possible, mark in advance cone locations so that cones
may be placed quickly and accurately and the resulting line of cones will
be straight and correctly spaced.
• The Construction Safety Orders, Article 11, 1599 (e) requires flagger stations
to be illuminated 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.
• Workers on foot must wear white or light-colored clothing. Caltrans policy
requires Caltrans employees to wear white outer garments. White coveralls
are available for state employees. All persons must have reflective markings
on their safety garments during the hours of darkness. Reflective material
on the vest or outer garment must be visible for a minimum of 300 m, be
designed to identify the wearer as a person, and be visible through the full
range of body motions. Consider exceptions to the use of white clothing in
dense fog or snow areas.
• To maintain the cones, signs, and other safety devices, the contractor must
patrol the project’s 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

According to Caltrans policy, no undelineated roadway can be opened to Delineation
unrestricted or uncontrolled traffic. Before opening a roadway to unrestricted
public traffic, delineation must be in place. Delineation can be accomplished
by one or a combination of the following procedures:
• Placing the final delineation on the roadway
• Using either long-term or short-term temporary delineation
• Using channelizing devices
For a detailed discussion of acceptable temporary delineation methods, see
Section 4-12, “Construction Area Traffic Control Devices,” of this manual. For
a discussion of final delineation and pavement markings, see Section 4-84,
“Traffic Stripes and Pavement Markings,” of the manual.
2-210 Ramp Closures 2-210

Whenever possible, avoid the prolonged closure of freeway ramps when the Ramp Closures
closure may adversely affect local businesses. Where ramp closures cannot be
avoided, minimize the adverse effects to the greatest extent possible.
During the planning and design phase of any project, an impact study is made
for any proposed prolonged ramp closure. Local businesses that may be affected
are included in the public distribution of the environmental document and are
notified of any public hearing.

Traffic 2-2.9
The district construction unit must request an impact study for any 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 any contract change order that would result in a prolonged ramp closure,
weigh the results of this study with other factors, such as construction costs, travel
costs, delay, and safety.
Also, request an impact study for ramp closures of short duration where the possibility
exists of adverse effects or where 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.
Public A 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.
The resident engineer must ensure that information on project road closures, new
road openings, traffic rerouting, and changes in traffic conditions is made available
in advance for local publicity. Follow the district’s 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 Keep it Clear and Clean

Keep it Clear and To ensure safety and convenience, plans are prepared to provide unobstructed
Clean roadways. Periodic project safety reviews should note deficient areas and recommend
corrective action by the contractor. During these reviews, examine the locations of
planned roadside obstacles along with protective safety devices, signs, stripe, detours,
falsework, temporary railing (Type K), 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.
Ensure all traffic control facilities are kept in good repair. A continuing program of
inspection, replacement, and cleaning is necessary.
2-213 2-213 Roadways Over Railroad Tracks

Roadways 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):
• The Public Utilities Commission crossing number as shown on the railroad
crossing sign

2-2.10 Traffic
• The existing protection at the crossing
• The date the detour will be put into use and the estimated time it will be in use
• The estimated volume of traffic to be detoured over the crossing
• Whether or not any additional protection is proposed
If construction involves any 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. Should it be required, a contractor
must obtain a private crossing agreement.
2-214 Transportation Management Plans 2-214

Transportation management plans, including increased ride sharing, service patrols, Transportation
local agency traffic control officers, and extra media effort, in addition to conventional Management Plans
traffic control activities, have been developed by many districts to cover one or
more contracts. The district construction office and the resident engineer must ensure
that the contractor’s activities are compatible with the transportation management
plan that affects the project.
2-215 Construction Zone Enhanced Enforcement Program 2-215

The Construction Zone Enhanced Enforcement Program (COZEEP) is based on a Construction Zone
statewide master agreement between the California Highway Patrol (CHP) and Enhanced
Caltrans. Under the agreement, Caltrans pays the CHP for furnishing officers and Enforcement
cars for use in construction zones. Use the following guidelines and procedures to
implement COZEEP. Program
2-215A COZEEP Guidelines
The intent of the following guidelines is to provide a more uniform application of
COZEEP resources throughout the state. Use the guidelines when determining when
and how COZEEP is to be used on a project. Document the basis for COZEEP use.
2-215A (1) Estimating Funding

Consult your district COZEEP coordinator for a current estimate of hourly and
mileage COZEEP cost.
2-215A (2) Redirection of Project Funds

In the detailed estimate, the initial funding level for COZEEP will be shown as
supplemental funds for state-furnished materials and services. If additional funds
are required during the life of the project, available contingency funds can be
transferred to “state-furnished materials and services—COZEEP.” Likewise, unused
COZEEP funds may be transferred to the contingency fund and used for other
purposes.
2-215A (3) Obtaining Additional Funds

Additional funds may be obtained for capital projects and maintenance funded
projects as follows:
• Capital projects—If insufficient funds are available in both the supplemental work
funds and the contingency funds, propose a fund request. The request may be
processed under the G-12 process or may require a California Transportation

Traffic 2-2.11
Commission supplemental vote. The request should be processed, justified,
and documented in the same manner as any other fund request.
• Maintenance funded projects—On maintenance projects, obtain additional
funding through a request to the district maintenance unit.
2-215A (4) Responsibility of the Project Engineer

On every project that requires the contractor to close traffic lanes, the project
engineer must assess the need for COZEEP. This assessment will be reviewed
as part of the project’s 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 engineer’s pending file for the design assumptions
and estimate calculations.
2-215A (5) Responsibility of the Resident Engineer

The resident engineer must administer the COZEEP program on the project. If
COZEEP services are not available, then exercise judgement 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 8-1.07, “Liquidated Damages,” of the Standard
Specifications.
If the contractor requests additional CHP support beyond that which is included in
the project plan, the resident engineer may, if appropriate, write a change order.
The contractor must bear the costs and expenses for additional support from the
CHP, and all associated costs are deducted from monies due to the contractor.
When evaluating cost reduction proposals and contract 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 CHP pay period, report the COZEEP used during the pay period to
the district COZEEP coordinator.
2-215A (6) Using COZEEP on Freeways and Expressways

Every attempt should be made to provide COZEEP for the following situations:
• All daytime 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
Consider all other closures on a project specific basis.
In general, COZEEP is not necessary when only one lane is closed on freeways
with four or more lanes in the same direction of travel.
2-215A (7) Using COZEEP on 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
usually do not need COZEEP.

2-2.12 Traffic
2-215A (8) Using COZEEP on Conventional Highways
For complete highway closures and for 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 multilane highways do not require
COZEEP.
2-215A (9) Risk Factors

The risk factors discussed below are not intended to be an all-inclusive listing. The
safety reviews conducted during the project’s development may identify other risks.
If so, also consider these risks in the decision-making process.
• Worker escape routes may be blocked by a median barrier, bridge rail, or a
retaining wall. Lack of escape options increases the likelihood of motorist
involved accidents that will disrupt the traffic flow.
• Night construction activities that do not create an obvious construction zone
except while operations are in progress create an unexpected condition for the
driver, even to drivers familiar with the highway. Examples of these activities
include pavement slab replacement, resealing bridge expansion joints, and
replacing pavement markers.
• Construction activities, such as night paving, are a risk factor when they require
a large number of truck movements into and out of the work area.
• End-of-queue management is desirable at locations where traffic queues are
unavoidable.
• 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 down grades, or both,
also pose a high risk factor.
2-215A (10) Estimating COZEEP Funding Requirements

The cost estimate used in the plans, specifications, and estimate is based on the
expected number of occurrences of the events needing COZEEP that have been
identified during project development. This 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 into account the following CHP operating
policies:
• CHP policy requires that between the hours of 10:00 p.m. and 6:00 a.m., two
officers must be in each unit. (The Department obtained an exception to have
one officer per vehicle whenever there are two or more units in close proximity
of each other on the same project.)
• CHP officers are reimbursed at time and a half (officers provide COZEEP
services on overtime).
• The CHP Memorandum of Understanding requires a minimum payment of
four hours per officer.
• All times and mileage are based on the officer starting and stopping time at
his or her reporting station and must include travel to and from the project.

Traffic 2-2.13
The district COZEEP coordinator will provide current hourly and mileage
reimbursement costs for the project location.
The project engineer should include in the project estimate the funds necessary
to provide COZEEP as state-furnished services and supplies. The basis of the
project engineer’s estimate should be included in the resident engineer’s pending
file.
2-215A (11) COZEEP Procedures

The following procedures are intended to assist resident engineers in obtaining
and tracking COZEEP services. These procedures were also designed to help
Caltrans reconcile the CHP billing system and facilitate payment to the CHP.
2-215A (12) 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.
2-215A (13) Completing the Task Order

To order work by the CHP, use and complete Form CEM-2102, “COZEEP/
MAZEEP Task Order.”
Before ordering the work, the resident engineer preparing the task order should
check the following:
• That the CHP support is appropriate for the type of work to be performed
• That the request has been submitted in a timely manner
• That the project has sufficient funds available to pay for the CHP support
Ensure the task order, which has five parts where information must be entered,
is completely filled out. Most of these parts are self explanatory. In Part 4,
identify a Caltrans project supervisor, which in most cases will be the resident
engineer or an assistant resident engineer.
You may submit a single task order to cover more than one day. For example,
a project that will occur on Monday through Thursday for the next week would
require only one task order. However, do not submit task orders that do not
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 and sign the form and then return it to
the Caltrans construction office.
2-215A (14) Cancellations

If it becomes necessary to cancel the work, contact the local CHP contact person
listed in Part 4 of the task order as soon as possible. The statewide agreement
requires that all cancellations be made during normal working hours and at
least 24 hours before the time that the CHP is to arrive on the project. The
cancellation may be written or called in by phone. If the cancellation is made
by phone, ensure it is also confirmed in writing (complete Form CEM-2103,
“COZEEP/MAZEEP Cancellation Form”). Once contact is made, the CHP
coordinator will return the completed cancellation form.

2-2.14 Traffic
In accordance with the agreement, cancellations received less than 24 hours
before work is to begin will be charged a cancellation fee. If you cannot contact the
officer in advance and the officer actually reports for duty, the fee will be equal to
4 hours of overtime pay. The local CHP contact person will note in the cancellation
form if Caltrans is being charged with a cancellation fee or a 4-hour overtime fee. If
the cancellation form indicates a fee is being charged, retain the notice in the project
records under Category 21, “Construction Zone Enhanced Enforcement Program”
and send a copy of the cancellation form to the district COZEEP coordinator.
For more information on cancellations, refer to the current COZEEP agreement.
2-215A (15) 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. The project supervisor
must initiate Form CEM-2101, “COZEEP Daily Report.” The daily report number
will also be the project expenditure authorization. In the daily report, enter a
description of the services the CHP provided, for example providing traffic breaks,
stationary patrol upstream of the work area, or circulating patrol. Also complete the
CHP officer and CHP vehicle information. At the end of the shift, the senior CHP
officer on the site must estimate the travel time and mileage for each officer to travel
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 five working days to notify Caltrans if the actual travel time, mileage,
or both, is greater than the allowances estimated on the daily report. The CHP
notification must be submitted to the person who issued the daily report. If a notice
of change is received, attach a copy to the resident engineer’s copy of the COZEEP
daily report and submit the original to the district COZEEP coordinator.
2-215A (16) 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.
Within 15 working days of the end of the CHP’s pay period, the district COZEEP
coordinator must electronically submit, either through e-mail or on a diskette, the
COZEEP service summary to the accounting department at the CHP’s headquarters.
This electronic submittal must be confirmed with a hard copy.
The CHP will verify this report against its payroll records and add appropriate cost
information to the spreadsheet. The CHP will then return the COZEEP service
summary in electronic format with a confirming hard copy to the district COZEEP
coordinator for payment.
2-215A (17) Reconciling the CHP Invoice

The CHP invoices will include monthly charges for services provided by a CHP
area office. The backup for the invoice will include a printout of the COZEEP
service summary and copies of any cancellation notices.
The COZEEP service summary, including cost information, must be resorted and
subtotaled by project, verified and signed by the district COZEEP coordinator, and
submitted for payment to the Caltrans Division of Accounting Services. This
spreadsheet will serve as the Division of Accounting Service’s “receiving record”
for payment.

Traffic 2-2.15
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 in turn 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. In this situation,
the district coordinator should contact the statewide contract manager to verify
the correct billing rates.
2-215A (18) Problem Resolution

Drop from the COZEEP service summary any inconsistencies between the
information Caltrans gives the CHP and the CHP’s internal information obtained
from its payroll system. Return the exceptions to the district and area offices
involved for resolution. Every effort to resolve disputes at the lowest level
(between the resident engineer and the CHP coordinator at the local CHP area
office), must be made. If an impasse occurs, the district COZEEP coordinator
and the designated contact person in the CHP division office must act as the
second level of review. The last level of review will be the COZEEP statewide
coordinator and the CHP statewide coordinator.

2-2.16 Traffic
Section 3 Major Construction Incidents
2-301 General
2-302 Reporting Procedures

2-302A Accidents To Be Reported
2-302B Unusual or Extraordinary Construction Occurrences To Be Reported
2-302C Highway Closure Notification
2-303 Guidelines

Major Construction Incidents 2-3.i
Section 3
Section 3 Major Construction Incidents Major
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 detailed guidelines on reporting, see Chapter
19, “Special Reporting of Serious Injury, Illness, or Fatality,” of the Caltrans Safety
Manual. This chapter also discusses special reporting for a serious occupational
injury, illness, or fatality connected with any employment activity.
2-302 Reporting Procedures 2-302

Immediately report all reportable accidents and major incidents to the district dispatch Reporting
center, or when this center is closed, to the headquarters Highway Information Center. Procedures
Use Form CEM-0603, “Major Construction Incident Notification,” to fax an initial report
to the Office of Safety and Health in the Division of Administrative Services, the Division
of Construction, and the district construction safety coordinator. Follow the instructions
on the back of the form. When necessary, also use Form CEM-0603 to fax an updated
report providing supplementary information. The following are descriptions of reportable
accidents and construction incidents:
2-302AAccidents To Be Reported
Report the following types of accidents:
• Accidents resulting in serious injury to a contractor’s employee.
• Accidents involving death or serious injury to a state or a consultant employee
or resulting in the death of a contractor’s employee.
• Accidents involving serious damage to equipment owned by Caltrans, by a
consultant, or by the contractor.
• Accidents resulting in the serious injury or death of a member of the public
within the construction zone, or influenced in any manner by construction related
activities, conditions, equipment, or personnel.
• All catastrophic types of accidents or accidents receiving wide media coverage.
• Accidents with no injuries, but with a high potential for being fatal or disabling.
These accidents include falsework or guying system failures, overturned cranes,
high-voltage power line contacts, trench excavation or shoring failures, gas or
fuel line fire or explosions, hazardous utility breaks, and collisions with structures
under construction or their supporting falsework that cause displacement of a
major member.

Major Construction Incidents 2-3.1
2-302B Unusual or Extraordinary Construction Occurrences To Be Reported
Unusual or extraordinary construction occurrences are reportable incidents that may
not be classified as accidents. Examples of these incidents include the following:
• 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 waste on a construction project.
• A hazardous spill on a roadway within construction project limits.
• Any incident causing major traffic delays.
2-302C Highway Closure Notification
Report to the district dispatch center or the traffic management center any situation
that requires unplanned closures of traffic lanes or the highway.
In advance, report routine planned lane closures to the district dispatch center or the
traffic management center as required by district policy.
If the contractor cannot remove a lane closure by the specified pickup time, notify
the district dispatch center or the traffic management center as soon as possible.
Provide accurate information to allow the traffic management center to notify the
California Highway Patrol, the media, and the public of possible delays.
2-303 2-303 Guidelines

Guidelines Caltrans construction personnel responding to major incidents in construction zones
must do the following:
• Take appropriate action without jeopardizing public or employee safety.
• Provide timely and accurate information to management to document the extent
of the incident and identify major issues and current actions.
• Restore the transportation facility to full operation as quickly as possible in the
event of a closure or restriction.
• Minimize or mitigate the effect on the public or the project caused by unusual or
extraordinary occurrences.
Report hazardous waste encounters and hazardous spills as outlined under “Reporting
Procedures” earlier in this section. For more information on the procedures to follow
in the event of hazardous waste encounters or hazardous spills, see Section 7-106,
“Environmental Hazards and Safety Procedures,” of the Construction Manual
(manual).
The contractor must have a contingency plan for reopening closed traffic lanes. See
Section 3-704B, “Contingency Plans for Reopening Lane Closures,” of this manual.

2-3.2 Major Construction Incidents
The district construction deputy director must activate a construction incident response
team when warranted by the sensitivity and severity of a major incident. The team’s
principal purpose is to provide information to Caltrans managers and the media. The
team enables the resident engineer to focus on restoring the transportation 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 the following personnel:
• A representative of the district public relations staff, depending on the media interest.
• Technical personnel from other functional areas such as safety, traffic, structures,
design, or environmental, as required by the situation.

Major Construction Incidents 2-3.3
Chapter 3 General Provisions
Introduction Introduction
3-001 Scope 3-001

Each section in this chapter of the Construction Manual corresponds to one of the Scope
first 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 Specification 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. Also, this chapter 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 resident engineers in contract
administration. This chapter answers many frequently asked questions about the
procedures for administering contracts.

Introduction 3-0.1
Section 1 Definitions and Terms Section 1

Definitions
Section 1, “Definitions and Terms,” of the Standard Specifications, defines terms, and Terms
abbreviations, and symbols used for units of measurement in the Standard
Specifications. Section 1 also defines symbols used for units of measurement in the
engineer’s estimate. 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.

Definitions and Terms 3-1.1
Section 1 Definitions and Terms Section 1

Definitions
Section 1, “Definitions and Terms,” of the Standard Specifications, defines terms, and Terms
abbreviations, and symbols used for units of measurement in the Standard
Specifications. Section 1 also defines symbols used for units of measurement in the
engineer’s estimate. 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.

Definitions and Terms 3-1.1
Section 2 Proposal Requirements and Conditions
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

Proposal Requirements and Conditions 3-2.i
Section 2
Section 2 Proposal Requirements and Conditions Proposal
Requirements
and Conditions
3-201 General 3-201

Section 2, “Proposal Requirements and Conditions,” of the Standard Specifications General
covers proposal requirements and conditions that apply to a contractor bidding on a
project. The Office of Office Engineer must adhere to this section’s requirements.
District construction personnel must be familiar with this section, including the
contractor’s 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 the publication of contract information in the State Contracts Register. Before
bid opening, Caltrans will then allow a minimum of three 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 on Thursdays in the District 12 headquarters in
Irvine.
The Division of Administrative Services administers the bid projects estimated to
be below $117,000, which are designated as minor B. For minor B projects in northern
California bids are opened in Sacramento while minor B projects in southern
California bids are opened 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 With Bidders
that any information provided to one bidder is also provided to all other potential
bidders for a particular project.
• Only the designated district construction personnel must answer bidder inquiries.
The design engineer, construction field personnel, or other nondesignated Caltrans
personnel must never respond directly to bidder inquiries.
• Thoroughly investigate bidder inquiries, and provide timely and conclusive
responses.
• Distribute or post written responses to all plan holders via fax, the Internet, or
other similar means.
• Number the responses to facilitate bidder comments and follow-up questions to
responses. Specify the date responses are posted.

Proposal Requirements and Conditions 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 bidder’s
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
Section 2-1.03, “Examination of Plans, Specifications, Contract, and Site
of Work,” 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 previously given.
• 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. In such cases, 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 verbally or in writing, do
not become part of nor change the contract. However, they may be used in
defending Caltrans or the contractor’s 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 that are submitted
too close to the bid opening date. Although you should aggressively pursue the
investigation of all bidder inquiries, Caltrans may, considering the particular
circumstances, waive posting a response, if warranted.
• Post all responses, including “Bid it as you see it” responses.
• Consider written bidder inquiries only when a completed “Bidder Inquiry” form
is submitted when the contract requires this form.

3-2.2 Proposal Requirements and Conditions
• Even if the contract does not require written bidder inquirers, Caltrans strongly
encourages the form’s use to the extent practical because the form helps manage
bidder inquiries and responses. You can obtain a sample of this form from the
Office of Office Engineer.
3-205 Disclosure of Construction Estimates 3-205

Until bids are opened, Caltrans’ estimate of the cost of contract items for any particular Disclosure of
project is not public information. Also, at any time before or after bids open, unit Construction
prices and details of any portion of the project estimate are not public information. Estimates
Before bid opening, the public can only know the total funds available, an amount
that the weekly advertisement for bid listing provides either in hardcopy form or on
the Internet at the following address:
http://www.dot.ca.gov/hq/esc/
You can obtain minor B project information by calling the Sacramento office at
(916) 227-1950 or from the Internet at the following address:
http://www.ns.net/caltrans/purchase.htm
3-206 Names of Prospective Bidders 3-206

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

Proposal Requirements and Conditions 3-2.3
Section 3
Section 3 Award and Execution of Contract Award and
Execution
of Contract
3-301 General 3-301

Section 3, “Award and Execution of Contract,” of the Standard Specifications outlines General
the 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. Administrative details are covered under
Section 3-802A, “Work Before Contract Approval,” of the Construction Manual
(manual.)
3-302 District Recommendation 3-302

The district recommendation procedure is described in detail including questions to District
ask contractors in Section 1-2.08, “Bid Opening and Award,” of the Plans, Recommendation
Specifications and Estimates Guide.
The district must not reveal the award recommendation to any contractor or external
agency or entity until the final award decision is made by the Engineering Services,
Office of Office Engineer. The Office of Office Engineer will inform the contractor
of Caltrans’ decision.

Award and Execution of Contract 3-3.1
Section 4 Scope of Work
3-401 Intent of Plans and Specifications
3-402 Final Cleaning Up
3-403 Changes
3-403A Procedure and Protest
3-403B Increased or Decreased Quantities
3-403B (1) Increases of More Than 25 Percent
3-403B (2) Decreases of More Than 25 Percent
3-403B (3) Eliminated Items
3-403B (4) Surplus and Salvaged Material
3-403C Changes in Character of Work
3-403D Extra Work
3-404 Construction-Evaluated Research
3-405 Detours
3-405A Use of Local Streets and Roads
3-406 Use of the Material Found in the Work

Scope of Work 3-4.i
Section 4
Section 4 Scope of Work Scope of Work
3-401 Intent of Plans and Specifications 3-401

The contractor must construct the project in accordance with the plans and Intent of Plans and
specifications, including changes ordered in accordance with the contract. Both the Specifications
contractor and the resident engineer must be familiar with the work to be done and
the commonly accepted practices, customs, and terms used in the work.
Use judgement when dealing with problems arising from ambiguity or apparent
conflict in the plans and specifications. Review the work from the contractor’s
viewpoint, as well as the engineer’s. The resident engineer’s interpretation should
be one that a reasonable contractor, exercising prudence and caution, would obtain
from the contract documents. Guard against decisions based on a reasonable doubt.
Also, avoid searching out and using pure technicalities or making unreasonable
inferences.
3-402 Final Cleaning Up 3-402

Section 4-1.02, “Final Cleaning Up,” of the Standard Specifications requires the Final Cleaning Up
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, see Section 4-22,
“Finishing Roadway,” of the Construction Manual (manual).
Before recommending relief of maintenance or acceptance of the contract, ensure
the contractor meets all the requirements for cleaning up the site. Section 4-1.02
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.
3-403 Changes 3-403

Based on the State Contract Act, Caltrans policy is to limit changes to those required Changes
to complete the work as contemplated at the time the plans and specifications were
approved. If proposed changes do not conform to this policy, the work must be
performed by a separate contract unless compelling reasons exist that justify the
changes in the current contract. If added work, which conforms to the policy, is not
required immediately, consider performing the work by a separate contract.
Adequately 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 contract’s time of completion. Changes ordered near
the contract’s completion could disrupt the contractor’s schedule and costs. They
could also substantially delay the public’s use of the facility and disrupt the planned
use of Caltrans forces.

Scope of Work 3-4.1
When you determine that a change must be made, include the additional work by a
contract change order. Discuss with the contractor all elements of a change, including
the method of compensation and the effect on contract time. Your objective during
the discussion is to develop full agreement or to identify elements that require
negotiation or that could lead to protest. Your objective is also to ensure the contractor
accurately understands all the elements of the change.
3-403A Procedure and Protest
The contractor may protest the terms or conditions of an approved contract change
order. The protest must be made in accordance with the requirements in Section 4-
1.03A, “Procedure and Protest,” of the Standard Specifications. The protest must be
concerned solely with compensation or time. Moreover, no basis exists for protesting
the requirement to perform the added or revised work because the specifications
require the contractor to perform ordered work.
The specifications allow the resident engineer to order work before the approval of
a contract change order providing for that work. However, an approved contract
change order should be issued as soon as possible. If the contractor does protest the
contract change order, the sooner the protest is made, the sooner the issue can be
addressed and resolved.
3-403B Increased or Decreased Quantities
When the total pay quantity of a contract item varies from the engineer’s estimate by
more than 25 percent, the variation may be the result of more or fewer units than
shown in the engineer’s estimate 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 does exceed 25 percent, adjust the compensation in accordance
with Section 4-1.03B, “Increased or Decreased Quantities,” of the Standard
Specifications or document in the contract records the reason for not making an
adjustment in compensation. When the accumulated increase or decrease in contract
item units shown on a contract change order exceeds 25 percent of the engineer’s
estimate, the overrun or underrun must be acknowledged and provided for in the
current contract change order. You can provide for this overrun or underrun through
one of the following options, whichever is applicable:
• Adjust the contract price in accordance with Section 4-1.03B.
• Defer any adjustment in compensation due to the overrun or underrun.
• State in writing that the contract item is not subject to adjustment.See Section 5-
3, “Contract Change Orders,” of this manual for a discussion and examples of
contract change orders providing for adjustments in compensation resulting from
increased or decreased quantities.
3-403B (1) Increases of More Than 25 Percent

It is usually appropriate to defer adjustment if work on the contract item has not
been completed. Additional contract change orders may be affecting 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 contract change order.
When work on the contract item is completed, you may apply the unit adjustment to
the total number of units in excess of 125 percent of the engineer’s estimate.
Unless requested by the contractor in writing, the engineer does not have to adjust
the contract price of an item if the contract item cost of the work in excess of 125
percent of the engineer’s estimate is less that $5000. However, before exercising

3-4.2 Scope of Work
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.
3-403B (2) Decreases of More Than 25 Percent

If a contract item underruns the engineer’s estimate 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.
3-403B (3) Eliminated Items

Section 4-1.03B(3), “Eliminated Items,” of the Standard Specifications applies only
to contract 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 contract change order providing for the elimination of a contract item, ensure
you cover the disposition of surplus material. Refer to the information below, titled
“Surplus and Salvaged Material,” for how to handle surplus material resulting from
an eliminated item that cannot be returned to the vendor.
3-403B (4) Surplus and Salvaged Material

Minor differences between quantities of material required to complete the planned
work and quantities shown in the engineer’s estimate 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 engineer’s estimate,
include any actual loss due to excess material in the costs as computed in accordance
with section 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 useable 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 4-1.03B(3), “Eliminated Items,” of the Standard
Specifications. The guidelines below describe how to dispose of material that the
contractor cannot economically dispose of.
Base a determination to salvage items made surplus by ordered changes 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 item’s 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.

Scope of Work 3-4.3
Additionally, 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.
3-403C Changes in Character of Work
Before work can be considered “changed in character,” the engineer must have
ordered a change to the plans or specifications. If such an ordered change materially
increases or decreases the unit cost of a contract item, then a change in character has
occurred. Changes in character of work are not to be confused with “differing site
conditions.” For a discussion of differing site conditions, see Section 3-5, ”Control
of Work,” of this manual.
When calculating the adjustment for a change in character of work, 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, “Contract Change Orders,”
of this manual contains examples of calculations and sample contract change orders.
3-403D Extra Work
Extra work is any new and unforeseen work that cannot be covered by a contract
item or a combination of contract items, or it may be work designated as extra work
in the specifications. Extra work is not a payment method. See Section 3-9,
“Measurement and Payment,” and Section 5-3 of this manual for a discussion of
payment methods for extra work.
All new and unforeseen work is not necessarily extra work. Caltrans policy requires
you to use as a guide the specifications’ definitions of the various contract items. If
the added work involved in an ordered change can be defined as the same as items
included in the contract, payment must be at the contract item price.
If the added work in the change can be defined as contract items, but a change exists
in the unit cost, make payment under the provisions of Section 4-1.03C, “Changes
in Character of Work,” of the Standard Specifications,” rather than for the entire
added work as extra work.
New and unforeseen work, whether paid for under an item or classified as extra
work, becomes a part of the contract when added by an approved contract change
order. The contractor bears the same responsibility for this added work as for any
other work under the contract.

3-4.4 Scope of Work
3-404 Construction-Evaluated Research 3-404
One of Caltrans’ goals is to continue to improve the effectiveness of our products, Construction-
information, and services. The Division of Construction participation is important Evaluated Research
in demonstrating the effectiveness of new products and services.
Construction contracts that include evaluations of new products require the resident
engineer to participate in the new product evaluation. The form and evaluation criteria
should be included in the resident engineer’s pending file. If the evaluation
information is not in the file, the resident engineer should contact the new products
coordinator in the Office of Materials Engineering and Testing Services (METS).
To add and evaluate a new product for an ongoing construction contract requires a
contract change order. To approve the contract change order, the following is required:
• Confirmation from the new products coordinator of METS that the assessment
is necessary and the evaluation criteria are readily available.
• Determination from the resident engineer that the addition of the new product is
incidental to the work.
• Concurrence from the Division of Construction new products coordinator.
Forward the evaluation report for all construction-evaluated research to the new
products coordinator of METS within 30 days of completing the evaluation of the
new product.
3-405 Detours 3-405

The contract plans may include detour plans required for traffic passing through the Detours
project. Pay for the construction of these planned detours, temporary signing, and
other traffic control devices at contract item prices. The cost of repairing damage to
detours caused by public traffic will be paid for as extra work.
If it is necessary to construct detours that are not provided for in the project plans
and specifications, contract change orders must provide for these detours. For design
details, you may consult with the district design unit if necessary. In all cases, the
district traffic unit must concur with detour design and signing provided for by
contract change order.
3-405A Use of Local Streets and Roads
Use of local streets and roads to detour state highway traffic requires agreements or
other arrangements to be made with the local agency. When the use of local roads
for detours is included in the project plans, the district design unit will have made
these arrangements. When contract changes require the use of local streets and roads,
contact the project manager for assistance in making the proper arrangements with
the local agency.

Scope of Work 3-4.5
3-406 3-406 Use of the Materials Found on the Work
Use of the Materials The engineer’s designation of selected material takes precedence over the contractor’s
Found on the Work request for the use of materials found on the work.
The specifications provide that the engineer’s approval is necessary for the contractor
to use materials from within the planned slopes and grade lines, and 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 work” shall be given in writing
from the resident engineer, but “written authorization to use materials outside of
planned lines and grades” must be by contract change order.
The authorization for excavation outside the planned slopes and grade must be
justified as a benefit to the Caltrans. Under no circumstances should such work be
authorized if it in any way adversely affects the appearance or function of the planned
project.

3-4.6 Scope of Work
Section 5 Control of Work
3-501 General
3-502 Authority of Engineer

3-503 Plans and Working Drawings

3-503A Trench Excavation Safety Plans
3-504 Order of Work
3-505 Superintendence
3-506 Lines and Grades
3-507 Inspection
3-508 Removal of Rejected and Unauthorized Work
3-509 Equipment and Plants
3-510 Alternative Equipment
3-511 Differing Site Conditions

3-511A Type 1
3-511B Type 2
3-511C Procedure
3-512 Character Of Workers
3-513 Final Inspection

3-513A Work for Other Agencies or Owners
3-514 Cost Reduction Incentive

3-514A Procedure
Control of Work 3-5.i
Section 5
Section 5 Control of Work Control of
WorkWork
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 the engineer
ensure control. During the manufacture of products and the execution of the project,
the contractor performs all actions necessary to ensure the work has the required
attributes. The engineer samples, tests, and inspects the work to determine if the
characteristics conform to the contract requirements.
3-502 Authority of Engineer 3-502

The term “engineer,” as used in Section 5-1.01, “Authority of Engineer,” of the Authority
Standard Specifications, means the “chief engineer” acting through authorized of Engineer
representatives. The authorized representatives must act in accordance with the chief
engineer’s policies and procedures, and in the absence of written instruction, the
representatives must exercise judgement within their span of control and ability.
Section 1-1.18, “Engineer,” of the Standard Specifications defines the term
“engineer.”
The engineer will focus on the details and methods of performing the work only if
one or more of the following conditions exist:
• If the details and methods of performing the work are specified
• If the essential attribute or end result cannot be measured
• If public safety or convenience is involved
Otherwise, the details and methods must be left to the contractor’s discretion.
The resident engineer (subject to delegation of authority within the district) is the
authorized representative of the chief engineer on the project; therefore, contacts
and correspondence should be between the contractor and the resident engineer.
Resident engineers must report their assignments to all interested parties by submitting
Form CEM-0101, “Resident Engineer’s Report of Assignment.” Submit this form at
the earliest possible time.
Good working relationships between the resident engineer and the contractor do
much to encourage an effective, efficient project and can minimize misunderstandings
and disputes.
3-503 Plans and Working Drawings 3-503

The contract may require that plans and working drawings be submitted to the Plans and Working
engineer for approval. Caltrans has established a formal procedure for the approval Drawings
of such plans for those facilities designed by the Office of Structure Design. For the
procedures for buildings, see Section 132 of the Bridge Construction Records and

Control of Work 3-5.1
Procedures Manual, Volume II. These procedures should be reviewed when
applicable to resident engineers. Similar procedures are used for pumping plants
and electrical and mechanical equipment. The district must establish similar
procedures for those facilities designed in the district.
In addition, the contract may require plans and calculations be submitted to the
resident engineer for review and approval for falsework, shoring, and bridge
demolition. For guidelines for the review and approval process see sections 120,
122, and 124, respectively, of the Bridge Construction Records and Procedures
Manual, Volume II.
3-503A Trench Excavation Safety Plans
For each location, the contractor must submit a specific plan describing how workers
will be protected from the hazards of ground caving in.
Simply stating that the Construction Safety Orders will be followed does not constitute
a plan.
3-504 3-504 Order of Work

Order of Work If the plans or special provisions do not contain a specified sequence of operations,
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 work’s operation. If, in the resident
engineer’s opinion, Caltrans will benefit as much or more by adopting this proposal
as it would under the specified plan, the contractor’s plan may be implemented with
a contract 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 cost
reduction incentive. See Section 3-514, “Cost Reduction Incentive,” of the
Construction Manual (manual) and Section 5-1.14, “Cost Reduction Incentive,” of
the Standard Specifications.
The resident engineer must recheck the specified plan of operations during the work’s
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.
3-505 3-505 Superintendence

Superintendence As required by Section 5-1.06, “Superintendence,” of the Standard Specifications,
contractors, including those in a joint venture, must name, in writing, one authorized
representative. Resident engineers must insist contractors meet this requirement
promptly. In case of disagreement among the contractors’ representatives, the resident
engineer can then contractually refuse to deal with more than one representative.

3-5.2 Control of Work
3-506 Lines and Grades 3-506
Section 5-1.07, “Lines and Grades,” of the Standard Specifications requires the Lines and Grades
engineer to establish any lines and grades necessary to permit satisfactory completion
of the specified work. For information on construction surveys, see Chapter 12,
“Construction Surveys,” of the Caltrans Surveys Manual.
To establish line and grade, the district surveys unit must set the construction marks
and stakes.
3-507 Inspection 3-507

The resident engineer and assistant resident engineers have a primary duty to obtain Inspection
compliance with the Standard Specifications, special provisions, and plans within
the tolerances specified in these documents. When tolerances are not specified, the
engineer must use judgment in determining the allowable deviation consistent with
the usage of the trades involved.
Section 5-1.08, “Inspection,” of the Standard Specifications, allows the engineer
access to the work for the purpose of an inspection. The engineer must take full
advantage of this access. Rarely can an engineer adequately inspect work from the
seat of a car or pickup truck.
3-508 Removal of Rejected and Unauthorized Work 3-508

Section 5-1.09, “Removal of Rejected and Unauthorized Work,” of the Standard Removal of Rejected
Specifications, specifies the contractor’s responsibility for rejected or unauthorized and Unauthorized
work. Work
Unauthorized work includes excavation outside planned slopes and below the grading
plane. Unless an approved contract change order authorizes such excavation, do not
permit it.
Section 3-603, “Defective Materials,” in this manual, discusses the rejection of
material that fails to meet specified requirements. Rejected material must be removed
and replaced. When rejected material is remedied, it may remain in place only when
the engineer gives written approval. In most cases, this approval requires a contractor
requested contract change order. For instance, a contract change order would be
necessary to approve a contractor’s proposal to remedy out-of-specification aggregate
base by adding additional aggregate to material deposited previously. A contract
change order in this situation is necessary because the remedy requires a change in
specifications. However, the engineer’s 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 defective
material to remain in place without contract payment. Any such action must be
provided for in the specifications under “operating range” and “contract compliance”
or provided by an approved contract change order.
3-509 Equipment and Plants 3-509

Section 5-1.10, “Equipment and Plants,” of the Standard Specifications, requires Equipment and
each piece of equipment to have a number stamped or stenciled upon it. The Plants
identifying number should further be referenced to the license plate issued for the
piece of equipment. This additional reference is especially important in the case of
tractor and trailer combinations where the tractor may pull different trailers on separate
occasions.

The engineer must use the identifying numbers to keep records of working and idle
time for both the 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. The resident engineer must 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.
Caltrans personnel must not instruct the contractor’s employees in equipment
operation. The resident engineer must be very careful in this area because the
contractor may interpret suggestions as the engineer’s direct orders. Caltrans
personnel must also not adjust the contractor’s equipment or ride on equipment other
than that designed for personnel transportation or as required to inspect specific
features of the work.
3-510 3-510 Alternative Equipment

Alternative In lieu of specified equipment, Section 5-1.11, “Alternative Equipment,” of the
Equipment Standard Specifications, provides for the use of new or improved equipment subject
to satisfactory performance as determined by the engineer.
Contract change orders must cover all modifications under Section 5-1.11. Do not
adjust cost for such changes.
3-511 3-511 Differing Site Conditions

Differing Site When a differing site condition occurs, Section 5-1.116, “Differing Site Conditions,”
Conditions of the Standard Specifications, provides recourse for Caltrans and the contractor.
When a differing site condition arises, the resident engineer or structure representative
should consult with the district materials unit or the Office of Materials Engineering
and Testing Services. The following presents the two types of differing site conditions
that exist, followed by the procedure to recover damages or savings for a differing
site condition claim:
3-511A Type 1
Type 1 consists of actual subsurface or latent physical conditions materially different
from those indicated in any of the following:
• The contract
• The log of test borings
• Other records of geotechnical data obtained by Caltrans’ investigation of
subsurface conditions
• The “materials information”
• Other records of data to the extent they were available to the contractor prior to
the opening of the bids
• Or an examination of site conditions above ground
3-511B Type 2
Type 2 consists of unknown physical conditions of an unusual nature that are
materially different from those ordinarily encountered and generally recognized as
inherent in the work provided for in the contract.

3-511C Procedure
For the contractor to recover damages for a differing site condition claim, the
following things must be done:
• Before the bid, the contractor must investigate the site and carefully examine
the following items:
1. Plans
2. Specifications
3. “Materials information”
4. Log of test borings
5. Other records of geotechnical data (cores and other physical data) obtained
by Caltrans’ investigation of subsurface conditions
6. Other records of data to the extent they were available to the contractor.
This investigation is required by Section 2-1.03, “Examination of Plans,
Specifications, Contract, and Site of Work,” of the Standard Specifications.
• The conditions encountered must either be materially different from those
represented by the bid documents, other records of data available to the
contractors prior to bid, and a site investigation, or be materially different from
those normally encountered or inherent in the industry.
• Before disturbing the conditions, the contractor must provide to the resident
engineer written notice of them.
• The resident engineer must then investigate the conditions and determine if they
differ materially and cause an increase or decrease in the cost or time to do the
work.
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 the Standard Specifications under Section 8-1.09, “Right of Way Delay”, Section
8-1.10, “Utilities and Non-Highway Facilities”, or Section 19-1.04, “Removal and
Disposal of Man-Made Objects.”
Differing site conditions are not considered “changes in character” 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 you
would for changes in character. For how compensation is made for changes in
character and for a sample contract change order, see Section 5-3, “Contract Change
Orders,” of this manual.

3-512 3-512 Character of Workers
Character of Section 5-1.12, “Character of Workers,” of the Standard Specifications, covers the
Workers issue of character of workers. In addition, Caltrans policy calls for a work
environment with zero tolerance for violence, threats, harassment, and intimidation.
This policy also applies to any subcontractor or employee of a contractor in their
dealings with Caltrans personnel. Caltrans may discharge a worker from the project
for engaging in any of the above mentioned activities.
Discuss the decision to remove a worker with the worker’s supervisor prior to
issuing the directive. The contractor may request reinstatement of the worker. If
requested, the resident engineer’s supervisor conducts a meeting with the resident
engineer, the contractor’s authorized representative, and, at the contractor’s discretion,
the affected worker. The reason for removal and the contractor’s request for
reinstatement are discussed at the meeting.
None of these procedures affects the authority of the resident engineer to direct the
removal of a worker from the project.
3-513 3-513 Final Inspection

Final Inspection As a project’s completion approaches, the resident engineer must schedule appropriate
reviews with maintenance, traffic, and safety personnel.
To resolve any potential problems on interstate projects, request a field engineer
from the Federal Highway Administration to review the project before the day of
final inspection. Your objective is to prevent last-minute delays in contract acceptance.
According to Section 5-1.13, “Final Inspection,” of the Standard Specifications, the
engineer must do a final observation of the contract work during the final inspection.
The district director or an engineer from the district construction, such as the district
construction deputy director, construction engineer, structure construction engineer,
or resident engineer, must make the final inspection.
Maintain a record of the final inspection in the resident engineer’s daily report. The
record should state something along the following lines:
“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 concurred 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. Before the final inspection, give the contractor
a written list of items needing attention.
3-513A Work for Other Agencies or Owners
When any work performed under the contract is for other agencies or owners, as a
courtesy 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
to the director the acceptance of the contract or relief from responsibility for
maintenance. 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
the following:
• A reference to the 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 agency’s 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, an agency representative
and the resident engineer should make a preliminary joint inspection to correct minor
deficiencies before the final inspection described above.
The resident engineer must record in writing preliminary and final joint field
inspections, noting what actions were necessary to complete the work to the
satisfaction of the agency representative. If the agency representative is satisfied
with the completeness but declines concurrence in writing, record this situation.
3-514 Cost Reduction Incentive 3-514

Caltrans encourages contractors to develop and implement innovative approaches Cost Reduction
to construction projects. When new approaches result in construction cost savings, Incentive
Caltrans and the contractor may share the savings in construction cost. Section 5-
1.14, “Cost Reduction Incentive,” of the Standard Specifications, specifies the method
and procedure for sharing construction cost savings. A contractor’s proposal made
in accordance with Section 5-1.14 is called a cost reduction proposal.
The special provisions may allow for the contractor and engineer to organize and
participate in a “value analysis” workshop. The workshop’s purpose is to identify
value-enhancing opportunities that would reduce the total project cost, time of
construction, or traffic congestion. Items identified in the workshop could be
developed into cost reduction proposals.
Section 5-1.14 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.

3-514A Procedure
Handle cost reduction proposals as follows:
• After discussing the merits of a potential cost reduction proposal 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 5-1.14, “Cost Reduction
Incentive,” 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 the time within which the engineer must make a
decision on the proposal.
• With assistance from the resident engineer, the construction engineer must
coordinate Caltrans’ evaluation of the written proposal by the date requested by
the contractor.
• 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
6. Improved safety and traffic service or other values that clearly favor the
proposal
• Compute a cost reduction proposal’s net savings due to the changed work in
accordance with the methods detailed in Section 4-1.03C, “Changes in Character
of Work,” 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
contractor’s engineering and other costs incurred in preparing the proposal. Also
exclude Caltrans’ cost of evaluating the proposal, including any portion of this
effort for which the contractor paid.

• 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 subjob number.
Establish this number regardless of the proposal’s subsequent approval or
rejection. Charge all time spent evaluating the proposal to the subjob number.
2. To provide the means of segregating costs, the district must immediately
prepare and submit for master file the subjob number. After executing the
change order for the cost reduction proposal, do not charge construction
engineering to the subjob number.
3. In conformance with Section 5-1.14, “Cost Reduction Incentive,” of the
Standard Specifications, you may deduct from progress payments a portion
of Caltrans’ engineering costs for evaluating the cost reduction proposal.
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, the engineer may still proceed with issuing a contract change order
based on public benefit. However, the contract change order would not be written
as a contract change order for a cost reduction proposal but as an engineer-
requested contract change order.
• If the district construction deputy director (or if applicable, the Division of
Construction contract reviewer) determines that a preliminary written proposal
is acceptable, the contractor may submit a complete proposal. The proposal must
contain all information required by Section 5-1.14, “Cost Reduction Incentive,”
of the Standard Specifications. This information must be in 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.
• In accordance with Section 5-1.14, “Cost Reduction Incentive,” of the Standard
Specifications, prepare a contract change order to authorize the cost reduction
proposal. For guidance in preparing a contract change order for a cost reduction
proposal, see Section 5-313, “Cost Reduction Proposal,” in this manual. Carefully
consider the contract change order’s clauses covering payment to the contractor.
In the contract change order, resolve all compensation and other issues related
to the proposal. Before starting the authorized work, the contractor must execute
and the engineer must approve the contract change order.

Section 6 Control of Materials
3-601 General
3-602 State Furnished Materials
3-603 Defective Materials
3-604 Trade Names and Alternatives
3-605 Certificates of Compliance

3-605A Buy America Requirements
3-605A (1) Resident Engineer Approval of Minimum Use Requirements
3-605A (2) Federal Highway Administration Approval of Waivers
3-606 Out-of-State Fabrication
3-607 Local Materials

3-607A Compliance with Materials or Disposal Agreements
3-607B Public Interest Determination
3-607C Disposal of Material
3-608 Testing
3-609 Testing by Contractor
3-610 Suspected Fraudulent Test and Inspection Reports

Control of Materials 3-6.i
Section 6
Section 6 Control of Materials Control of
Materials
3-601 General 3-601
The service life of a properly designed highway depends on the construction method General
and quality of materials used in the highway’s construction. The resident engineer
must ensure that materials used in the work comply with specifications. This section
presents some general guidelines for ensuring that specifications are met. More
specific instructions are covered in Chapter 6-2, “Acceptance of Manufactured
Material and Sampling Methods,” of the Construction Manual (manual). Section 6,
“Control of Materials,” of the Standard Specifications, describes the contractor’s
responsibilities regarding materials.
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. Resident engineers must obtain a properly completed Form CEM-3101,
“Notice of Materials to Be Used,” which lists the contractor’s sources of materials
and the location at which those materials can be inspected. Review this form to
ensure that all expected materials are included. To check the form, use as a guide
Table 6-2.1, “Inspection of Fabricated and Manufactured Materials,” at the end of
Section 6-2, “Acceptance of Manufactured Material and Sampling Methods.” The
resident engineer should forward the completed form to METS. METS will ensure
the proper assignment of inspectors and notify the suppliers of the required
inspections.
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 State-Furnished Materials 3-602

Section 6-1.02, “State-Furnished Materials,” of the Standard Specifications describes State-Furnished
the conditions under which the contractor can receive state-furnished materials. The Materials
resident engineer’s duties related to these materials include the 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.
• Obtain the contractor’s written request for all state-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.
• If state-furnished materials are damaged or lost, deduct a sufficient amount from
the contractor’s monthly estimate to cover the estimated cost of repair or
replacement, pending such repair or replacement.

Control of Materials 3-6.1
• Ensure the return of state-furnished material that has not been used in the work.
3-603 3-603 Defective Materials

Defective Materials Section 6-1.04, “Defective Materials,” of the Standard Specifications, provides for
the rejection and removal of material that does not meet specification requirements.
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. See Section 3-508, “Removal of
Rejected and Unauthorized Work,” of this manual for guidelines on removal of
rejected and unauthorized work.
3-604 3-604 Trade Names and Alternatives

Trade Names and When trade names are used to designate required products, the contractor may furnish
Alternatives other products that are of equal or better quality. Consult with the responsible unit
(the design unit, traffic unit, or METS, among others) in making decisions about the
acceptability of substitutes.
3-605 3-605 Certificates of Compliance

Certificates of For a discussion about certificates of compliance, refer to the subsections entitled
Compliance “Materials Accepted on the Basis of a ‘Certificate of Compliance’” in Section 6-2,
“Acceptance of Manufactured Material and Sampling Methods” of this manual.
Section 6-1.08, “Foreign Materials,” of the Standard Specifications, includes the
requirements for using foreign materials. 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.
3-605A Buy America Requirements
The Buy America requirements contained within the United States Code of Federal
Regulations, Title 23, Section 635.410 (23CFR635.410) apply to all federal aid
projects. Federal aid projects contain special provisions that cover these requirements.
Buy America requirements apply to all foreign steel, iron materials, and manufactured
iron regardless of the percentage they comprise in a manufactured product or the
form they may take. A discussion of the Buy America requirements should be included
in preconstruction conferences for federal aid projects.
The contractor will furnish and install only domestic steel and iron materials in
federal aid projects, in conformance with the provisions of 23CFR635.410. 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 so long as the steel or iron component is only installed and no
manufacturing process is performed on the steel or iron component.

3-6.2 Control of Materials
3-605A(1) Resident Engineer Approval of Minimum Use Requirements
Buy America requiements do not apply to a minimal use of iron and steel materials
incorporated in the work provided that all foreign source items do not exceed one
tenth of 1 percent (0.1 percent) of the total contract cost or $2,500, whichever is
greater. Before incorporating any foreign steel materials into the work, the contractor
must submit documentation of the quantity and value of any foreign steel 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 iron and steel allowed under
the minimal use allowance under Category 41, “Report of Inspection of Materials.”
Foreign steel materials that exceed the minimal Buy America requirements cannot
be designated as non-participating and therefore require a waiver. (See Section 3-
605A(2)).
3-605A(2) Federal Highway Administration Approval of Waivers

Caltrans does not have the authority to waive 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.
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 cost – obtained 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 contractor’s waiver submission.
• Federal aid project number, description, and location.
• Analysis of redesigns using alternate or approved equal domestic product for
the project.
FHWA approval of the waiver is required prior to allowing foreign steel or iron into
the project. Allowing foreign steel or iron products into a federal aid project without
an FHWA approved waiver can result in the loss of all federal funds for the project.
3-606 Out-of-State Fabrication 3-606

Sections 49, 51, 55, 56, and 75 of the Standard Specifications include reductions in Out-of-State
payment for fabrication at some distance from Sacramento and Los Angeles. In Fabrication
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-6001, “Project Record-Estimate Request.” This deduction should be
made in whole, when appropriate. However, if the deduction is rather large, the
resident engineer has the option to deduct incremental amounts until the full deduction
is made.
3-607 3-607 Local Materials
Local Materials Section 6-2, “Local Materials,” of the Standard Specifications, covers the
requirements for the use of local materials and the resident engineer’s responsibility
for testing the materials.
Section 6-2.02, “Possible Local Material Sources,” of the Standard Specifications
requires the contractor to execute certain documents when obtaining materials from
property owners with whom Caltrans has arranged the use of such materials. These
documents are titled “Supplemental Materials Site Agreement (1) and (2).” Samples
of agreement (1) and agreement (2) follow:
Supplemental Materials Site
Agreement (1)
Contract No. _______________

District ___________________
Date ___________________
TO:
District Director, District
, California
Dear ________,
In accordance with Section 6.2, "Local Materials," of the Standard Specifications, here is the agreement for
using the materials source for the subject Contract, as required before removal of said materials:
WHEREAS, Contractor has entered into Contract No. ____ with the State of California, Department of
Transportation, hereinafter called "Department," for the performance of ______ work on road ________, and
WHEREAS, Department has entered into an agreement dated _____,with ______for the obtaining of materials
from the property described in said arrangement.
NOW THEREFORE, pursuant to the terms of said arrangement and of said Contract No. ______, Contractor
hereby agrees to comply with all terms and conditions of said arrangement between the Department and said
property owner and further agrees to hold said property owner harmless from all claims for injury to persons or
damage to property resulting from Contractor's operations on owner's property.
DATE
Contractor
By
Authorized Agent
Title
Origin.-Dist. Director
Dupl.-Contr.
Trip. -Prop. Owner
Quad. -Res. Engr.
California Department of Transportation • Construction Manual •December 2003

Supplemental Materials Site
Agreement (2)
Contract No.
District
Date
TO:
District Direct or, District
, California
Dear _________,
In accordance with Section 6.2, "Loca l Materials," of the Standard Specifications, here is the agreement for
using the materials source for subject Contract, as required before removal of said materials:
WHEREAS, Contractor has entere d into Contract No. _________ with the State of California, Department of
Transportation, hereinafter called "Department," for the perfor mance of _ ______ work on road _________,
and
WHEREAS, pursuant to the authority of said Contract, _____________, Contractor and ______, Owner, have
entered into an agreement under which Contractor may obtain materials from Owner's property.
NOW THEREFORE, pursuant to said Contract No. ____, Contractor and Owner hereby notify Department
that materials obtained by Contractor fro m Owner's property will be obtained pursuant to agreement between
Contractor and Owner and not pursua nt to the arrangement between Department and Owner, dated
___________, 19____, and Owner specif ically agrees t hat the Department is hereby released from any and all
obl igations to Owner under Department's said arrangement with Owner.
DATE
Owner
DATE
Contractor
By Authorized Agent
Title
Origin. -Dist. Director
Dupl. -Contr.
Trip. -Prop. Owner
Qua d. -Res. Engr.

When the contractor makes new agreements with property owners, revising the terms
of the state-owner agreement, the new agreements supersedes Caltrans’ agreement.
The resident engineer must review these agreements to ensure that the state is relieved
of its obligations under the terms of the original agreement.
The resident engineer must determine whether royalties should be deducted from
payments to the contractor. Normally, under agreement (1) above, Caltrans will pay
the owner of the materials site, and therefore, deductions must be made from estimates.
In the case of county-consummated agreements, royalties usually are deducted in a
similar way.
3-607A Compliance with Materials or Disposal Agreements
Designated sites may be made available for contractors use under Caltrans “Disposal,
Staging and Borrow” (DSB) policy discussed in Section 7-103D. If designated sites
are not available, the contractor must obtain and present to the resident engineer all
documentation required by agencies having jurisdiction over the site. This required
documentation may include permits, environmental studies, or other information.
Ensure the arrangement of a joint meeting of the resident engineer, the contractor
and other agencies that have an interest in clearing.
The specifications for both material sources and disposal sites state the resident
engineer may require the contractor to submit written evidence that the owner is
satisfied that the contractor has satisfactorily complied with the provisions of either
agreement (1) or (2). The resident engineer must determine, preferably through written
evidence, whether or not the owner is satisfied.
If the owner is not satisfied, the district must determine what additional work is
necessary before recommending acceptance of the contract. The district must also
advise the contractor accordingly. The district must not delay recommending
acceptance if the resident engineer determines the contractor has complied with the
terms of the agreement.
3-607B Public Interest Determination
Whenever local materials will be removed from mandatory sources, the resident
engineer must write a public interest determination if the project includes federal
financing. Mandatory sources include sources within state right-of-ways but outside
the project’s limits. Normally, the resident engineer makes the determination before
advertising. The purpose of a public interest determination is to establish clearly
that a manditory material source will serve the public interest, versus simply public
or private property.
Certain designated sites do not require preparation of a public interest determination
if they meet all of the following criteria:
• the designated site was identified and included in the project’s environmental
studies and documents during project development;
• the site was identified as and included in the materials handout during the bidding
as a designated site;
• agreements for use of the site were negotiated with the site’s owner.
Occasionally it becomes necessary to obtain additional embankment material from
outside the local area even though the contract does not contain a clause allowing
the contractor to import non-local material. Thus, the contract does not have an item
for “imported borrow.” Under these circumstances, it is normal practice for Caltrans
to locate a source for this material.

In accordance with the State Contract Act, aggregate sources must comply with the
Surface Mining and Reclamation Act of 1975 (SMARA). Refer to Chapter 7,
“Environmental,” of this manual for further information on SMARA requirements.
If the contract change order directs the contractor to obtain material from Caltrans’
chosen source, the Federal Highway Administration (FHWA) considers the source
mandatory. The FHWA then requires written approval of a public interest
determination before approval of the contract 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 Conservation’s
web site at http://www.consrv.ca.gov/omr/SMARA/3098-list. Also, see Section 7-
103D to determine if the proposed materials site is exempt from SMARA.
The FHWA must then approve the resident engineer’s determination. One method
of submitting a public interest determination for approval is to include the required
statements on Form CEM-4903, “CCO Memorandum.” The Division of Construction
will pursue approval of the public interest determination before approval of the
contract change order. To expedite approval of the contract change order, the resident
engineer should, whenever possible, send the public interest determination to the
Division of Construction before submission of the contract change order.
The above requirements do not apply to “local borrow,” as defined in Section 19-7,
“Borrow Excavation,” of the Standard Specifications.
3-607C Disposal of Material
Section 7-1.13, “Disposal of Material Outside the Highway Right of Way,” of the
Standard Specifications, and Section 7-103D, “Environmental Rules and
Requirements,” of this manual, cover the requirements for the contractor’s disposal
of materials (unless modified by special provisions). When required to execute
documents related to disposal sites, the contractor should use agreements similar to
those shown earlier in this section for material sites, with the wording modified to
indicate disposal sites instead.
3-608 Testing 3-608

The Standard Specifications contain references to the standards and tests of the Testing
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, test at the frequencies shown in the specifications as the
material is being incorporated into the work.
3-608A Operating Range and Contract Compliance
Section 25, “Aggregate Subbases,” Section 26, “Aggregate Bases,” Section 27,
Cement-treated Bases,” Section 28, “Lean Concrete Base,” Section 39, “Asphalt
Concrete,” and Section 90, “Portland Cement Concrete,” of the Standard
Specifications, all contain provisions for an acceptable range of test results and
unacceptable results for aggregate gradation tests. 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 contractor’s actions and any off-site testing done before the next day’s 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 contractor’s
written request, along with documentation for reasons for leaving the material in
place and the contractor’s actions, is sufficient for the contract records. A contract
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 contractor’s inspection. Accordingly, test results must remain in
the project files for ready accessibility.
3-609 3-609 Testing by Contractor

Testing by The contractor must be satisfied at all times that the quality of materials entering the
Contractor 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. Perform and record acceptance tests as required by Section 6-1,
“Sample Types and Frequencies,” of this manual.
3-610 3-610 Suspected Fraudulent Test and Inspection Reports

Suspected When fraudulent tests or inspection reports are suspected, discuss the situation
Fraudulent Test and with the Division of Construction field coordinator. Contact the Office of
Inspection Reports Materials Engineering and Testing Services for assistance in evaluating 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.

Section 7 Legal Relations and Responsibility
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 Contractor’s Licensing Laws
3-701D Vehicle Code
3-701D (1) Weight Limitations
3-701E Trench Safety
3-701F Falsework Erection or Removal
3-701G Air Pollution Control
3-701H Water Pollution
3-701I Use of Pesticides
3-701J Sound Control Requirements
3-702 Load Limitations
3-703 Safety and Health Provisions
3-704 Public Convenience

3-704A Convenience of the Public and Public Traffic
3-704B Contigency Plans for Reopening Lane Closures
3-704C Maintenance and Improvement of Passageway Through Construction
3-704D Relief From Responsibility for Damage by Public Traffic
3-704E Maintenance Within Construction Limits
3-705 Public Safety

3-705A Clearance and Bridge Permit Rating Changes (Temporary)
3-704B Clearance and Bridge Permit Rating Changes (Permanent)
3-706 Preservation of Property
3-707 Indemnification and Insurance

3-707A Evidence of Insurance
3-701B Railroad Insurance
3-707B (1) Insurance Approvals
Legal Relations and Responsibility 3-7.i
3-707B (2) Responsibility
3-707B (3) Insurance Renewal
3-708 Disposal of Material Outside the Highway Right-of-Way
3-709 Relief From Maintenance and Responsibility
3-710 Acceptance of Contract
3-711 Rights in Land and Improvements

3-711A Nonoperating Right-of-Way (Airspace)s

3-7.ii Legal Relations and Responsibility
Section 7
Section 7 Legal Relations and Responsibility Legal Relations
and Responsibility
3-701 Laws to Be Observed 3-701
According to the specifications, the contractor must be familiar with and comply Laws to Be
with all laws, regulations, and ordinances that affect the labor, materials, or conduct Observed
of the work. However, the specifications do not intend or require that the resident
engineer exercise police enforcement power. If the engineer learns that the contractor
has violated a work-related law or regulation, the engineer must bring the matter to
the contractor’s 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 construction field
coordinator.
3-701B Labor Code Requirements and Fair Labor Standards Act
For the resident engineer’s duties with regard to Labor Code requirements and the
Fair Labor Standards Act, see Chapter 8, “Employment Practices,” of the Construction
Manual (manual).
3-701C Contractor’s Licensing Laws
According to the specifications, all contractors and bidders must be licensed. For
bidders and prime contractors, the Office of Contract Awards and Services in the
Office of Office Engineer verifies compliance with the specifications. If you become
aware that a prime contractor or subcontractor is not licensed for the work being
performed, notify the California Contractors State License Board.
3-701D Vehicle Code
In any areas open to public traffic within the project’s 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.
3-701D (1) Weight Limitations

Except for special conditions described in Section 7-1.02, “Load Limitations,” of
the Standard Specifications, all equipment hauling materials over roads or streets
open to public traffic to, from, or within the project must comply with weight
limitations required by the Vehicle Code. To enforce weight limitations for overloads

Legal Relations and Responsibility 3-7.1
hauled over public roads and streets, follow the procedure outlined below. The
permitted tolerance described below is selected to make Caltrans actions compatible
with routine enforcement procedures used by the California Highway Patrol (CHP).
Here is the procedure to follow:
• The assistant resident engineer receiving a weight slip indicating an overload
may accept a load that is not more than 90 kg 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 CHP.
• When a weight slip indicates that a load is more than 90 kg over the legal gross
weight, reject the load and notify the CHP that overloads are being hauled.
• Prohibit rejected material from being used in the work unless the load is reduced
to or below the legal maximum weight (not including the tolerance) and is again
weighed to establish a new weight.
• Record the identification of rejected weight slips in the daily report.
The objective of the above procedure is to discourage hauling overloads. Minor
variations in the above procedure are acceptable provided the objective is met.
3-701E Trench Safety
The Office of Structure Construction’s Trenching and Shoring Manual provides
technical guidance for analyzing designs of trenching and shoring systems. It also
contains information regarding California’s legal requirements for trench safety.
3-701F Falsework Erection or Removal
Detailed instructions for reviewing falsework for bridges or other major structures
are contained in the Office of Structure Construction’s Falsework Manual. When
the erection or dismantling of falsework is over or adjacent to a traveled way, project
personnel 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 7-1.09, “Public Safety,” of the Standard
Specifications.
• Ensure unplanned detours are paid for in accordance with Section 4-1.04,
“Detours,” of the Standard Specifications.
• Notify the Transportation Permits Branch of the upcoming reduction of vertical
clearance. See “Impaired Clearance (temporary)” later in this section.
3-701G Air Pollution Control
See Chapter 7, “Environmental,” of this manual.
3-701H Water Pollution

3-7.2 Legal Relations and Responsibility
3-701I Use of Pesticides
The resident engineer’s duties regarding pesticide use are included in Section 4-20,
“Erosion Control and Highway Planting,” of this manual.
3-701J Sound Control Requirements
3-702 Load Limitations 3-702

Section 7-1.02, “Load Limitations,” of the Standard Specifications permits overloads Load Limitations
within the project limits under certain conditions. The special provisions may also
provide conditions under which the contractor may haul overloads. However, the
contractor must provide any necessary protective measures and repair any damage
resulting from overloads.
The resident engineer, in accordance with Caltrans policy for overloads, will handle
requests for nonrepetitive overloads on completed work within the contract limits.
You can obtain details from the Transportation Permits Branch. The Bridge
Construction Records and Procedures Manual contains procedures for allowing
certain overloads on structures.
3-703 Safety and Health Provisions 3-703

The contractor must conform to all Division of Occupational Safety and Health Safety and Health
standards. See Section 2-1, “Safety,” of this manual for guidelines for administering Provisions
the contract’s safety requirements.
3-704 Public Convenience 3-704

The following five sections provide guidelines for enforcing the provisions in Section Public Convenience
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.
3-704A 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 7-1.08 requires that operations be conducted in
such a way as to prevent the least possible obstruction and inconvenience to the
public. The public consists of anyone passing through or affected by construction
operations, including pedestrians and residents, as well as vehicular traffic.
The resident engineer must ensure the contractor has made adequate provisions for
public convenience when the specifications leave the manner of providing for
convenience to the contractor’s discretion. The resident engineer must also ensure
the contractor does not unnecessarily delay or interfere with traffic for the contractor’s
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
instance, 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 contractor’s 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 7-1.08, “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.
3-704B Contingency Plans for Reopening Lane Closures
The special provisions for contracts that allow lane closures require the contractor
to prepare a contingency plan for reopening closed lanes. The contractor’s 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 contractor’s
operation so that lanes can be reopened within the specified time limits or stopping
the contractor’s 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 contractor’s 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 contractor’s
control or because of equipment breakdown, do not allow compensation and charge
a working day as appropriate.
3-704C 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 7-1.08 specifies the
responsibility of the contractor for providing reasonably smooth and even surfaces
for passage of public traffic through the work. This section also specifies Caltrans’
responsibility for paying for the cost of maintaining the surface that would carry
public traffic. 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 Section 4-1.04, “Detours,” 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.
3-704D Relief From Responsibility for Damage by Public Traffic
Only in some cases will Caltrans pay to repair damage to completed permanent
facilities caused by public traffic. Section 7-1.08 covers such exceptions. Completed
permanent facilities are any features constructed by the contractor that will become
a permanent part of the project. 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 instance, 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.

The specification for relieving the contractor of responsibility for damage to
completed permanent facilities only applies when a section of surfacing or the deck
of a structure has been completed and opened to public traffic. Such relief is also
dependent on the resident engineer’s written order.
Here are some guidelines for administering the specification:
• 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 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 order of work, it must
be covered by a contract change order approved by headquarters, in
accordance with Section 5-3, “Contract Change Orders,” of this manual. If
Caltrans will not compensate the contractor for damage to completed
permanent facilities, the contract change order must state this fact.
2. When the opening does not conform to the specified order of work, the resident
engineer will normally base approval or disapproval of the contract change
order on an evaluation of the benefit to public traffic. If the benefit is
substantial, it is appropriate to approve the contract change order and
compensation in accordance with Section 7-1.08, “Public Convenience,” of
the Standard Specifications. If measurable benefits accrue to the contractor,
ensure the contract change order provides a credit to Caltrans.
3. If the benefits to public traffic are borderline or negligible, it is appropriate
to approve the contract 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 contract 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 7-1.15, “Relief From Maintenance and
Responsibility,” 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 contractor 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 public
traffic is temporarily placed on the shoulder to facilitate construction.
3-704E Maintenance Within Construction Limits
If the highway in question is a state highway, Caltrans’ maintenance forces must
maintain the highway as a maintenance expense. A clear understanding must exist
between the maintenance area supervisor or area superintendent and the resident
engineer about which portions of the highway Caltrans’ maintenance forces will
continue to maintain during the project’s construction. The following guidelines
should be used when discussing roadway maintenance:
• If new work is required along 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 contract item work. The
owner will resume maintaining the highway or portions of it when the contractor
is relieved from maintenance responsibility, as provided for in Section 7-1.15,
“Relief of Maintenance and Responsibility,” of the Standard Specifications.
• Often, on widening or improvement projects, existing highway facilities will be
located outside of the actual areas of work where alterations, modifications, or
replacements are not planned. In these cases, except for repair of damage due to
the contractor’s operations, the owner will maintain the highway. If the new
work consists of widening the existing highway’s pavement or roadbed and the
contractor’s operations are restricted to a portion of the width of the roadway,
the owner will continue maintaining the balance of the width.
• If damages caused by the public occurs to any existing facility within the
construction limits, and the work required to repair the damage is similar to the
work being done by the contractor, it is preferable to have the repairs done by
the contractor.
• In case of emergency conditions within construction limits the maintenance area
supervisor and the resident engineer should determine who should respond so
that the condition is addressed in the quickest and safest manner.
• Pay as extra work any work the contractor does to maintain and repair damage
to existing facilities (except for damage caused by the contractor).
3-705 3-705 Public Safety

Public Safety The contract must bear all expenses associated with those devices primarily intended
to protect traffic from hazards arising because of the contractor’s 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 engineer can point out the contractor’s 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.
3-705A Clearance and Bridge Permit Rating Changes (Temporary)
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.
3-705A (1) Temporary Vertical and Horizontal Clearance Changes

Fifteen days before implementing proposed vertical and horizontal clearance changes,
the resident engineer must notify the Transportation Permits Branch by fax of the
proposed changes and their duration. (Note: Whenever the operation will reduce
clearances available to public traffic, the specifications require the contractor to
notify the resident engineer at least 15 days before the anticipated start of each
falsework and girder erection operation.) If the clearance change is on a local
jurisdiction roadway, notify the affected agency in writing at the same time.
3-705A (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 by fax of the proposed ratings and their duration. The bridge rating engineer
must then immediately notify the Transportation Permits Branch of any rating
changes.
Within three days of the removal of the temporary bridge permit rating, the structure
representative must notify the resident engineer in writing and the bridge rating
engineer by fax. The bridge rating engineer must then immediately notify the
Transportation Permits Branch.
3-705B Clearance and Bridge Permit Rating Changes (Permanent)
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.
3-705B (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 by fax of the proposed changes. Also, to confirm the necessary information,
the resident engineer must consult the Transportation Permits Branch before actual
field measurements.
3-705B (2) Permanent Bridge Permit Rating Changes

Fifteen days before implementing the proposed bridge permit rating changes, the
structure representative must notify the resident engineer in writing and the bridge
rating engineer by fax of the proposed bridge permit ratings. The bridge rating
engineer must then immediately notify the Transportation Permits Branch of any
rating changes.

3-705B (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.
To submit changes, use the following forms, maintained by the Office of Traffic
Safety Program and Research:
• Form TR-0019, “Notice of Change in Clearance or Bridge Weight Rating”
• Form TR-0020, “Notice in Change in Vertical or Horizontal Clearance”
• Form TR-0029 “Notice of Change in Clearance or Bridge Weight Rating”
The Transportation Permits Branch will, within one business day, send a fax to the
resident engineer confirming receipt of the change.
3-706 3-706 Preservation of Property

Preservation of The contract makes the contractor responsible for the preservation of all property
Property involved in the project, including that which is not in sight. It is in the best interests
of all parties for the engineer to be diligent in determining and pointing out the
existence of all such property of which Caltrans has knowledge, especially that which
is not in sight. For information about locating and protecting underground utilities,
see Section 3-809, “Utility and Non-Highway Facilities,” of this manual.
The plans and specifications may require that certain trees, shrubs, and other
vegetation be preserved. The resident engineer must ensure the contractor is aware
of all plant life to be saved.
The resident engineer must also ensure the contractor does all that is required under
the contract to protect and preserve property. However, the contractor’s responsibility
includes only that which is necessary to protect against damage by the construction
activity. If any permanent protection is ordered, such as rubble tree wells in the
planned slope, pay for this work as you would for any other ordered additional
work.
3-707 3-707 Indemnification and Insurance

Indemnification and The following are guidelines for enforcing and administering the requirements in
Insurance the Standard Specifications for contractors’ insurance and for railroad insurance as
required by the special provisions.
3-707A Evidence of Insurance
At or before the preconstruction conference, the contractor must provide the resident
engineer with evidence of insurance, as required by Section 7-1.12B, “Insurance,”
of the Standard Specifications. The resident engineer must do the following:
• Ensure the evidence of insurance conforms to the specified requirements.
• Forward a copy of the evidence of insurance to the Division of Construction,
Progress Payment Section.
• Ensure the contractor’s required insurance does not lapse during the life of the
project.

• If the contractor fails to maintain insurance coverage, request the contractor to
immediately obtain the necessary coverage. If the contractor fails to do so, the
resident engineer may consider contacting the insurance carrier to make
arrangements to maintain the required coverage and charge the expense to the
contractor.
• If the above procedures do not result in obtaining coverage, contact the Division
of Construction for guidance.
3-707B Railroad Insurance
State highway construction occasionally requires that a contractor’s operations be
performed on or near a railroad’s operating properties. This proximity varies from
minor side encroachments to work involving the direct crossing of a railroad’s tracks.
Section 13, “Railroad Relations and Insurance Requirements,” of the special
provisions defines the relationships between Caltrans, the contractor, and the railroad.
When work must be performed on or near a railroad’s 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
contractor’s operations.
Although contract specifications regarding railroad insurance have been standardized,
occasional changes occur because of special situations. Requirements for railroad
protective liability insurance vary depending on the railroad company involved. In
Section 13 of the special provisions, the Engineering Services, Railroad Agreements
Branch will normally issue special instructions for irregular situations.
3-707B (1) Insurance Approvals

Deliver all railroad insurance policies and copies provided to cover the prime
contractor in accordance with Section 13 of the special provisions. Allow a minimum
of four weeks for the railroad’s notice of approval of the insurance. In cases of
emergencies, you can obtain verbal release and authority to start work after the
railroad has received all the documents.
3-707B (2) Responsibility

The resident engineer must ensure the specified insurance is in force at all times
when work is being performed that requires such insurance.
Prohibit work that involves encroachment on railroad property, either by a prime
contractor or a subcontractor, until the following conditions have been met:
• The railroad or the Engineering Services, Railroad Agreements Branch, has
advised the resident engineer that the contractor, subcontractor, or both, have
furnished the specified insurance.
• The resident engineer has a copy of the certificate of insurance.
3-707B (3) Insurance Renewal

Approximately four weeks before the expiration date of an insurance certificate
furnished by either a contractor or subcontractor, the resident engineer must notify
the contractor, by letter, of the expiration date. If work is to continue on railroad
property, request the contractor to obtain renewal insurance. At that time, determine
whether work on the railroad property has been completed.

Renewals may be accomplished by endorsing the extension of existing certificates
or by issuing new certificates.
Allow sufficient time for railroad approval after the submission of a new railroad
protective policy.
3-708 3-708 Disposal of Material Outside the Highway Right-of-Way

Disposal of Material Do not allow the contractor to dispose of material outside the right-of-way until the
Outside the Highway contractor has met all the requirements in Section 7-1.13, “Disposal of Material
Right-of-Way Outside the Highway Right of Way,” of the Standard Specifications. When these
requirements have been met, give the contractor written permission for disposal
sites not covered by an agreement between the property owner and Caltrans.
In the case of disposal of material on a property outside the highway right-of-way
that is covered by an agreement between the property owner and Caltrans, the resident
engineer must prepare the specified document to be executed by the contractor. Use
agreements similar to those shown in Section 3-607, “Local Materials,” of this manual,
with wording modified to indicate disposal sites.
Approval of the disposal of materials outside the highway right-of-way guards against
disposal that would harm the highway or cause environmental damage, disposal site
damage, or unsightliness.
3-709 3-709 Relief From Maintenance and Responsibility

Relief From Under conditions specified in Section 7-1.15, “Relief From Maintenance and
Maintenance and Responsibility,” of the Standard Specifications, the contractor may be relieved from
Responsibility maintaining and protecting certain completed portions or sections of the work.
Caltrans policy recommends relief only for those portions of the work specifically
mentioned in the specifications unless exceptions are fully justified in the request
for relief.
For completed roadways, the specified length of 0.5 km is the minimum practical
length of completed main roadway upon which a recommendation can be made for
relief from maintenance and responsibility. However, shorter units of completed
work, such as on-ramps, off-ramps, frontage roads, or approaches to undercrossings
and overcrossings, may also be eligible for relief from maintenance and responsibility.
Do not recommend relief from maintenance and responsibility on 0.5 km sections
that contain exceptions within that length unless you provide a valid reason presented
with and supporting the recommendation.
Exceptions, if any, must be defined by longitudinal sections of highway or certain
specified areas. For example, it is unacceptable to recommend relief from maintenance
for a total project except for the inlet ditch to the right of stations 20 to 25. It is
acceptable to recommend relief for the total project except for stations 15 to 27 (the
section of highway that could be affected by the uncompleted ditch to the right of
stations 20 to 25).
The following describes what constitutes a “bridge or other structure of major
importance”:
• For purposes of relief from maintenance and responsibility, a bridge is as defined
in Section 1, “Definitions and Terms,” of the Standard Specifications. A structure
will be considered a bridge if it is so identified in the plans or other portions of
the contract.

• Other structures that are to be considered of major importance are culverts in
excess of 2000 mm 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 contract items
(including mobilization).
Projects with noncontiguous locations may be accepted location by location
provided the work at each requested location is completed in all aspects.
Noncontiguous areas of work outside of the right-of-way on major projects may
also be accepted, provided that the procedures outlined in Section 3-513A, “Work
for Other Agencies or Owners,” of this manual have been followed.
Relief from maintenance and responsibility relieves the contractor of responsibility
for repair of damage from the elements. Before recommending any request for relief
from maintenance and responsibility, determine that the requested work will not be
damaged as a result of incomplete adjoining work. For instance, 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 relief from maintenance and responsibility, analyze each
situation critically to determine if it qualifies in all respects. The project’s proper
completion must not be jeopardized by indiscriminate recommendations for relief
from maintenance and responsibility. 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 you have any doubts about the requested area’s eligibility, deny the contractor’s
request for relief from maintenance and responsibility. Inform the contractor in writing
so no doubt exists as to the status of the contractor’s request and the nature of
uncompleted work. The Standard Specifications clearly state that the portion of work
must be complete in all respects before it becomes eligible for relief from maintenance
and responsibility.
For landscape projects, a special provision is usually included to allow the granting
of relief from maintenance and responsibility for items not directly connected with
plant establishment work or highway planting and irrigation systems. Under the
special provision, relief from maintenance and responsibility could be granted 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 these items.
However, to be consistent with the policy for non-landscape contracts, this type of
relief from maintenance and responsibility will not be granted item by item, but only
for an entire group of items. Any item that protects the planting or is involved in
plant establishment should not be submitted for relief from maintenance and
responsibility. Items typical of this category include planter boxes, sprinkler systems,
header boards, or mesh.
Roadside rests will not be accepted item by item, but they may be recommended as
completed units.
Relief from maintenance and responsibility denotes recognition of work that is
completed. Therefore, any recommendations for this action on work for other public
agencies or owners also require the concurrence of these agencies and owners. Before
recommending relief from maintenance and responsibility on such portions of the
work, complete the procedures outlined in Section 3-513A, “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 a justification for relief.
For requests for relief from maintenance and responsibility, use Form CEM-0501,
“Relief from Maintenance.”
The resident engineer must conduct a maintenance review of areas for which relief
from maintenance and responsibility is to be granted. For guidelines on maintenance
reviews, see Section 3-5, “Control of Work,” of this manual.
3-710 3-710 Acceptance of Contract

Acceptance of On the day that project work is completed in accordance with all the requirements of
Contract the Standard Specifications, special provisions, plans, and approved contract change
orders, send to the district construction office a fax recommending acceptance of the
contract by the district.
For recommendations of acceptance, use Form CEM-6301, “Contract Acceptance.”
Follow the same procedure for the acceptance of emergency contracts.
3-711 3-711 Rights in Land and Improvements

Rights in Land and Generally, the contractor may use the right-of-way for purposes that are reasonably
Improvements necessary to perform the required work. The contractor has no right to make use of
the property, or to allow others to make use of 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. Prohibit any use of a Caltrans right-of-way that conflicts with the above
requirement. Discuss unusual or complicated situations with the construction field
coordinator.
As stated in Section 7-1.19, “Rights in Land and Improvements,” of the Standard
Specifications, the contractor may enter into a rental agreement to use state-owned
property outside the right-of-way.
3-711A Nonoperating Right-of-Way (Airspace)
Usable property under bridges or viaducts or other property that cannot be sold as
excess, but can be leased, has been classified as nonoperating 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
prohibition against use, of nonoperating right-of-way by the contractor. On those
occasions 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 of the normal provisions requiring insurance and parcel protection will be
enforced.

Section 8 Prosecution and Progress
3-801 Subcontracting
3-801A Amount of Work Subcontracted
3-801B Calculating the Amount of Work Subcontracted
3-801C The Subletting and Subcontracting Fair Practices Act
3-801C (1) Substitution Process
3-801D Procedure for Approval or Acknowledgment of Subcontractor
3-802 Beginning of Work

3-802A Work Before Contract Approval
3-803 Progress Schedule
3-804 Temporary Suspension of Work
3-805 Time of Completion

3-805A Weekly Statement of Working Days
3-805A (1) The Record Section (Upper Block)
3-805A (2) Time Extensions (the Center Block)
3-805A (3) Computation of Extended Date for Completion (theLower Block)
3-805A (4) Final Weekly Statement of Working Days
3-805A (5) Examples
3-805B Progress of Work
Examples 3-8.1 First Working Day/Begin Work
Examples 3-8.2 Begin Work Before First Working Day
Examples 3-8.3 Contract Change Order Time Extension
Examples 3-8.4 Approval of a Time Extension
Examples 3-8.5 Non-Working Day Due to “Maintaining Traffic” and Suspension
Examples 3-8.6 Type 2 Plant Establishment. Highway worknot yet complete
Examples 3-8.7 Type 2 Plant Establishment. Non plant establishment work completed
Examples 3-8.8 Final Weekly Statement of Working Days
Examples 3-8.9 Contract in Overrun
Examples 3-8.10 Calendar Day Project

Prosecution and Progress 3-8.i
3-806 Liquidated Damages
3-806A Overrun in Contract Time
3-806A (1) Case 1
3-806A (2) Case 2
3-806A (3) Case 3
3-806A (4) Case 4
3-806B Shortage of Material
3-807 Termination of Control

3-807A Work Completed by the Surety
3-807B Work Not Completed bythe Surety
3-807B (1) Section 1
3-807C
3-808 Right of Way Delays
3-809 Utility and Non-Highway Facilities

3-809A General
3-809B Duties of the Utility Relocation Resident Engineer
3-810 Termination of Contract

3-810A Federal-Aid Contracts on the National Highway System

3-8.ii Prosecution and Progress
Section 8
Section 8 Prosecution and Progress Prosecution and
Progress
3-801 Subcontracting 3-801
Contractors can use subcontractors on their projects provided the subcontractor and Subcontracting
the prime contractor comply with the applicable contract specifications and with
state and federal laws and regulations. When projects use subcontractors, the resident
engineer must primarily focus on the following:
• Always know which subcontractors are working on the project.
• Of the contract amount, ensure that subcontractors perform no more than 50
percent (or the percentage allowed by the special provisions), excluding Specialty
Items as identified in the special provisions.
• Ensure that listed subcontractors are not illegally removed or replaced.
• Ensure the prime contractor achieves the subcontracting level pledged to meet
requirements of the disadvantaged business enterprise (DBE) and the disabled
veteran business enterprise (DVBE) when the contract was awarded. For more
information on the DBE and DVBE subcontracting requirements, see Section
8-3, “Disadvantaged Business,” of the Construction Manual (manual).
• Ensure adherence to the provisions of the Subletting and Subcontracting Fair
Practices Act.
In the same manner as for other contractual obligations, construction personnel must
review the contract and administer the subcontracting provisions.
3-801A Amount of Work Subcontracted
Section 8-1.01, “Subcontracting,” of the Standard Specifications, requires that the
contractor perform no less than 50 percent of the work using the contractor’s own
organization, excluding Specialty Items as identiefied in the special provisions. The
special provisions may revise this percentage.
The percentage of work subcontracted is calculated for first-tier subcontractors only.
A contractor’s organization must include only workers employed and paid directly
by the prime contractor and only equipment owned or rented by the prime contractor,
with or without operators.
The following examples portray common situations encountered when attempting
to determine if work should be considered as subcontracted:
• The contractor pays an hourly rate for work performed at the job site. The
contractor purchases material for curing seal by the tonne, but pays for spreading
the material by the hour. Consider this work as completed by the contractor’s
own forces.
• The contractor pays a unit price or lump sum for work performed at the job site.
The contractor purchases cement for cement-treated base, and the price per tonne
includes spreading on the project. Consider the work as subcontracted.

Prosecution and Progress 3-8.1
• Materials are purchased “FOB” to the job site from a commercial source. (FOB
is the abbreviation for “free on board” and means the price includes delivery to
the job site.) Do not consider the delivery as subcontracted work.
• Materials are purchased FOB at a location off the project and delivered by a
commercial freight line. Do not consider the hauling as subcontracted work.
• Materials are obtained at a location off the project and hauled to the project by a
truck broker or independent trucker. Do not consider the hauling as subcontracted
work.
In unusual cases, the resident engineer should discuss the situation with the
construction engineer. If the situation then indicates that additional information is
necessary but only available through an inspection of the contractor’s records, discuss
with Division of Construction personnel the possibility of an audit.
3-801B Calculating the Amount of Work Subcontracted
The contractor must submit Form CEM-1201, “Subcontracting Request,” stating
what portion and dollar amount of an item will be subcontracted. The resident engineer
must verify the amount. Any rational method of determining the amount will be
acceptable. For example, methods using the following would be acceptable:
• The percent of an area, volume, or length
• The portion applicable to material cost
• Or, the portion of labor and equipment cost
When an entire item is subcontracted, the amount is the prime contractor’s bid price,
not the amount of the subcontract. When a portion of an item is subcontracted, the
value of the work subcontracted will be based on the percentage of the contract item
bid price. The following is an example of a method to calculate the amount
subcontracted:
Bid price of contract item = $100,000.00

Estimated cost of performing the entire item work (force
account or similar estimate) = $ 80,000.00
Estimated cost of subcontracted portion (force account or

similar estimate, not necessarily subcontractor’s bid) = $ 40,000.00
Percent of item subcontracted = 40,000 ÷ 80,000 = 50%

Amount subcontracted = 0.50 x 100,000 = $ 50,000.00
To ensure the contractor is not requesting approval for a firm other than those firms
listed in the bid documents, the resident engineer must check the DBE listing and
the Subletting and Subcontracting Fair Practices Act listing. If a discrepancy is noted,
the resident engineer must advise the contractor and ask for an explanation. The
resident engineer must not approve the subcontracting request until the contractor
provides an acceptable explanation.

3-8.2 Prosecution and Progress
3-801C The Subletting and Subcontracting Fair Practices Act
Sections 4100 through 4114 of the Public Contract Code are called the “Subletting
and Subcontracting Fair Practices Act” and apply to Caltrans construction projects.
This 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 0.5 percent of the contractor’s
bid amount or $10,000 (whichever is greater), must be listed in the prime contractor’s
bid proposal. Not listing a subcontractor indicates that the prime contractor will do
the work with the contractor’s own forces. The act does not require the listing of
second-tier subcontractors, vendors, and suppliers, or subcontractors performing
temporary work, such as temporary traffic striping.
All subcontracted work in excess of 0.5 percent of the contractor’s bid amount must
be listed if the work to be performed is a building project such as a maintenance
station or other off-highway project.
The resident engineer must ensure that the listed subcontractor performs the work or
that the contractor complies with the act regarding substitution.
Listed subcontractors can be substituted only if the act’s procedures have been
followed.
3-801C (1) Substitution Process

To remove a subcontractor listed in the bid documents, the prime contractor must
submit a written request. The contractor can request the removal of a listed
subcontractor for the following reasons:
• The subcontractor fails or refuses to execute a written contract for the work
specified in the subcontractor’s bid and at the price specified in the subcontractor’s
bid, based upon the general terms, conditions, plans, and specifications for the
project involved or the terms of the subcontractor’s written bid.
• The subcontractor becomes bankrupt or insolvent.
• The subcontractor refuses to perform the subcontract.
• The subcontractor fails or refuses to meet bond requirements.
• The prime contractor proves to the awarding authority that the subcontractor
was listed as the result of an inadvertent clerical error. This reason can only be
used shortly after bid opening.
• The subcontractor is not licensed.
• Caltrans determines that the listed subcontractor’s work is substantially
unsatisfactory.
• The subcontractor is ineligible to work on a public works project pursuant to
Section 1777.1 or 1777.7 of the Labor Code.
• Caltrans determines that a listed subcontractor is not a responsible contractor.
• It is in the best interests of the state.
For more detail on the authorized reasons for removing listed subcontractors, see
Sections 4107 and 6109 of the Public Contract Code.
When the prime contractor requests a substitution, proceed as follows:
• Send the request, together with the reason, to the district construction office.
California Department of Transportation • Construction Manual •July 2004

• If the prime contractor indicates that the listed subcontractor agrees with the
removal, the prime contractor should submit a letter from the subcontractor
agreeing with the removal. To verify the subcontractor wants to be removed, the
resident engineer must also check with the subcontractor.
• If the subcontractor does not agree with the removal, the prime contractor must
describe the reasons for the removal, and the reasons must match the authorized
reasons described under the Subletting and Subcontracting Fair Practices Act.
• The district must notify the listed subcontractor by certified mail that the
contractor has requested removal. The district must also provide a copy of the
contractor’s request to the subcontractor. The listed subcontractor has five
working days to submit to Caltrans a written objection to the substitution. Failure
to file a written objection constitutes the listed subcontractor’s consent to the
substitution.
• If the listed subcontractor does not respond within five working days, the resident
engineer must approve the removal of the listed subcontractor. The resident
engineer must then approve the new subcontractor (if qualified), following the
guidelines under “Procedure for Approval or Acknowledgement of
Subcontractors” in this section. If the removed subcontractor’s firm was a DBE,
the contractor must undertake efforts to replace that firm with another DBE.
Assess a good faith effort before approving a replacement if the new subcontractor
is not a DBE. See Section 8-3, “Disadvantaged Business,” of this manual.
• If the listed subcontractor submits timely written objections to the substitution,
the district will conduct a hearing. Normally, the hearing officer is the district
construction deputy director. The prime contractor and the subcontractor objecting
to the substitution must receive written notice of the hearing a minimum of five
days before the hearing.
• Before the hearing, ensure the allegations are evaluated to determine whether a
Caltrans attorney needs to attend the hearing to develop the record on a legal
issue.
• The hearing can be informal, without strict rules of evidence. To substantiate
the allegations, however, documents must be obtained from both parties. Either
the hearing officer or another Caltrans representative must also develop a line of
questioning to ensure sufficient evidence exists upon which Caltrans can base
its decision about the request. Moreover, if the hearing officer requires legal or
other assistance during the substitution or hearing process, the district must
contact the construction field coordinator, who will arrange for such assistance
as appropriate.
• During the hearing, tape recording can be used to assist in taking notes.
• After the hearing, the hearing officer will issue written findings, conclusions,
and a decision on the substitution request. As soon as possible after the hearing,
the prime contractor and the objecting subcontractor must receive a copy of the
decision by certified mail return receipt. The Division of Construction must also
receive a copy. 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 district will determine
the penalty amount, which will vary depending on the circumstances involved.
The district hearing officer’s finding is the final Caltrans administrative finding
on the application and enforcement of the act.

SUBSTITUTION REQUEST 1
SUBSTITUTION PROCEDURES
PROCEDURE
NON-DBE2 DBE3
Table 3-8.1
Contractor submits written request

for substitution to the resident
engineer (submittal of Form CEM- If below threshold limit, review written
1201 is NOT a valid request) Contractor submits CEM- request for allowable reasons for
substitution (refer to Section 8-3 of the
Prosecution and Progress

1201, as appropriate, to
resident engineer manual)
Follow DBE
procedures
YES Resident engineer reviews

Substitution NO Construction Division
and/or approves CEM-1201,
of like subcontractor Chief reviews request
Substitution YES
as appropriate
and/or equivalent for good faith effort and
below threshold DBE sub? work? renders decision
limit?
END
NO YES
NO
Follow non-DBE NOTES

procedures Resident engineer renders decision
1. Substitution requirements apply
only to first tier subcontractors.

PRE-HEARING Professional service contracts,
manufacturers, vendors and truckers Contractor submits CEM-1201, as
Review request for adequacy are excluded. appropriate, to resident engineer
Notify hearing officer
Contact listed subcontractor Hearing decision allows
Determine necessity for hearing substitution procedure to continue.
Confirm hearing date with all parties
Hearing does not approve Resident engineer reviews and/or
substitute subcontractor by name. approves CEM-1201, as appropriate
END
Sub not NO HEARING Approval of subcontractor by name
HEARING approved, rests with resident engineer
penality (CEM-1201).
determined by DEFINITION
Hearing Officer Sub approved 2. First tier subcontractors only,
The following chart outlines the foregoing substitution process:
excluding professional service Threshold - Dollar amount equal to:

POST HEARING contracts, manufacturers, vendors Building contracts - 0.5% of the prime contractor's total bid.
and truckers. All other contracts - 0.5% of the prime contractor's total bid or
Notify contractor, $10,000, whichever is higher.
subcontractor, resident
engineer and Construction END 3. Any certified DBE subcontractors
including professional service DBE - (Disadvantaged Business Enterprise)
Program of decision
Follow DBE or non-DBE contracts, manufacturers, vendors
procedures as appropriate and truckers.
3-8.5
The following presents typical examples of some of the more common violations of
the act by a prime contractor:
• Subcontracting work that was not listed as subcontracted work.
• Using a subcontractor that was not listed.
• Substituting subcontractors without Caltrans’ consent.
• Performing work that a subcontractor was designated in the bid documents to
perform.
If these or any other violations occur, proceed as follows:
• The resident engineer must discuss the apparent violations with the construction
engineer.
• If the construction engineer agrees an apparent violation has occurred, send the
prime contractor a letter stating the following:
“It has come to our attention that you are in apparent violation of the Subletting
and Subcontracting Fair Practices Act, Public Contract Code, Sections 4100
through 4114, for work being performed on item(s) ____ of State Contract
No. ------.
“You will be assessed a penalty of $ _____ as provided in the Subletting and
Subcontracting Fair Practices Act. If you wish to dispute this penalty, you
should request a hearing. Caltrans will schedule a hearing on this apparent
violation and the penalty to be assessed. Should you request a hearing, you
will be given five days notice of the time and place thereof, 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 Division of Construction.
• If the contractor requests, the district will schedule a hearing using the same
procedure as described in the substitution process.
• When Caltrans has determined that a penalty will be imposed (0 to 10 percent of
the subcontract amount depending on the district’s evaluation of the reasons for
the violation of the act), the district must ensure that the penalty amount is
deducted from a future estimate.
• Occasionally, the contractor will list subcontractors that are not required by the
act. If so, only Caltrans’ normal subcontracting procedures apply.

The following flowchart shows the steps to take when the contractor is found to be
in violation of the Subletting and Subcontracting Fair Practices Act.
Table 3-8.2 Violation of Subletting and Subcontracting Fair Practices Act Flowchart
VIOLATION OF SUBLETTING
AND
SUBCONTRACTING FAIR
PRACTICES ACT
Contractor notified in writing of observed violation

and intention to deduct up to 10% of subcontract
involved or 100% of amount shown on Caltrans
bidder DBE information, whichever is higher, if
DBE violation is involved.
YES
PRE-HEARING
Conctractor
Contractor Notify hearing officer
ojbects? ?
objects Notify listed subcontractor
Confirm hearing date with all
parties.
NO
HEARING
Notify contractor, subcontractor,

resident engineer and Construction
Program of decision.
Resident
Residentengineer withholds
engineer or deducts
withholds the appropriate
appropriate
amount
amount from
from the next
the next monthly
monthly progress
progress pay. pay.
END
*NOTE
This act does not apply to professional service

contracts, manufacturers, vendors and truckers.

3-801D Procedure for Approval or Acknowledgment of Subcontractors
The resident engineer has the responsibility for approving subcontractors on federally
funded projects or acknowledging subcontractors on state-financed projects.
In general, approving or acknowledging subcontractors is necessary only for first-
tier subcontractors.
To request subcontracting, the contractor must submit Form CEM-1201,
“Subcontracting Request,” to the resident engineer. When the contract was awarded,
the contractor received a blank Form CEM-1201, along with other documents. The
resident engineer should provide to the contractor additional blank forms when
necessary. The back of the form contains instructions for completing the form.
Upon receipt of Form CEM-1201, the resident engineer will complete the lower
portion of the form. Before approving the contractor’s request, the resident engineer
• Check the contractor’s portion of the form.
• Verify that subcontractors are not on the Debarred Contractors list on the
Division of Constructions web site.
• Complete lines 1 through 9. Lines 2 and 6 will contain running balances, so
process requests in order of request number. Complete the remainder of the
form as outlined on the form.
• Verify subcontractors comply with DBE goals submitted by the contractor before
the contract award. Ensure no conflict exists between the DBE requirements
and the listing requirements of the Subletting and Subcontracting Fair Practices
Act.
• If the contractor’s request meets all the requirements, sign and date the form and
distribute it as indicated on the form.
The special provisions for most contracts considered non-highway related (building
contracts) waive the requirements of Section 8-1.01, “Subcontracting,” of the
Standard Specifications. The effect of this waiver is that a subcontractor who is
listed in the bid proposal may perform the work without advance notification to the
resident engineer, and the requirements about the prime contractor performing 50
percent of the work are not applicable. However, those contracts that contain federal
funding still require that subcontractors receive prior approval and that prime
contractors perform a specified percentage of the work. Such federally funded
contracts must be processed as discussed above.
3-802 3-802 Beginning of Work

Beginning of Work This section covers the subject of when the contractor begins work. This subject is
not to be confused with the beginning of contract time and the preparation of Form
CEM-2701, “Weekly Statement of Working Days,” which is covered below in Section
3-805, “Time of Completion.”
The contract normally requires the contractor to begin work on a project within 15
calendar days after receiving notice that the contract has been approved. The special
provisions may modify the 15-day requirement.
The resident engineer must determine when to record the beginning of work, based
on judgment and experience. For example, setting up signs could be the only work
under way. If conversations with the contractor indicate movement toward pursuing
the work, the setting up of signs is sufficient to indicate the beginning of work.

Record the date the contractor begins work on Form CEM-2701 in the resident
engineer’s 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 (1), “Completing Form CEM-6003, Project Pay-Estimate Project
Initiation or Update,” of this manual.
Adequately record the district’s 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.
When the district decides that failure to begin work will result in unsatisfactory
progress, discuss the situation with the construction field coordinator.
3-802A 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 operations.
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
the executed contract documents. If the office has received the documents, proceed
as set forth in Section 8-1.03, “Beginning of Work,” 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 8-1.03 that apply after
the contractor has returned the executed contract documents to Caltrans but before
the time of the contract’s 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 7-1.14, “Cooperation,” 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 operations and that the work of the others will take
precedence over the contractor’s operations.
• When obvious conflicts are apparent, a permit should not be issued.
• The limits of the area in which work will be performed.
• The operation or operations to be performed.
• A statement that the contractor will comply with the requirements of the contract
plans, Standard Specifications, and the project’s special provisions and that the
contractor will comply with any order of work specified in these documents.
• A statement that the contractor’s operations 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 contract’s water pollution control requirements.
California Department of Transportation • Construction Manual • Decermber 2005

When extra work must be a first order of work, it should be performed under a
“prior authorization,” as covered in Section 5-3, “Contract Change Orders,” of this
manual. After the executed contract documents have been delivered as specified,
contract change orders may be approved in the normal manner.
The district must not process requests for relief from maintenance or for contract
acceptance until after the contract’s approval.
3-803 3-803 Progress Schedule

Progress Schedule When the special provisions require a progress schedule, the resident engineer must
make every effort to obtain a reasonable schedule at the beginning of the contract.
Any communication regarding the progress schedule must be recorded in the daily
report. Notify the contractor in advance if a progress payment will be withheld for
failure to submit a satisfactory schedule.
Any schedule that does the following will meet the specification requirements:
• Separates the major items into activities that are likely to become the controlling
operation or operations.
• Can be used by the contractor and resident engineer to monitor and evaluate
progress, determine controlling items of work, and analyze time impacts from
contract changes or work delays.
• Is consistent with contract time requirements.
• Displays milestones such as placing traffic on detours or new pavement and
beginning new phases of the work in staged construction.
The resident engineer must require an updated or revised progress schedule regularly
or when significant changes occur in the project.
The special provisions may require a progress schedule using the critical path method
(CPM). The special provisions will contain all the requirements for such a schedule.
For CPM information and guidelines, refer to the Construction Scheduling Manual
published by the Division of Construction.
3-804 3-804 Temporary Suspension of Work

Temporary Temporary suspension of work, as covered under Section 8-1.05, “Temporary
Suspension of Work Suspension of Work,” of the Standard Specifications, falls into two general categories:
1. This category relates to the contractor’s failure to carry out orders or to
perform any provision of the contract. Any letter ordering 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.
2. This category relates to unsuitable weather or conditions unfavorable for
the suitable prosecution of the work. This type of suspension may result
from anticipated heavy traffic due to a holiday or a special event.
a. Suspension of an Item or Operation
A suspension that affects an item or several items may be ordered. Usually

this suspension is used when either the work or the public will be affected
adversely by continued operation.

Although this type of suspension is an option available only to the
engineer, consider the contractor’s opinion on such a suspension.
b. Suspension of the Entire Project
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, the engineer’s authority to suspend is limited to the reasons
stated in Section 8-1.05, “Temporary Suspension of Work,” of the
Standard Specifications. When an entire project is suspended for reasons
that do not fall under the scope of Section 8-1.05, the suspension must
have the contractor’s concurrence.
During any suspension, advise the contractor of the conditions under which
maintenance will be performed.
During a suspension, preferably use the contractor to perform the necessary work to
provide for public convenience or public safety. If Caltrans must perform such work,
the district will request a director’s order, financed from the contract allotment. This
order 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 are
expected soon for resuming work, the resident engineer must notify the contractor
in writing. The letter must state the date when working days are expected to be
resumed and must allow sufficient time to permit the contractor to remobilize the
necessary labor and equipment. Generally speaking, 10 working days are considered
a reasonable time.
The district construction office must forward to the Division of Construction copies
of the letters notifying the contractor of suspension and resumption of work.
Because of an ordered suspension of work, the contractor may be due additional
compensation, contract time, or both, that was not provided for elsewhere in the
specifications. The specification allowing such compensation applies only to
situations where the work is suspended for an unreasonable period. A one-day
suspension because of traffic generated by a planned major event is not unreasonable.
However, a suspension resulting from an unplanned major incident could be reason
for granting additional compensation, time, or both.
3-805 Time of Completion 3-805

This section discusses the method of tracking contract time and uses the terms “days,” Time of Completion
“working days,” and “controlling operation.” Section 1, “Definitions and Terms,”
of the Standard Specifications, defines “days.” Section 8-1.06, “Time of Completion,”
of the Standard Specifications, defines “working days” and “controlling operation.”
However, the contract’s 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. On most projects situations arise that extend the date for completion beyond the
“computed date for completion.” This extension is called the “extended date for
completion.”

The “computed date for completion” can be extended in two ways:
1. A day that normally would be charged as a working day is not charged. The
number of working days remains the same. The result of this situation is
that the “computed date for completion” is extended by one working day.
This method of extending the date for completion is used when work is
suspended or when working days are not charged for the reasons given in
paragraphs (b) and (c) in Section 8-1.06, “Time of Completion,” of the
Standard Specifications.
2. The number of working days in the contract is increased, resulting in an
extension of the date for completion. However, the actual working day, or
days, on which an event occurred that resulted in an extension of time are
charged as working days. This method of extending the date for completion
is called a time extension. Reasons for time extensions are specified in Section
8-1.07, “Liquidated Damages,” Section 8-1.09, “Right of Way Delays,” and
Section 8-1.10, “Utility and Non-Highway Facilities,” of the Standard
Specifications.
3-805A Weekly Statement of Working Days
The resident engineer must 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 middle of the following week, forward the
original statement to the contractor. For review, send one copy to the district
construction office, and file another copy with the project records. When working
days are not being charged because of a work suspension, the weekly statement
need not be submitted until working days are charged again. The first weekly
statement after resumption of work will show the total suspension days to date.
Form CEM-2701 consists of three basic sections:
3-805A (1) The Record Section (Upper Block)

This section is used to record all working days, nonworking days as defined in Section
8-1.06, “Time of Completion,” of the Standard Specifications, and working days on
which no productive work was performed on the controlling operation. In this section,
tabulate every elapsed working and nonworking day during the life of the project.
Each day, the resident engineer must determine whether or not to charge a working
day, and if necessary, discuss the decision with the contractor. The “current controlling
operation” is the basis of this determination; therefore, the resident engineer must
base the decision on conditions effective on the day under consideration. The resident
engineer will note on Form CEM-2701 the operation that, in the resident engineer’s
opinion, is currently controlling. If the contractor does not concur, the entry will
give the contractor an opportunity to protest formally, in accordance with Section 8-
1.06, “Time of Completion,” of the Standard Specifications.
If the controlling operation is a nonweather dependent activity, 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 due to inclement weather may
extend beyond the period of actual inclement weather. The following list provides
examples of this type of situation:
• Although the weather may be suitable, the grade may still be too wet to work
because of previous days of inclement weather.
• If, due to unstable material, the contractor spent the major portion of the day
rebuilding haul roads and removing saturated material from the tops of fills, no
progress toward completion would have been made even though the full crew
might have worked the entire day.
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 operation, a weather
nonworking day could be granted.
If a nonworking day is granted because of requirements in Section 10, “Maintaining
Traffic” of the special provisions, state the reason in the “Remarks” section of Form
CEM-2701.
A temporary short-term suspension, for reasons such as anticipated heavy traffic for
an event or holiday, must be noted in the “Weather, Weather Conditions or Other
Conditions” section and explained in the “Remarks” section. Do not show any charges
for working or nonworking days. Include the suspension day in the “Days contract
suspended” line under the heading “Computation of Extended Date for Completion”
on Form CEM-2701.
In the column titled “Working Days No Work Done on Controlling Operation,”
record any working day on which no work is done on the project or on the controlling
operations. If the resident engineer knows the reasons for lack of work, the resident
engineer should note them in the daily report.
3-805A (2) Time Extensions (the Center Block)

This section is used for recording extensions of time for causes specifically set forth
in Section 8-1.07, “Liquidated Damages,” Section 8-1.09, “Right of Way Delays,”
and Section 8-1.10, “Utility and Non-Highway Facilities,” of the Standard
Specifications or for applicable requirements in the special provisions.
Analyze possible time extensions while the circumstances are still fresh in the minds
of the principals.
In the “CCO” column, record working days granted for contract change orders. In
the “Other” column, record all other time extensions covered by the above mentioned
sections not included in contract change orders.
Use the following procedure for approving an “other day”:
• Under “Remarks,” the resident engineer will acknowledge the receipt of a letter
from the contractor requesting a time extension.
• The resident engineer will forward the contractor’s letter to the construction
engineer with a cover letter containing the following information:
1. Number of days requested and the contractor’s justification for the request.
2. Cause of delay.
California Department of Transportation • Construction Manual • May 2003

3. Statement describing what controlling operation or operations are delayed
and to what extent.
4. Resident engineer’s recommendation.
5. Reference to supporting data.
6. On federal oversight projects, comments from the area engineer of the Federal
Highway Administration.
• The construction engineer or appropriate approving engineer (depending on
district policy), will note approval, if appropriate, on the resident engineer’s
letter and return a copy to the resident engineer or notify the resident engineer of
other steps to be taken.
• If the time extension is approved, the resident engineer will enter it on Form
CEM-2701, “Weekly Statement of Working Days,” as an approved extension,
with a statement under “Remarks” similar to that shown on Example 3-8.4, at
the end of this section.
The Division of Construction must approve “other days” granted after the completion
of the final weekly statement of working days.
If contract time has expired, the engineer may consider time extensions for causes
described in the fifth paragraph of Section 8-1.07, “Liquidated Damages,” of the
Standard Specifications and in Section 8-1.09, “Right of Way Delays,” and Section
8-1.10, “Utility and Non-Highway Facilities,” of the Standard Specifications the
director must approve all other time extensions for causes occurring after the contract
working days have expired.
In considering time extensions for any of the specific causes designated in the contract,
deduct all nonworking days within the extension period, and ensure the extension is
made only for the working days charged to the contract during the extension. For
additional information on time extensions after contract completion, see “Liquidated
Damages” later in this section.
3-805A (3) Computation of Extended Date for Completion (the Lower Block)
In the lower section of the form, summarize the information the contractor will
receive.
The “first working day” is the calendar day specified in Section 4, “Beginning of
Work, Time of Completion and Liquidated Damages,” of the contract’s special
provisions. This day is usually the 15th calendar day after contract approval.
Several methods are used to specify the first working day. The resident engineer
must read and understand the contract’s 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. The calendar
is available at the following address:
http://www.dot.ca.gov/hq/construc/calendar.html
The number shown on the calendar on a particular date is that date’s numbered day.

3-805A (4) Final Weekly Statement of Working Days
Designate the Form CEM-2701 that is used for the week during which 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 the statement reflects the
“approved status of time” on this date. As soon as the district construction office
receives the form from the field, the office must forward a copy of the final statement
to the Division of Construction. For revising the status of time from that shown on
the final weekly statement of working days, see Section 3-806, “Liquidated Damages”
later in this section.
3-805A (5) Examples

The following examples show typical entries for Form CEM-2701, “Weekly
Statement of Working Days.”

Example 3-8.1 First Working Day/Begin Work
STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION (JOB STAMP)

WEEKLY STATEMENT OF WORKING DAYS
CEM-2701 (REV. 2/2001)
REPORT NUMBER 1
CONTRACTOR WEEK ENDING (month, day, year)

04/09/99
Working Day
No Work
1 Nonworking
Date Day Weather, Weather Conditions or Other Conditions Working Day Done on
Day
Controlling
Operation 2
4/5/99 Monday
4/6/99 Tuesday First working day - clear 1 1
4/7/99 Wednesday Clear 1 1
4/8/99 Thursday Contractor began work - clear 1
4/9/99 Friday Clear 1
Days this week _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 4 2
Days previously reported _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
Total days to date _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 4 2
3 CCO Days Approved
Time Extensions
Numbers4 CCO Other
Days this report _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
Total days to date _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _
Number of Numbered Day5 Date
Computation of Extended Date for Completion
Days
1. First working day_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 528 4/6/99
2. Working days specified in contract_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 140
3. COMPUTED DATE FOR COMPLETION (line 1 + line 2 - 1) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 667 10/25/99
4. Days contract suspended to date_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 0
5. Total time extension days approved to date (CCO plus other) _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ 0
6. Total Nonworking days to date6_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 0
7. Subtotal (line 4 + line 5 + line 6) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 0
8. EXTENDED DATE FOR COMPLETION (line 3 + line 7) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 667 10/25/99
9. Revised working days for contract (line 2 + line 5) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ 140
10. Total working days to date_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 4
11. WORKING DAYS REMAINING (line 9 - line 10) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 136
CONTROLLING OPERATIONS (S)
Construction area signs
REMARKS
Contract approved March 22th , 1999
(Refer to Section 4 of the special provisions to determine the first day of work)
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, resident engineer

Example 3-8.2 Begin Work Before First Working Day
CEM-2701 (REV. 2/2001)
REPORT NUMBER 1

04/09/99
Working Day
No Work
Nonworking
Date Day Weather, Weather Conditions or Other Conditions1 Working Day Done on
Day
Controlling
Operation 2
4/5/99 Monday Clear - Contractor began work
4/6/99 Tuesday First working day - clear 1
4/7/99 Wednesday Clear 1
4/8/99 Thursday Clear 1
Days this week _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 4
Total days to date _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 4
3 CCO Days Approved
Time Extensions
Numbers4 CCO Other
Days this report _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
Total days to date _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _
Days
1. First working day_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ 528 4/6/99
5. Total time extension days approved to date (CCO plus other) _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ 0
6. Total Nonworking days to date6_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ 0
9. Revised working days for contract (line 2 + line 5) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 140
Construction area signs
REMARKS
Contract approved March 22th, 1999
(Refer to Section 4 of the special provisions to determine the first day of work)

Example 3-8.3 Contract Change Order Time Extension
CEM-2701 (REV. 2/2001)
REPORT NUMBER 5

05/07/99
Working Day
No Work
1 Nonworking
Day
Controlling
Operation 2
05/03/99 Monday Cloudy 1 1
05/04/99 Tuesday Rain 1
05/05/99 Wednesday Clear - embankment too wet 1
Days this week _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 3 2 1
Days previously reported _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 16 3 4
Total days to date _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 19 5 5
CCO Days Approved
Time Extensions3
Numbers4 CCO Other
Days this report _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ CCO #2 2
Total days to date _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 2
Days
3. COMPUTED DATE FOR COMPLETION (line 1 + line 2 - 1) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 667 10/25/99
5. Total time extension days approved to date (CCO plus other) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 2
8. EXTENDED DATE FOR COMPLETION (line 3 + line 7) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 674 11/3/99
Embankment Construction
REMARKS
April 21st and 22nd 1999 granted for CCO #2

Example 3-8.4 Approval of a Time Extension
CEM-2701 (REV. 2/2001)
REPORT NUMBER 10

06/11/99
Working Day
No Work
1 Nonworking
Day
Controlling
Operation 2
6/7/99 Monday Clear 1
6/8/99 Tuesday Clear 1
6/9/99 Wednesday Cloudy 1
Days this week _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 5
CCO Days Approved
Time Extensions3
Numbers4 CCO Other
Days this report _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 2
Days previously reported _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 2
Total days to date _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ 2 2
Days
1. First working day_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ _ 528 4/6//99
5. Total time extension days approved to date (CCO plus other) _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ _ 4
6. Total Nonworking days to date6_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ _ 5
Settlement periods for bridge abutment fills
REMARKS
A review of our records indicates that the controlling operation of embankment construction was delayed by a labor
dispute on May 6-7, 1999. In accordance with Section 8-1.07 of the Standard specifications and your letter dated June
3, 1999, two days are granted

Example 3-8.5 Non-working Day Due to “Maintaining Traffic” and Suspension
CEM-2701 (REV. 2/2001)
REPORT NUMBER 13

07/02/99
Working Day
No Work
Nonworking
Date Day Weather, Weather Conditions or Other Conditions1 Working Day Done on
Day
Controlling
Operation 2
7/1/99 Thursday Clear - Suspension
7/2/99 Friday Clear - Traffic nonworking day 1
Days this week _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 3 1
CCO Days Approved
Time Extensions3
Numbers4 CCO Other
Days this report _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
Days previously reported _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 2 2
Total days to date _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ __ _ 2 2
Days
1. First working day_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ _ _ _ 528 4/6/99
2. Working days specified in contract_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ _ 140
6. Total Nonworking days to date6_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ 6
9. Revised working days for contract (line 2 + line 5) _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ _ 144
Paving Main Street connector.
REMARKS
st
Work was suspended on July 1 in accordance with Section 8-1.05, “Temporary Suspension of Work,” of the Standard
Specifications due to city holiday weekend preparations.
Section 10-1.14, “Maintaining Traffic,” of the special provisions prohibits work on Friday, Saturday, and Sunday when a
designated legal holiday falls on Monday’. See Section 8-1.06 of the Standard Specifications

Example 3-8.6 Type 2 Plant Establishment. Highway work not yet complete
CEM-2701 (REV. 2/2001)
REPORT NUMBER 83

3/5/99
Working Day
No Work
1 Nonworking
Day
Controlling
Operation 2
10/4/99 Monday Partly cloudy 1
10/5/99 Tuesday clear 1
10/8/99 Friday cloudy 1
Days this week _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 5 0 0
CCO Days Approved
Time Extensions3
Numbers4 CCO Other
Days this report _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
Days previously reported _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ #16, #21 14 2
Total days to date _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ __ _ 14 2
Days
1. First working day_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ 255 3/2/98
2. Working days specified in contract_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ 400
4. Days contract suspended to date_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
5. Total time extension days approved to date (CCO plus other) _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ 16
6. Total Nonworking days to date6_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ 16
9. Revised working days for contract (line 2 + line 5) _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ 416
CONTROLLING OPERATIONS (S) Striping and signs
REMARKS
Status of plant establishment and working days
1. Plant establishment period started 9/23/99
2. There are 250 plant establishment days in this contract 250
3. Working days previously credited 7
4. Working days credited this week 5
5. Total plant establishment days credited to date 12
6. Plant establishment days remaining 238

Example 3-8.7 Type 2 Plant Establishment. Non-plant establishment work completed

CEM-2701 (REV. 2/2001)
REPORT NUMBER 92

12/10/99
Working Day
No Work
1 Nonworking
Day
Controlling
Operation 2
12/7/99 Tuesday Partly cloudy 1
12/8/99 Wednesday Partly cloudy Relief of maint. For all non-P.E. work 1
12/9/99 Thursday Rain 1
12/10/99 Friday rain 1
Days this week _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 5
CCO Days Approved
Time Extensions3
Numbers4 CCO Other
Days this report _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
Days previously reported _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 16, 21 14 2
Total days to date _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ _ _ __ _ 14 2
Number of Numbered Day 5 Date
Days
1. First working day_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ _ _ _ 255 3/2/98
2. Working days specified in contract_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ _ _ 650
3. COMPUTED DATE FOR COMPLETION (line 1 + line 2 - 1) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 904 10/2//00
9. Revised working days for contract (line 2 + line 5) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ 666
Plant establishment
REMARKS
Relief of maintenance for all non-plant establishment work on 12/8/99. 21 calendar days overrun in contract time for
non-plant establishment work.
Status of plant establishment
1. 250 day Plant establishment period started 9/23/99
2. working days previously credited 49
3. working days credited this week 5
4. Total plant establishment days credited to date 54
5. Plant establishment days remaining 196

Example 3-8.8 Final Weekly Statement of Working Days

CEM-2701 (REV. 2/2001)
REPORT NUMBER 34

5/26/00
Working Day
No Work
1 Nonworking
Day
Controlling
Operation 2
5/17/00 Wednesday Clear - contract accepted 1
5/18/00 Thursday
5/19/00 Friday
Days this week _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 3
CCO Days Approved
Time Extensions3
Numbers4 CCO Other
Days this report _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
Total days to date _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ __ _ 18 2
Number of Numbered Day 5 Date
Days
1. First working day_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ 528 4/6/99
2. Working days specified in contract_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ 140
11. WORKING DAYS REMAINING (line 9 - line 10) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
Final clean up and punch list
REMARKS

Example 3-8.9 Contract in Overrun

CEM-2701 (REV. 2/2001)
REPORT NUMBER 80

02/12/99
Working Day
No Work
1 Nonworking
Day
Controlling
Operation 2
2/8/99 Monday Clear 1*
2/9/99 Tuesday Clear 1*
2/10/99 Wednesday Cloudy 1*
2/11/99 Thursday Rain 1*
2/12/99 Friday Holiday 1*
Days this week _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
CCO Days Approved
Time Extensions3
Numbers4 CCO Other
Days this report _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
Total days to date _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ __ _ 14
Days
2. Working days specified in contract_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _
9. Revised working days for contract (line 2 + line 5) _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ 314
11. WORKING DAYS REMAINING (line 9 - line 10) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
Functional tests
REMARKS
*WORKING and NON-WORKING Days are shown for record only since the contract time has elapsed. There is a total
of 9 calendar days overrun through February 12, 1999.

Example 3-8.10 Calendar Day Project
CEM-2701 (REV. 2/2001)
REPORT NUMBER 7

03/04/01
Working Day
No Work
1 Nonworking
Day
Controlling
Operation 2
2/27/01 Tuesday Suspended 1
2/28/01 Wednesday Cloudy 1
3/01/01 Thursday Rain 1
3/02/01 Friday Wet Grade, no work 1
3/03/01 Saturday Partly cloudy 1
3/04/01 Sunday Clear 1
Days this week _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 4 3
Total days to date _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ 40 14
CCO Days Approved
Time Extensions3
Numbers4 CCO Other
Days this report _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ #8 4
Total days to date _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ 7
Days
1. First working day_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ N/A 1/10/01
2. Working days specified in contract_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ 80
3. COMPUTED DATE FOR COMPLETION (line 1 + line 2 - 1) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ N/A 3/30/01
5. Total time extension days approved to date (CCO plus other) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ 7
6. Total Nonworking days to date6_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ 14
8. EXTENDED DATE FOR COMPLETION (line 3 + line 7) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ N/A 4/20/01
Earthwork
REMARKS
Contract Change Order #8 approved 3/02/01
Contract work suspended 2/27/01 because of anticipated heavy traffic due to the annual Snow Maiden Festival.

3-805B Progress of Work
After each progress estimate, update Form CEM-2601, “Construction Progress
Chart.” The Contract Administration System (CAS) uses the formula contained on
this form to determine progress. For a description of this process, see Section 5-1,
“Project Records and Reports,” of this manual.
The contractor’s progress is usually considered unsatisfactory when the contractor’s
progress curve falls below the curve of the contract progress chart or when successive
points on the contractor’s progress curve indicate the contractor’s progress rate will
soon fall below the curve.
Whenever the contractor fails to prosecute the work adequately, as evidenced by the
plot of actual progress and the resident engineer’s concurrence, the resident engineer
must notify the contractor of the apparent lack of progress. If the resident engineer
judges that the work on the original schedule will not be completed by the original
due date, the resident engineer must request the contractor to submit a revised schedule
showing how the balance of the work will be carried out.
Whenever the district believes the contractor’s bonding company should be notified
of unsatisfactory progress, advise the Division of Construction of the reasons
supporting such an action. If appropriate, the Division of Construction will initiate
the notification.
If the district believes the lack of progress on a contract justifies a meeting, request
the Division of Construction to arrange a conference to be attended by the contractor’s
representatives, the bonding company, and Caltrans. If appropriate, the Division of
Construction will arrange the conference. For more information, refer to “Termination
of Control” in this section.
3-806 3-806 Liquidated Damages

Liquidated Damages Section 8-1.07, “Liquidated Damages,” of the Standard Specifications covers various
items such as director’s days, time extensions, and shortage of materials. Liquidated
damages is defined in Section 1, “Definitions and Terms,” of the Standard
Specifications and is also referenced in Section 4, “Beginning of Work, Time of
Completion, and Liquidated Damages,” of the special provisions.
3-806A Overrun in Contract Time
If the “Extended Date for Completion” on the final “Weekly Statement of Working
Days” contains a date before the date of the contract’s completion, an apparent overrun
has occurred. Proceed as follows:
3-806A (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.
3-806A (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 contract change orders. Time extensions
resulting from contract change orders should have been resolved before the contract’s
completion in accordance with instructions covered elsewhere in this manual. For
those instances where extenuating circumstances result in unresolved time for contract
change orders after completion, complete all deferred-time contract 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.

3-806A (3) Case 3
The district intends to change the status of time from that shown on the final “Weekly
Statement of Working Days” as a result of “other day” time extensions still under
consideration on the date of the contract’s acceptance. Obtain concurrence for making
such changes from the Division of Construction. Report the recommended disposition
of each item of unresolved time in a form sufficiently clear and complete that no
interpretation or further explanation is needed. Upon receipt of the recommendations,
the Division of Construction will advise the district of what action to take.
Include a status of contract time in a form similar to the following:
Calendar Date Working Days or

Numbered Day
Date attorney general
approved contract 7-05-00 842
First working day 7-20-00 853
Working days specified
in contract 140
Computed date for
completion 2-13-01 993
Total time extensions,
contract change order,
final Form CEM-2701 5
Total time extensions,
other, final Form
CEM-2701 15
Nonworking days,
final Form CEM-2701 45
Additional contract
change order days
(if applicable) 14
Additional time
extensions recommended
(if applicable) 10
Extended date for
completion 6-20-01 982
Date contract completed 6-20-01 882
Remaining overrun 0
After the disposition of overruns has been determined, the district will advise the
contractor directly.
Place copies of all memoranda in the project files to serve 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.
3-806A (4) Case 4

When the final quantities of individual contract items have exceeded 125 percent of
the engineer’s estimate, not as a result of ordered changes, the district may recommend
the director’s 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 to be
controlling.
• Any time extension is applicable only to the excess above 125 percent of the
engineer’s 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.
Time extensions for reasons other than those specifically enumerated in the contract
are made at the discretion of the director and are to be deferred until completion of
the contract. When the director grants additional days at this stage, these days are
referred to as “director days.” Forward requests for director days to the Division of
Construction together with the district’s recommendation and reasons. The request
should contain sufficient information and justification to allow the construction field
coordinator to complete Form CEM-2702, “Overrun in Contract Time.” Director
days are approved by the Division of Construction chief. Do not record these director
days on the “Weekly Statement of Working Days.”
3-806B Shortage of Material
Section 8-1.07, “Liquidated Damages,” of the Standard Specifications strictly defines
and limits a shortage of materials for which a time extension may be granted. Before
a time extension may be granted, several determinations must be made:
• Determine whether a timely notice of delay exists.
The contractor’s notice of delay, whether a protest of a “Weekly Statement of
Working Days” or a separate letter, must be received no later than 15 days after
the material shortage first caused the work delay.
• Determine the effect on the controlling item of work.
If the delay does not affect the controlling item of work, advise the contractor
(in writing) accordingly. If the contractor requests to be allowed to substitute
the unavailable material with available material, the resident engineer must seek
assistance from those responsible for the design. Contract change orders are to
be processed as contractor-requested changes.
• Determine whether the materials, articles, parts, or equipment are standard items.
Standard items are produced to meet the specifications of industry-wide
organizations such 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 Caltran’s specifications refer
to these standards does not alter the item’s status.

Standard items include those that are listed in a catalog and are available for
immediate delivery and also 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 are the
following:
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 reinforcement—the 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 Caltran’s plans and specifications are not standard items.
Examples of materials that are usually not standard items include the following:
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, 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.
• Determine if a “physical shortage” exists.
The term “physical shortage” means the standard item or component of a standard
item is not available at the time it becomes a time-controlling factor. 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.

• Determine 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 contractor’s order was timely, request documented proof of efforts to obtain
material from those alternate sources normally supplying such materials to
projects in the area. Alternate sources include, when possible, production of an
item using the contractor’s 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 and in the letter to the district recommending the time extension.
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.
For information on approving a time extension because of a shortage of material,
see section 3-805A (2), “Time Extension,” of this manual. The time extension
days will generally be recorded as “other days.”
3-807 Termination of Control 3-807

Section 8-1.08, “Termination of Control,” of the Standard Specifications explains Termination of
the contractual requirements for terminating the contractor’s control. Sections 10253 Control
through 10260 of the Public Contract Code cover 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, or fails to make proper and
timely payments to subcontractors. 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. Normally, when Caltrans terminates the contractor’s control, the surety
(bonding company) assumes responsibility for completing the contract.
• Complete cessation of the work.
• The working 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.
With agreement from the construction engineer, the senior structure engineer (if
applicable), and the construction field coordinator, 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 8-1.08, “Termination of Control,” 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 contractor’s surety. Typically, Caltrans
allows five days to remedy either failure to supply an adequate work force or failure
to supply proper quality material. Typically, 15 days are allowed to remedy failure
to pay subcontractors.

If the contractor fails to promptly remedy the defaults outlined in the resident
engineer’s 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 following:
• 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 contractor’s representatives, its surety, the construction
field coordinator, and the district.
If terminating the contractor’s 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 five days to remedy the defaults or Caltrans will terminate the
contractor’s 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 five-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 five-day notice letter in
the most conspicuous place within the project limits. If the contractor does not remedy
the defaults within the five days, 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 construction field coordinator will notify the district of the effective
starting date of the notice and will transmit any further instructions deemed necessary.
All five-day notices and termination of control letters must include the following
language:
Your default may subject you to a review of your responsibility

to perform future work with Caltrans.
Once the contractor’s control has been terminated, the construction field coordinator
must notify the Division of Construction’s progress payment coordinator by
forwarding a copy of the termination letter. Using information from the termination
letter, the progress payment coordinator will update the termination database and
keep this information in the database for 36 months. The progress payment coordinator
will also send a written request to the resident engineer requesting copies of all
correspondence and daily report information related to the termination.
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.
The following two sections describe the process to complete the contract after the
contractor’s control has been terminated.

3-807A Work Completed by the Surety
As requested by the surety, the 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 hired by the surety. The hired
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 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 construction
field coordinator will review the agreement and forward it to the Legal Service
Center. Both the construction field coordinator and the Legal Service Center will
recommend approval. The Division of Construction chief approves either agreement.
During the interim between the termination of the contractor’s control of the work
and completion by other forces, the district must take all necessary steps to preserve
the 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 director’s order is necessary.
3-807B 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 contractor’s 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. During the interim between
the termination of the contractor’s control of the work and completion by other
forces, the district must take all necessary steps to preserve the 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 surety for its acceptance 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 the surety either 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 contractor’s 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 contract change order work required to
bring the original contractor’s 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
• Contract change orders
• All other pertinent information
When the surety does not complete the work, prepare a billing to present to the
original contractor and surety. The resident engineer must break down the billing
into the following five sections:

Subsection A—This 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 B—This subsection shows the amount that would have been paid for the
item work assuming the original contractor had not defaulted on the contract.
Subsection C—This 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 contractor’s departure and the arrival of the completion
contractor. (These costs are usually day labor costs, but may include costs incurred
by Caltrans’ maintenance forces.)

This section lists the contract 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 completed its
contract.

In Section 5, show the amounts determined in Sections 1, 2, 3, and 4 and add 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
3-807C
The resident engineer will send the detailed billing, as described above, to the Division
of Accounting Services, Abatements Section, with instructions to prepare the accounts
receivable bill and to mail it to the contractor. If the contractor is not available, it
should be mailed 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
Service Center 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 job’s file
reference.
3-808 Right of Way Delays 3-808

Section 8-1.09, “Right of Way Delays,” of the Standard Specifications, covers Right of Way Delays
provisions relating to right-of-way delays. The contract contains these provisions
from the Standard Specifications.
Resident engineers must monitor the progress of any work that may cause a right-
of-way delay. Initiate action to avoid or mitigate the effects of delays. Such actions
• Adequately perform all duties related to the engineer as covered in “Utility and
Non-Highway Facilities” below.
• Initiate requests to the district utility coordinator to modify agreements that would
allow the contractor’s forces to perform work under contract change order. Section
8-1.10, “Utility and Non-Highway Facilities,” of the Standard Specifications,
covers such work by the contractor.
• Initiate any changes in the order of work that would eliminate or mitigate a
right-of-way delay, provided that any cost involved would not exceed the
estimated cost resulting from a delay.
If a right-of-way 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 list’s accuracy.
• Estimate the cost of the delay using the method specified in Section 8-1.09,
“Right of Way Delays” 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, only pay 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.
3-809 3-809 Utility and Non-Highway Facilities

Utility and Non- 3-809A General
Highway Facilities An engineer must be assigned to coordinate and inspect utility relocation that is
being done to clear the right-of-way before construction. A resident engineer, once
formally assigned to a project, assumes primary responsibility for coordinating and
inspecting this kind of utility relocation. Either the resident engineer or an assigned
assistant resident engineer must make all contacts with utility facility owners to
schedule work and coordinate with the contractor’s operations. The district right of
way unit, acting through the district utility coordinator, is responsible for making
changes to “Notice to Owner” forms and to right-of-way agreements. The district
right of way unit must also make all decisions about financial liability between
Caltrans and owner for utility work. All change orders involving utility work must
be sent to the district utility coordinator for concurrence.
3-809B Duties of the Utility Relocation Resident Engineer
The utility relocation resident engineer must perform the following duties:
• Review all documents about utility relocation work, including the “Notice to
Owner,” encroachment permits, special provisions, contract plans, and
correspondence about utilities not shown on the plans.
• Check the location of proposed or existing utility installations for possible
conflicts with proposed construction.
• Determine whether Caltrans or utility forces must establish necessary lines and
grades. If Caltrans forces are responsible, 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.
• Submit to the district utility coordinator any changes or any notices of newly
discovered facilities. These changes or new discoveries should be entered on
the contract plans or in the special provisions whenever such entries can be
made before contract advertising. Notify the project resident engineer of any
such changes or new facilities that cannot be included in the contract.

• 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 the following items:
1. Special provision requirements
2. The contractor’s schedule as it affects relocation work, project safety, and
traffic control
3. Any potential problems
Keep records of such meetings, and confirm any decision 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
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 Engineer’s Daily Report”. When
inspection is full time, keep the records as complete as possible for the following:
1. Number of workers
2. Equipment description
3. Hours worked
4. Materials salvaged
• When inspection is part time, record as much detail as is consistent with observed
activity. At a later date, the district right of way unit will request these records to
verify the utility owner’s final bill.
• Keep the contractor advised of any utility work that will require a change in the
contractor’s operations. 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 extensions or other adjustments resulting from such delays.
See Section 3-805A (2), “Time Extensions (the Center Block),” of the
Construction Manual for procedures for time extensions.
• The contractor is required to notify the resident engineer in writing of any
discovery of any underground facility not indicated on the plans or in the special
provisions. In the absence of such written notification from the contractor, you
should document the location of the underground facility and include this
documentation in written confirmation with the contractor.
• Whenever the contractor has not received prior indication of an existing facility,
change orders, including the repair of any accidental damage, will be considered
for approval. However, Caltrans will not pay for the repair of any accidental
damage caused by negligence after the contractor was notified of the existence
of a utility facility.

• Whenever underground facilities are discovered that are not in the plans or the
special provisions, notify the district utility coordinator. The various parties
involved can then reach an agreement with the utility owner about satisfactory
protection before the Caltrans contractor begins any physical work. If the
contractor must protect the utility facility, prepare a change order to cover the
payment for such work. “Protection work,” as used in contract administration,
must include any work necessary to ensure the utility’s service, reliability, or
both, continue at approximately the same level as before any disturbance from
construction operations. 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, “protection work” will not
include facility repairs for damage resulting from negligent equipment operation
around properly protected facilities.
• Notify the district utility coordinator immediately of any utility facility that 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 contractor’s operations and time of completion. The district utility
coordinator must arrange any 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 the specifications require, take into
account the type of facility involved. Consider such things as the consequence
of a potential accident. When these 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 (either Caltrans’ or those from an owner) are accurate.
3-810 3-810 Termination of Contract

Termination of Section 8-1.11, “Termination of Contract,” of the Standard Specifications, specifies
Contract the contractual requirements for termination when the district director determines,
and the deputy director of Project Delivery approves, that it is in Caltrans’ best
interest not 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 contract change order and accept the contract, and provide
additional payment to the contractor, if necessary, in accordance with Section 9-
1.08, “Adjustment of Overhead,” of the Standard Specifications.
Termination of contracts is comparatively rare. Section 4412 of the Government
Code covers contracts terminated for convenience in the best interest of Caltrans.
The Division of Construction must ensure that all necessary steps are taken in handling
contracts terminated for Caltrans’ convenience. 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 job’s 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 the following information:
• 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 district’s 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, 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-
1.11, “Termination of Contract,” of the Standard Specifications. An audit of the
contractor’s cost records is normally required to resolve compensation issues. After
contract acceptance, payments can be made in accordance with Section 9-1.07B,
“Final Payment and Claims,” of the Standard Specifications.

Section 9 Measurement and Payment
3-901 General
3-902 Payment Methods
3-903 Measurement and Payment of Contract Item Quantities

3-903A Method of Measurement
3-903B Accuracy
3-903C Source Documents
3-903D Audit Trail
3-903E Weighing and Metering Procedures
3-903E (1) Personnel
3-903E (2) Responsibilities
3-903E (2a) Resident Engineers
3-903E (2b) District Weights And Measures Coordinator
3-903E (2c) Assistant Resident Engineers
3-903E (2d) Contractors
3-903E (2e) Division of Construction Weights and Measures Coordinator
3-903F Adjustments in Compensation
3-903G Final Pay Items
3-904 Payment for Extra Work

3-904A Agreed Price
3-904B Force Account
3-904B (1) Authorization for Force Account Payment
3-904B (2) Approval of Labor, Equipment, and Material
3-904B (3) Billing for Extra Work at Force Account
3-904B (4) Labor
3-904B (5) Equipment
3-904B (6) Material
3-904B (7) Work Performed by Special Forces
3-904C Five Percent Markup for Subcontracted Work
3-904D Extra Work Records
3-904E Force Account Records
3-904F Tentative Agreements
3-904G Interest on Payments

Measurement and Payment 3-9.i
3-905 Adjustment of Overhead Costs
3-906 Stop Notice
3-907 Partial Payments

Example of source document
3-907A Contract Items
3-907B Adjustments in Compensation
3-907C Extra Work
3-907D Materials on Hand
3-907D (1) Materials at the Project
3-907D (2) Materials Not at the Project
3-908 Deductions
3-909 Retentions
3-909A Calculating Progress - Projects with Single Time
3-909B Calculating Progress for Landscape Projects
3-910 Payment After Acceptance

3-910A Negative Estimates
3-910B Payment Offset
3-911 Payment of a Progress Estimate After Contract Acceptance
3-912 Proposed Final Estimate
3-913 Semifinal Estimate
3-914 Final Estimate

3-914A Material to Submit
Example 1: Form letter to Use When Submitting Proposed Final Estimate to the Contractor
Example 2: Acceptance Statement Form
Example 3: Sample of the Proposed final Estimate
Example 4: Sample of Project Record Estimate, Summary of Payment
Example 5: Schedule B - Extra Work and Adjustment of Compensation
Example 6: Schedule of Extra Work
Example 7: Schedule of Deductions
Example 8: Sample Notice of Opportunity for Offset Hearing

3-9.ii Measurement and Payment
Section 9
Section 9 Measurement and Payment Measurement and
Payment
3-901 General 3-901
This section covers measurement and payment of contract item work and extra work, General
partial payments, and payment to the contractor after contract acceptance.
3-902 Payment Methods 3-902

The specifications for Caltrans contracts provide the following methods to make the Payment Methods
ultimate total payment for all work performed:
• Payment for contract items at contract unit prices
• Adjustments to contract prices (known as adjustments in compensation)
• Payment for extra work at agreed unit prices, force account, or lump sum
• Deductions from monies due under the contract
3-903 Measurement and Payment of Contract Item Quantities 3-903

Contract work, as bid on by the contractor, is measured and paid for as contract Measurement and
items. Contract items are measured for payment as units. The unit for each contract Payment of Contract
item is shown in the engineer’s estimate as “unit of measure.” Contract items may Item Quantities
be measured by units of count, length, area, volume, weight, or lump sum. The
engineer’s estimate also includes the estimated quantity of each contract item.
Resident engineers and assistant resident engineers must determine, by measurement
and calculation, the quantities of the various contract items actually performed by
the contractor.
3-903A Method of Measurement
Check the “measurement” or “measurement and payment” clauses in the
specifications for the required method of measurement for each contract item. Use
the specified method to measure quantities. For more information about measuring
quantities for specific contract items, see Chapter 4, “Construction Details,” of the
Construction Manual (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
3-903B Accuracy
Measure and calculate contract item quantities to a degree of accuracy consistent
with the contract 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.

Measurement and Payment 3-9.1
3-903C Source Documents
Enter measurements and calculations for contract item quantities on permanent record
sheets that are commonly referred to as “source documents.” Include on each source
document the appropriate contract 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
contract item quantities as the work on a contract 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, see Section 5-1, “Project Records
and reports,” of this manual.
3-903D 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 contract item.
Consider organizing source documents for each contract item so an easily followed
audit trail exists. Category 47, “Drainage Structures,” 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 contract items.
Category 48, “Contract Item Quantity Documents,” in the same manual section,
describes the numbering system to be used for source documents for other contract
items.
3-903E Weighing and Metering Procedures
The following describes the duties and responsibilities of the people involved in
weighing and metering materials and the procedures for ensuring accurate measuring
and metering:
3-903E (1) Personnel

The process of determining contract item quantities by weighing and metering
includes the following personnel:
• The resident engineer
• 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 metering process:
• County sealers of weighing and measuring devices
• Representatives of the Division of Measurement Standards

3-9.2 Measurement and Payment
• Private scale technicians performing California Test 109, “Test for Weighing
and Measuring Devices”
3-903E (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 metering:
3-903E (2a) Resident Engineers
The resident engineers 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 metering
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 that proper
weighing procedures be used. In the daily report, record the reasons for not
using load slips.
3-903E (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, “Test
for Weighing and Measuring Devices.” For California Test 109 procedures,
see Section 3-12, “Accuracy and Suitability of Scales and Meters (Materials-
Producing Plants),” of the Independent Assurance Manual.
• 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.
• 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 metering devices and procedures in
the district, and furnish written reports to the resident engineer.

• Determine whether any weighing or metering problems should involve the
Division of Measurement Standards. Request any such involvement through
the Division of Construction weights and measures coordinator.
3-903E (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 also 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
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

contractor’s foreman or superintendent of the amount and reason for the reduction.
In the daily report, note the reduction and the name of the contractor’s employee
who you advised of the reduction.
3-903E (2d) Contractors
The following describes some of the duties and responsibilities of contractors
and their agents in using scales and metering devices for measuring and
proportioning materials:
• The contractor and materials suppliers must maintain scales and meters within
the accuracy required by the 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
contractor’s request in a reasonable time, the contractor should contact
the Division of Measurement 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.
3-903E (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 Division of Measurement Standards.
• Keeps the district weights and measures coordinators informed of the latest
equipment and techniques being developed throughout the industry.

3-903F Adjustments in Compensation
An adjustment in compensation is a monetary increase or decrease applied to the
contract price of a contract item. The adjustment is a change to the contract and
must be made by contract change order. Adjustments in compensation are either
unit adjustments to the unit price of a contract item or they may be a lump sum
increase or decrease applied to a contract item.
Section 4-1.03B, “Increased or Decreased Quantities,” Section 4-1.03C, “Changes
in Character of Work,” and Section 9-1.08, “Adjustment of Overhead Costs,” of the
Standard Specifications, provide for adjustments in compensation. The special
provisions may also provide for adjustments in compensation. One example is the
special provision section titled “Compensation Adjustments for Price Index
Fluctuations.”
For more discussion about determining adjustments in compensation, see Section 3-
4, “Scope of Work,” and Section 5-3, “Contract Change Orders,” of this manual.
3-903G Final Pay Items
Section 9-1.015, “Final Pay Items,” of the Standard Specifications, defines and
specifies the procedure for calculating pay quantities for final pay items.
3-904 3-904 Payment for Extra Work

Payment for Extra For a definition and discussion about extra work, see Section 3-4, “Scope of Work,”
Work of this manual. Before payment can be made for extra work, the resident engineer
must issue an approved contract change order. Section 5-3, “Contract Change Orders,”
of this manual, includes a discussion and examples of contract change orders
providing for extra work. This section also discusses the two methods specified for
paying for extra work: agreed price and force account.
3-904A Agreed Price
See Section 5-306C (2a), “Extra Work at Agreed Prices,” in this manual, for guidelines
for determining agreed prices and writing contract change orders that authorize agreed
price payment.
The resident engineer may prepare Form CEM-4902, “Extra Work Bill (Short Form),”
to make payments for extra work at the agreed price. The contractor’s signature on
the extra work bill is not required. For information on preparing extra work bills and
entering data into the automated progress pay system, see Section 5-1, “Project
Records and Reports,” of this manual.
3-904B 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 9-1.03, “Force Account Payment,” of the Standard Specifications specifies
the force account method of payment. Section 5-3, “Contract Change Orders,” of
this manual contains examples of contract change orders with payment for extra
work at force account. The following are the procedures for paying for extra work at
force account:
3-904B (1) Authorization for Force Account Payment
On the authorizing contract change order, always show the amount to be paid for extra
work at force account as an estimated amount. For the format for contract change orders,
see Section 5-3, ”Contract 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 contract change order.
3-904B (2) Approval of Labor, Equipment, and Material
Section 9-1.03, “Force Account Payment,” of the Standard Specifications states that
labor, equipment, and materials used in the performance of extra work paid for on a
force account basis are subject to the approval of the resident engineer. Normally
the contractor will use labor and equipment that is on the site and used for work in
progress. The contract 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.
3-904B (3) Billing for Extra Work at Force Account
The following are the procedures for billing for extra work at force account:
• The contractor must submit Form CEM-4902, “Extra Work Bill (Short Form),”
covering extra work under each contract change order each day that extra work
is performed. The resident engineer must ensure that the contractor has a supply
of the forms. See Section 5-103E, “Preparing Form CEM-4902, Daily Extra
Work Report,” of this manual for detailed instructions for the use of Form CEM-
4902.
• Field construction personnel must do the following when reviewing extra work
bills:
1. Compare extra work bills against daily extra work reports and tentative
agreements, if they are used. Make this comparison to verify the correctness
of the contractor’s billing, and to avoid the possibility of a duplicate payment
for the same work. For a discussion of daily extra work reports and tentative
agreements, see Section 3-904D, “Extra Work Records” and Section 3-904F,
“Tentative Agreements,” later in this section.
2. The contractor must include everything to be paid for on the extra work bill.
Do not add any items even though you know them to be legitimate charges.
Instead, call the omission to the contractor’s attention. The contractor may
submit a supplemental extra work 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. Return any
extra work bill with incorrect wage rates to the contractor. 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 return the
reports to the contractor for correction. 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 an extra work bill must sign (not initial) and date the correction.
8. Maintain a log of extra work bills received and returned to the contractor.

The resident engineer must sign the extra work bill to authorize payment for extra
work. The resident engineer’s signature accepting an extra work bill for progress
payment certifies that payment is in accordance with contract requirements and
established administrative procedures.
3-904B (4) Labor

When work is paid for on a force account basis, Section 9-1.03A, ”Work Performed
by Contractor,” of the Standard Specifications, specifies that a 33 percent markup is
to be applied to the cost of labor.
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 extra work 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 superintendent’s 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 contract item work.
When seven-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 contract item work in
the same day, prorate subsistence payments and travel allowances between the
contractor and Caltrans. Base the prorated amount on the first eight hours worked.
Do not pay per diem for time worked after the first eight hours in any one day.

3-904B (5) Equipment
For the specifications for paying for equipment used for extra work paid for on a
force account basis, see Section 9-1.03A(3), “Equipment Rental’” of the Standard
Specifications. The following are guidelines for paying for equipment rental:
3-904B (5a)Approval of Equipment
The resident engineer must approve equipment for use on force account work.
Before giving approval, determine whether available and suitable equipment is
already at the job site or whether equipment not presently at 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 whether it will
be economical to use the oversized equipment at its rate or to obtain equipment
of the proper size. Obtaining equipment from off-site necessitates payment for
move-in and move-out expenses and for minimum rental periods. See Section
9-1.03A(3b), “Equipment not on the Work,” of the Standard Specifications.
The determination may also be based on other factors, such as public safety and
the urgency of the work.
Apply these considerations to equipment at the job site when the equipment has
accessories or attachments that are not necessary for the extra work. Payment
for such equipment is to be made in accordance with the conditions under which
it is approved. Pay for equipment as approved by the reisdent engineer, and not
necessarily as it is equipped. For short or intermittent periods of use, such as
eight hours or less, normally approve equipment with unneeded attachments or
accessories and pay for them. For longer operations, allow the contractor the
option of furnishing equipment with needed accessories only or of accepting
payment without compensation for unnecessary attachments or accessories.
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.
3-904B (5b) Equipment Rental Rates
The Labor Surcharge and Equipment Rental Rates (Cost of Equipment
Ownership) book contains rates for most of the equipment used on Caltrans
projects. However, the Division of Construction has also established rates for
some equipment that is not in the Labor Surcharge and Equipment Rental Rates
book. These rates are available on the Caltrans Division of Construction web
site. To establish rates that are not listed in the Labor Surcharge and Equipment
Rental Rates (Cost of Equipment Ownership) book or on the web site, use the
following procedure:
• 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 rental 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 work, 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
9-1.03A(3b), “Equipment not on the Work,” of the Standard Specifications.
The higher rate will constitute a change to the contract and must be established
by a contract 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 9-1.03A(3b),
“Equipment not on the Work,” 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 contract change order that provides for the proposed rate. State
in the contract change order whether or not the table titled “Hours
Equipment is in Operation” is applicable. The table appears in Section
9-1.03A(3b), “Equipment not on the Work,” of the Standard
Specifications. If the equipment is used for contract item work, use the
normally established rental rates for the entire time the equipment is
used for extra work. Include in the contract change order a clause similar
to the following: “In the event this equipment is subsequently used on
contract item work, this rate is void.”
4. Include justification for approval in the contract change order
memorandum, and attach the contractor’s 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.
3-904B (5c) Equipment Not on the Work
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 at the site that must be brought in especially for the extra
work. The resident engineer must make decisions regarding the type of equipment
and scheduling its use. Section 9-1.03A(3b), “Equipment not on the Work,” of
the Standard specifications, specifies the requirements for paying for the use of
such equipment. This specification does not apply when the contractor uses
equipment for any contract item work. Change any previous payment as
“equipment not on the work” to payment as “equipment on the work” when
such equipment is used for contract 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 contractor’s
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.
3-904B (5d) Owner-Operated Equipment
Section 9-1.03A(3c), “Owner-Operated Equipment,” of the Standard
Specifications, specifies the method for paying for owner-operated equipment,
except dump trucks, on a force account basis. Determine the operator’s hourly
rate of pay in accordance with Section 9-1.03A(3c). To determine the correct
rate, request assistance, if necessary, from the district labor compliance officer.
3-904B (5e)Dump Truck Rental
Section 9-1.03A(3d), “Dump Truck Rental,” of the Standard Specifications,
specifies the method for paying for dump truck rental on a force account basis.
Section 9-1.03A(3d) covers both renting owner-operated dump trucks and renting
dump trucks from a truck broker.
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 to 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.
3-904B (5f) Time in Operation
Field engineers must determine the rental time to pay for equipment in accordance
with Section 9-1.03A(3a), “Equipment on the Work,” of the Standard
Specifications.
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 at the site for eight hours on a force account operation.
It is actually used for only a few periods during the eight 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 contract item work
intermittently, prorate the eight hours between the extra work and the item
work.
• An air compressor is at the site for eight hours. It is used for the first two
hours, but after those hours, it is no longer needed. Pay the rental for only
two 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 two hours and a tamper intermittently for two
hours, pay two hours for each tool. If the pavement breaker is needed for the
first hour and the tamper for a second hour, pay one 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 approve (but not order) the use of only one operator for both
pieces of equipment. Determine the 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 foreman’s pickup
truck that you would pay for the foreman.
3-904B (5g) Standby Time
Pay standby charges for commercial delivery at the invoice rate.
3-904B (6) Material

Payment for material purchased for force account work must be supported by a copy
of the vendor’s invoice whenever possible. If no individual invoice is available, as
in the case of materials taken from contractor’s 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 extra work bill. In the statement, explain how the
unit prices were verified. Any invoice the contractor submits must represent the
material actually used.

3-904B (7) Work Performed by Special Forces
Section 9-1.03B, “Work Performed by Special Forces or Other Special Services,”
of the Standard Specifications, allows specialist billing for extra work paid for on a
force account basis. Districts must establish procedures to pre-approve specialist
billing. Specialist billing must not be used to circumvent competitive bidding or the
normal force account method for determining payment. In general, specialists are to
be used only for minor portions of the work. Any major work is to be covered under
a change order specifying the method of payment.
Do the following when considering the use of specialists:
• Before work begins, decide whether the work is normally done by any of the
contractor’s forces. The contractor’s forces include any firms or organizations
performing contract 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 subcontractor’s organization. If you decide
that the contractor’s forces can perform the work expediently, require billings in
accordance with Section 9-1.03A, “Work Performed by Contractor,” of the
Standard Specifications, or negotiate an agreed price to establish a payment
basis.
• Allow the contractor to hire a specialist only if an established firm with established
rates would do the work.
• Decide whether force account work requiring a fabricating or machining process
off the project should be billed as specialist work. Such work may qualify as
specialist work even though a project contractor or subcontractor performs the
work.
• Pay for the transportation of fabricated or manufactured items and all work at
the job site in accordance with Section 9-1.03A.
3-904C Five Percent Markup for Subcontracted Work
Section 9-1.03A, includes an extra work markup of 5 percent for the prime contractor
when a subcontractor performs the work.
When an engineer’s cost analysis is based on force account, using rates as specified
in the contract, include a 5 percent markup within the calculation of the work
performed by a subcontractor in the following situations:
• Extra work at the agreed price in accordance with Section 4-1.03D, “Extra Work,”
of the Standard Specifications.
• Work performed before item elimination in accordance with Section 4-1.03B(3),
“Eliminated Items,” of the Standard Specifications.
• Contract item adjustment due to increased or decreased quantities in accordance
with Section 4-1.03B(1), “Increases of More Than 25 percent,” and Section 4-
1.03B(2), “Decreases of More Than 25 Percent,” of the Standard Specifications.
• Change in character adjustment in accordance with Section 4-1.03C, “Changes
in Character of Work,” of the Standard Specifications.
3-904D Extra Work 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 contract 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.
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.
3-904E Force Account Records
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. The daily report must also contain a reference to
any known off-site work.
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:
6/26/00-10:15 a.m.-CCO No. 17-Placing Riprap Lt. of Sta. 500.

Crew of two laborers and foreman with a D-6 crawler tractor with sideboom
and operator laid about 50 sq. m of salvaged rubble riprap. Estimate crew
and tractor worked about 4 hours.
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:
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.)
3-904F Tentative Agreements

Do not give copies of daily reports to the contractor’s personnel. Do not permit the
contractor’s personnel to sign or initial daily reports. However, at the earliest possible

time, reach tentative agreement on extra work details. With the contractor’s foreman,
discuss labor, equipment, and materials at the end of each day or no later than the
morning following the day 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 contract 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.
3-904G Interest on Payments
The specifications provide for interest to be paid on late progress payments, payments
after acceptance, extra work payments, and claim payments.
Keep a log of the dates when extra work bills are received, returned for correction,
and resubmitted. In a timely manner, process all extra work bills, and fully document
reasons for returning or not paying extra work bills.
Make any necessary interest payments by contract change order as adjustment in
compensation at lump sum.
3-905 Adjustment of Overhead Costs 3-905

Section 9-1.08, “Adjustment of Overhead Costs,” of the Standard Specifications, Adjustment of
provides for an adjustment in compensation. Make the adjustment when the final Overhead Costs
estimate is less than 90 percent of the original total bid price. Prepare a contract
change order to be unilaterally approved in the district. Make the payment for the
adjustment in the same manner as for any other adjustment in compensation.
The following is an example of a calculation to determine an overhead adjustment:
Example:
Contractor’s original bid (including mobilization) $100,000

Ninety percent of Contractor’s 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 $ 500
(10 percent of difference)
3-906 Stop Notice 3-906

Refer to the Division of Accounting Services Disbursing Office all inquiries regarding Stop Notice
bills for labor, material, or equipment rental not paid by Caltrans’ contractor. Detailed
information for payments and stop notice contacts can be found on the Division of
Accounting Services “Contractor Payments and Information” web page at
http://www.dot.ca.gov/hq/asc/oap/payments/

3-907 3-907 Partial Payments
Partial Payments Section 9-1.06, “Partial 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 force account
work, for which timely submittal of extra work bills has been made, and include
other extra work or adjustment of compensation billings for which work has been
performed. Billings for extra work at agreed price and adjustments of compensation
are completed by the resident engineer by filling out Form CEM 4902, “Extra Work
Bill (Short Form),” and submitting them for processing.
Resident engineers must transmit to the district construction office the documents
and information required to prepare progress payment vouchers. The last 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 Services.
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. 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. See Section 3-903C, “Source Documents,” for a
discussion of source documents. An example of a source document (quantity
calculation sheet) is shownon the next page.

STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION
QUANTITY CALCULATIONS
CEM-4801 (REV 11/1992) CT# 7541-3520-0 SHEET OF
JOB STAMP ITEM FILE NO.

8 Temp. Railing (Type K) 48-8-2
LOCATION SEGREGATION
07-1381U4 Ramp 3
YES
NO
07-LA-210-47.5/57.3 CALC. BY DATE
Fed. No.: None I.M. Engineer

CHK. BY DATE
U.R. Wright
Field Measurement: Estimated Quantity: 450

Field Counted: Unit of Measure: meter
Final Pay Item: Unit Price: $20.00
75%= 337.5
125%= 562.5
Remarks or Other Calculations:
152.4 meters placed on 5-03-01 at Maple St. onramp
Material Inspection/Release: Certificates of compliance obtained on 4-29-01.
PAY THIS ESTIMATE: 152.4____
PREVIOUSLY PAID: 140.2____
TOTAL TO DATE: 292.6____
POSTED BY DATE POSTED TO

Office Engineer 05/19/01 CEM-6004, page 4, line 5
CEM4801

The quantity shown on the estimate for a contract item must agree with the sum of
the quantities on all of the source documents to date for that item.
The resident engineer is responsible for the accuracy of a progress pay estimate. By
approval, the resident engineer verifies correctness of the quantities and that the
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.
See Section 5-103, “The Contract Administration System (CAS),” of this manual
for technical details on the production of estimates.
3-907A Contract Items
Include all contract item work that is completed satisfactorily in accordance with the
contract in partial payments.
Do not include for partial payment preparatory or organizational work such as
assembling equipment, shop work, falsework, forming, or crushing or stockpiling
of aggregate (unless provided for in the special provisions). Do not pay for material
placed or installed for which 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) has not been obtained.
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 quantity’s determination.
Reference to intermediate source documents items bid on a unit basis with a fixed
final pay quantity, such as Structure Concrete (bridge) 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 withheld amount on a force
account analysis of the remaining incidental work.
The following examples are listed to illustrate the procedure:
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 contract 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
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. Structure Concrete (Final Pay Quantity)
Base payment on the estimated proportionate number of units of the final
pay quantity, which are in place. When structure concrete has been placed
but items such as removing forms and falsework, curing, finishing, and other
similar items have not been completed, withhold a number of units sufficient
to cover the cost of this work.
9. Bar Reinforcing Steel
Pay for bar reinforcing steel that is complete 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. See
the Bridge Construction Records and Procedures Manual for additional instructions.
For lump sum items, pay a percentage of the lump sum bid price as work progresses
toward completion. 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 may be used for this calculation. However, the resident
engineer should be aware that such a simplified method might not actually reflect
the value of the work 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 7-1.16, “Contractor’s Responsibility
for the Work and Materials,” of the Standard Specifications.
Do not pay for item work added by change order until the change order is approved.
However, payment for contract item overruns that are not the result of a change in
the contract may be included in the monthly estimate.
3-907B Adjustments in Compensation
Do not pay for adjustments in compensation until change orders authorizing the
adjustments have been approved.
If you anticipate that adjustments in compensation in accordance with Sections 4-
1.03B, “Increased or Decreased Quantities,” or Section 4-1.03C, “Changes in
Character of Work,” of the Standard Specifications will result in decreases in final
payment, withhold an amount sufficient to cover the value of the decrease.
3-907C Extra Work
Do not pay for extra work until the contract change order is approved.
3-907D 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 a properly completed Form
CEM-5101 in duplicate. 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 it to determine 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 contractor’s 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.” The 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. Structural Steel. Structural steel that is used in steel structures as described
in Section 55, “Structural Steel,” 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 jobsite) is 100 percent complete.
After shop fabrication is complete, the estimated fabricated value may be
paid, subject to other specified restrictions and administrative guidelines.

2. Sign Structures. Structural steel that is 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:
3-907D (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 contractor’s 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.
3-907D (2) Materials Not at the Project

For materials not delivered to the jobsite, 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:
• 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 notify the appropriate inspection
office or offices immediately. The METS representative will notify the resident
engineer directly by use of Form TL-0649, “Inspector’s 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.
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 CEM-5101 and the above verification, the resident engineer
can approve the partial payment. The contractor must submit a new 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.
3-908 3-908 Deductions

Deductions Deductions (as opposed to retentions) are those amounts held back for specific
purposes. The resident engineer must identify, initiate, and control all 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, the Contract Administrative System (CAS) will carry deductions
forward from the previous month.
Whenever the contractor’s 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 retention for unsatisfactory
progress. To prevent the retention, check “Override Unsatisfactory Progress” on the
CEM-6001. Enter the amount and description of deductions on Form CEM-6001,
“Project Record-Estimate Request.”
3-909 3-909 Retentions

Retentions Retentions are made in accordance with the terms of the contract. The Contract
Administrative System (CAS) will calculate and make the retention, including any
retention for unsatisfactory progress, without any specific action by construction
personnel. On any estimate that shows satisfactory progress, the system will release
all retentions previously made for unsatisfactory progress.
Occasionally a contract will contain a nonstandard format for contract time or other
circumstance resulting in satisfactory progress even though it is mathematically
unsatisfactory. When this situation occurs, the resident engineer must waive the
retention for unsatisfactory progress and document the reason for doing so. To waive
the retention, check “Override Unsatisfactory Progress” on Form CEM-6001, “Project
Record-Estimate Request.”
In general, the retention 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 below.

If the contractor requests a reduction of retention after 95 percent of the work has
been completed, forward the written request to the disbursing officer in the Division
of Accounting. CAS will reduce the retention when all the requirements specified in
Section 9-1.06, “Partial Payments,” of the Standard Specifications, have been met.
3-909A Calculating Progress - Projects with Single Time
Satisfactory or unsatisfactory progress is usually the determining factor for retentions.
On projects without any federal funding, such progress is determined by comparing
the contractor’s 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. For contracts with federal
funding, the calculation of both the percent of work complete and the percent of
time elapsed is defined in the special provisions.
The percent of work completed (except on landscape projects with Type 1 plant
establishment) is determined by dividing the amount on the line entitled “Total Work
Completed” on the “Project Record Estimate” by the “Authorized Final Cost” on
the “Project Status.” CAS calculates this percentage (except on projects with Type 1
plant establishment).
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 (contract
change order plus other),” on Form CEM- 2701, “Weekly Statement of Working
Days.”
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 in the preceding paragraph. 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-
6001, “Project Record-Estimate Request.” CAS will calculate satisfactory or
unsatisfactory progress based on this figure.
3-909B Calculating Progress for Landscape Projects
See Section 20-4.08, “Plant Establishment Work,” of the Standard Specification,
and Section 4-2003C (8), “Plant Establishment Work,” of the Construction Manual,
for specifications and administrative guidelines for plant establishment time
requirements. 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 prior to the
start of plant establishment.
Determine the percent of work completed by dividing the value of work accomplished
by the authorized contract amount minus the authorized plant establishment work.
% Complete = $ Value Completed Work
($ 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 time extension days approved to date (contract change order plus
other)” 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)
On projects without federal funding, compare these two percentages to the curve on
Form CEM-2601, “Construction Progress Chart.” On projects with federal funding,
compare these two percentages to the requirements specified in the special provisions.
If progress is satisfactory, check the “Override Unsatisfactory Progress” on Form
CEM-6001, “Project Record-Estimate Request.”
After the start of Type 1 plant establishment, the resident engineer will decide if the
progress is satisfactory. In general, consider progress considered 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.
3-910 3-910 Payment After Acceptance

Payment After Caltrans makes final payment as soon as possible after the contract is accepted and
Acceptance the 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.” Section 5-4, “Disputes,” of the
Construction Manual lists the timeline for completing payment steps after the
acceptance process.
3-910A Negative Estimates
Negative estimates reflect an overpayment made to the contractor, and should be
avoided whenever possible. To reduce the processing time associated with negative
estimates; contact the Division of Construction’s progress pay coordinator to begin
the process of generating a negative estimate.
The resident engineer is responsible for the accuracy of all payment estimates,
including progress payment, after acceptance, semifinal, and final estimates. Verify
the correctness of the contract item quantities and ensure the data submitted conforms
to Caltrans policies. The district progress pay coordinator should hold the negative
payment estimate for processing until approved by the deputy district director of
construction, or delegate, and the Division of Construction field coordinator. The
Division of Construction field coordinator discusses and resolves negative payment
estimates with district construction to determine the best course of action. The Division
of Construction progress pay coordinator processes only those negative estimates
approved by the Division of Construction field coordinator.

When a negative payment estimate is approved for processing, the Division of
Accounting creates an accounts receivable and directly bills the contractor for the
amount due. The Division of Accounting provides a monthly listing of all pending
accounts receivable and their status to the progress pay coordinators and expects
that further action is taken as directed by district construction and the Division of
Construction. Accounts receivable debts are automatically sent to collections after
90 calendar days. A collection fee is charged to the district’s capital outlay support
in either a phase 3 project expenditure authorization (EA), or an overhead EA. If the
bill is not collectable, the nonrecoverable debt is charged against the district’s capital
funding allocation (phase 4) EA. If, for any reason, you believe that the accounts
receivable should not go to collections, notify the district progress pay coordinator
and the Division of Construction’s progress pay coordinator. Once notified, the
Division of Construction’s progress pay coordinator, with the Division of
Construction field coordinator’s concurrence, will notify the Division of Accounting
to hold the accounts receivable from going to collections.
Section 3-910B, “Payment Offset,” describes another method available to the resident
engineer and the Division of Accounting to resolve overpayment to the contractor.
3-910B Payment Offset
A payment offset is a levy against future monies due to the contractor on other
contracts Caltrans has awarded to the contractor. Offsets may be taken to retain
adequate funds for stop notices, labor compliance violations, claim settlements, and
determinations made by an arbitrator. The offset process is outlined in the flowchart
on the following page, and should be completed within 90 calendar days of contract
acceptance.
Send a “Notice of Opportunity for Offset Hearing” pursuant to Government Code
Section 12419.5 (see Example 8) to the contractor, offset resident engineer, bonding
company, and offset bonding company. The contractor has 20 calendar days to inform
the resident engineer that an offset hearing was requested. If an offset hearing is
requested, the hearing officer should conduct the offset hearing within 10 calendar
days of receipt of the request. The hearing officer should examine the facts of the
specific case, and validate the offset process. The hearing officer is the district director
or designee. The designee must be at least a supervising transportation engineer or
career executive appointment one manager. A summary of the facts of the account
receivable, minutes of the offset hearing, and final determination report are prepared
by the resident engineer. Notify the contractor, offset resident engineer, and bonding
companies of the final determination of the hearing, including the date and amount
of the offset. If the hearing officer determines the offset is warranted, or if the
contractor does not request a hearing, request that the Division of Construction execute
an offset. If the hearing officer determines that offset is not warranted, process a
progress payment to clear the accounts receivable in the Construction Administration
System. In the case of an arbitration settlement, the Division of Construction will
recommend the district execute an offset. The Division of Accounting executes only
those offsets authorized by the Division of Construction.

A payment offset may affect not only the contractor, but also multiple resident
engineers, districts, and bonding companies.When choosing a contract to offset
against, the following criteria, in preferential order should be considered:
1. Active contract with adequate retention to cover the offset.
2. Both contracts are bonded by the same bonding company.
3. Both contracts are administrated by the same resident engineer in the same
district.
The bonding companies from both contracts and the contractor are given the
opportunity to request an offset hearing. Any legal arguments presented by the
contractor or its bonding companies should be referred to the Legal Division for
review and advice to the hearing officer
During the offset hearing, the contractor should provide convincing factual evidence
to refute the account receivable. The hearing officer should consider the size of the
offset, progress of the work, percent complete and financial health of the contractor.
When justified by evidence of financial hardship, contractor proposed repayment
plans to clear the account receivable may be coordinated with the Division of
Accounting. The status of claims and disputes should not have an influence on the
decision to execute an offset.

Offset Process Flowchart
Progress/Final overpayment with

insufficient funds to cover
overpayment to contractor
(Construction)
Accounts Receivable
Headquarters Initiated Accounts Accounts Receivable
Receivable due to arbitration or General ledger entry
General ledger entry
(Accounting)
claims settlement (Accounting)
(Construction)
Bill contractor
30-60-90 Billday
contractor
notice
cc: HQ30-60-90 day notice
Construction &
cc: HQ Construction
resident engineer &
resident engineer
(Accounting) Monthly accounts
(Accounting) Monthly
receivable accounts
summary to
receivable summary to
HQ Construction
Resident Engineer (Accounting)
HQ Construction
sends notice of offset (Accounting)
to contractor and
bonding companies
(Construction)
Contractor or either
bonding company
requests offset hearing
(Construction)
No Yes
Resident Engineer
AdvisesDivision of Hearing Officer
conducts an offset
Construction of
declination of hearing hearing within 10 days
(Construction) (Construction)
Division of Construction Hearing

authorizes accounting officer concludes
to execute the offset Yes offset is justified
and notifies offset (Construction)
resident engineer
(Construction)
No
Execute progress/final
Accounting executes payment to contractor
Accounting
offsetexecutes notify accounting
(Accounting)
offset (Construction)
(Accounting)
Account receivable is
Accountcleared
receivable is
(Accounting)
cleared
(Accounting)
California Department of Transportation • Construction Manual •August 2003

3-911 3-911 Payment of a Progress Estimate After Contract Acceptance
Payment of a A progress payment after acceptance must adhere to Section 9-1.07A, “Payment
Progress Estimate Prior to Proposed Final Estimate,” of the Standard Specifications. The purpose of
After Contract this type of progress payment is to release all money due the contractor that exceeds
any amounts retained under the contract. When determining amounts to be paid or
Acceptance deducted for this type of estimate, the following applies:
1. Include payment for the following:
• Any work completed since the previous estimate
• Any errors that may have been discovered and corrected
• 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. The deduction will be in the same amount as for any progress
estimate. See Section 8-1, “Labor Compliance,” of this manual.
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 the following:
• Form CEM-2402S, “Final Report—Utilization of Disabled Veterans
Business Enterprises First-Tier Subcontractors,” on state funded projects
• Form CEM-2402F, “Final Report—Utilization of Disadvantaged
Business Enterprises,” on federal funded projects
The deductions will be in the same amount as for any progress estimate. See
Section 8-2, “Equal Employment Opportunity,” and Section 8-3, “Disadvantaged
Business,” 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:
• Reduced prints of working drawings
• Outstanding payrolls that are not yet delinquent
• Federal Form FHWA-47M, “Statement of Materials and Labor Used by
Contractors on Highway Construction Involving Federal Funds”
• Or any information upon which to base the proposed final estimate,
such as adjustments of contract unit prices
The deduction, regardless of the number of outstanding items, will
be the lesser of 5 percent of the “Subtotal Amount Earned Without
Mobilization” or $10,000.
In addition to the steps listed above for determining amounts to be paid or deducted
for a progress 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:
• The contractor has delinquent or inadequate payrolls.
• The contractor failed to correct deficiencies in its equal employment
opportunity program.
• 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 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 and that they will result in a delay of
final payment.
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.
3-912 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: 3-912
Proposed Final
• Submit the proposed final estimate to the contractor within the time frame outlined
in Section 5-4, “Disputes,” of this manual. Estimate
• Soon after the contract is accepted, meet with the contractor to discuss submitting
the required information to complete the contract. If the contractor does not
submit the required data within four weeks after acceptance, you must notify the
contractor in writing that Caltrans will issue the proposed final estimate and
deduct the appropriate amount.
• Before the processing of the proposed final estimate, ensure all extra work bills
submitted by the contractor are processed and ready for payment. Ensure the
estimate’s issuance is not delayed for force account billings that remain
outstanding.
• If the contractor has not submitted required information in a timely manner,
Section 5-4, of this manual dictates that 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 9-1.03C, “Records,” 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 contract change order, and have it unilaterally approved.
To determine compensation, refer to Section 4-1.03B, “Work Performed
by Special Forces or Other Special Services,” or Section 4-1.03C,
“Changes in Character of Work,” of the Standard Specifications.
b. If the established cost is necessary to make force account payment on

an existing contract change order, include this established cost as a lump
sum payment on a supplemental contract change order. Also, unilaterally
approve this supplemental contract 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 contractor’s
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:
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 under the heading “Payment of a Progress
Estimate After Contract Acceptance” in this section.) 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 nonsubmittal of documents required by the contract,
will be paid when all such documents have been received.”
• Submit Form CEM-6001, “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 1, at the end of this section.
2. A form for the contractor’s acceptance of the amounts listed in this estimate.
Ensure the form contains wording similar to the wording in Example 2, at
the end of this section.
3. The proposed final estimate report showing the status of item payments
generated by the Contract Administration System (CAS) along with the
“schedule of extra work” and “schedule of deductions” reports. Samples of
these reports are shown in Examples 3 through 7, at the end of this section.
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 withheld
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 contractor’s
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
contract 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.
• 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 as follows:
1. If the returned Acceptance Statement has no exceptions (claims) and all
documents required under the contract have been received, prepare and
process the final estimate.
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 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.
• When the Acceptance Statement is not returned within the specified 30 days,
ensure it has not been lost in transit and then proceed as follows:
1. If all documents have been received, prepare and process the final estimate.
2. If some documents are still outstanding, request advice from the construction
field coordinator about further action.
3. 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 kilopost).
A final estimate is, therefore, being processed for issuance to you as provided
in Section 9-1.07B, “Final Payment and Claims,” of the Standard
Specifications.
Sincerely,
District Construction Office
4. 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:
Acknowledgement 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 9-1.07B, “Final Payment
and Claims,” 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
engineer’s final determination on claims in the minimum possible time,
consistent with the assurance that all the facts are available for consideration.

5. If the initially submitted claim statement is obviously deficient in information,
use a paragraph similar to the following 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 4-1.03A, Section 9-1.04 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.
6. Examine claims expeditiously. For detailed instructions, refer to Section 5-

4, “Disputes,” of this manual.
3-913 Semifinal Estimate 3-913

A semifinal estimate is any estimate prepared after issuing the proposed final estimate Semifinal 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.
3-914 Final Estimate 3-914

Submit a final estimate only after one of the following conditions has been met: Final Estimate
• The contractor has submitted all required documents and complete agreement
on payment has been reached.
• The district directors’ determination of claim has been issued.
• 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 construction field coordinator to proceed.

As soon as the district approves the final estimate, it must use a transmittal letter to
send it to the contractor. The letter must state the following: “Submitted herewith in
accordance with Section 9-1.07B 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 Services will mail to the contractor the corresponding copy
of the progress payment voucher.
3-914A Material to Submit
Before payment of a final estimate, the Division of Construction’s 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 as returned by the contractor. If the contractor
has refused to sign the statement, submit it with an explanation of the contractor’s
refusal.
• When required by the special provisions, submit the original and two copies of
Federal Form FHWA-47M, “Statement of Materials and Labor Used by
Contractors on Highway Construction Involving Federal Funds”.
• 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. The original and two copies of Form CEM-2402S, “Final Report—Utilization
of Disabled Veterans Business Enterprises (DVBE) State Funded Projects”,
or Form CEM-2402F, “Final Report—Utilization of Disadvantaged Business
Enterprises (DBE), First-Tier Subcontractors” (federally funded projects).

Example 1: Form letter to Use When Submitting Proposed Final Estimate
to the Contractor
Subject: Proposed Final Estimate
In accordance with the provisions of Section 9-1.07B, “Final Payment and Claims,” of the Standard
Specifications, attached (in triplicate) is a
proposed final estimate for _________ _____________________________________

(Contract) (Dist. Co. Rte. K.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 9-1.07B of the Standard Specifications, which states:
“The contractor shall submit written approval of the proposed final estimate or a written statement of
all claims arising under or by virtue of the contract so that the engineer receives the written approval or
statement of claims no later than close of business of the thirtieth day after receiving the proposed final
estimate. If the thirtieth day falls on a Saturday, Sunday or legal holiday, then receipt of the written
approval or statement of claims by the engineer shall not be later than close of business of the next
business day. No claim will be considered that was not included in the written statement of claims, nor
will any claim be allowed as to which a notice or protest is required under the provisions in Sections
4-1.03, ’Changes,’ 8-1.06, ’Time of Completion,’ 8-1.07, ’Liquidated Damages,’ 5-1.116, ’Differing
Site Conditions,’ 8-1.10, ’Utility and Non-Highway Facilities,’ and 9-1.04, ’Notice of Potential Claim,’
unless the contractor has complied with the notice or protest requirements in those sections.”
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 9-1.07B of the Standard Specifications.
If claims are submitted in connection with this contract, you will be expected to comply fully with the
fourth paragraph of Section 9-1.07B of the Standard Specifications. The engineer will base the
determination of claims upon the investigation of your statement, in which you will be expected to
present your position fully as to the contractual basis of the claim, compliance with contract requirements
such as Section 4-1.03A, “Procedure and Protest,” or Section 9-1.04, “Notice of Potential 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 9-1.07B of the Standard Specifications, in case neither approval nor a
statement of claims is received within 30 days, 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,

Example 2: Acceptance Statement Form
Subject: Acceptance Statement
Attachment to transmittal letter

Contract
dated___________________________ Identification:
I have examined the quantities of contract items and amounts indicated as payment for extra
work and the deductions on the proposed final estimated 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

Example 3: Sample of the Proposed Final Estimate
PROGRAM CAS145 PAGE 1

DATE 01/02/01 STATE OF CALIFORNIA - DEPARTMENT OF TRANSPORTATION 03-441804
TIME 02:40 PM ESTIMATE NO. 06
BID OPENING 02/08/00 P R O J E C T R E C O R D - E S T I M A T E WORK PERFORMED THROUGH 11/17/00
R.E. NAME: ZINK, PHIL DATE OF THIS ESTIMATE 01/02/01
Measurement and Payment

LOCATION PROPOSED FINAL ESTIMATE
03-PLA-65-13.4/14.7 -----------------------
M & M ELECTRIC IN PLACER COUNTY IN LINCOLN FROM
1600 AUBURN BLVD 0.1 KM NORTH OF SIXTH STREET TO
SACRAMENTO, CA 95815 0.2 KM NORTH OF SEVENTH STREET
FED. AID NO. ACST-P065(60)E ,P-P065(60)E

SIGNALS AND LIGHTING
------------------------------------------------------------------------------------------------------------------------------------
ITEM CONTRACT ORIGINAL THIS ESTIMATE TOTAL ESTIMATE
NO. ITEM DESCRIPTION UNIT PRICES AUTH. AMT QUANTITY $ AMOUNT QUANTITY $ AMOUNT
------------------------------------------------------------------------------------------------------------------------------------
001 CONSTRUCTION AREA SIGNS LS 1,050.0000 1,050.00 1.000 1,050.00
(S)
002 TRAFFIC CONTROL SYSTEM LS 2,500.0000 2,500.00 1.000 2,500.00
(S)
003 PORTABLE CHANGEABLE MESSAGE SIGN EA 3,000.0000 6,000.00 2.000 6,000.00
(S)

004 REMOVE ROADSIDE SIGN EA 75.0000 225.00 3.000 225.00
005 COLD PLANE ASPHALT CONCRETE PAVEMENT M2 5.0000 8,400.00 1,683.000 8,415.00
(S)
006 REMOVE CONCRETE SIDEWALK AND DRIVEWAY M3 1,500.0000 750.00 3.060 4,590.00
007 REMOVE CONCRETE (CURB AND GUTTER) M3 1,500.0000 1,200.00 1.570 2,355.00
008 ROADWAY EXCAVATION M3 1,000.0000 6,000.00 5.500 5,500.00

(S)
009 ASPHALT CONCRETE (TYPE A) TONN 125.0000 875.00 4.580 572.50
(S)
010 ASPHALT CONCRETE (OPEN GRADED) TONN 135.0000 8,235.00 79.240 10,697.40
(S)
011 PLACE ASPHALT CONCRETE (MISCELLANEOUS M2 150.0000 2,100.00 13.520 2,028.00
(S) AREA)
012 CLASS 4 CONCRETE (BACKFILL) M3 250.0000 650.00 0.900 225.00
(S)
013 ROADSIDE SIGN - ONE POST EA 230.0000 230.00 1.000 230.00
3-9.37
3-9.38
Example 4: Sample of Project Record Estimate, Summary of Payment
PROGRAM CAS145 PAGE 2

DATE 01/02/01 STATE OF CALIFORNIA - DEPARTMENT OF TRANSPORTATION 03-441804
TIME 02:40 PM ESTIMATE NO. 06
BID OPENING 02/08/00 P R O J E C T R E C O R D - E S T I M A T E WORK PERFORMED THROUGH 11/17/00
R.E. NAME: ZINK, PHIL DATE OF THIS ESTIMATE 01/02/01
------------------------------------------------------------------------------------------------------------------------------------
ITEM CONTRACT ORIGINAL THIS ESTIMATE TOTAL ESTIMATE
NO. ITEM DESCRIPTION UNIT PRICES AUTH. AMT QUANTITY $ AMOUNT QUANTITY $ AMOUNT
------------------------------------------------------------------------------------------------------------------------------------
SUBTOTAL CONTRACT ITEMS 0.00 124,938.82
ADJUSTMENT OF COMPENSATION 0.00 0.00
EXTRA WORK 0.00 4,613.30
SUBTOTAL AMOUNT EARNED 0.00 129,552.12
ORIGINAL CONTRACT AMOUNT 120,019.00
TOTAL WORK COMPLETED 0.00 129,552.12
MATERIALS ON HAND ON SITE 0.00
MATERIALS ON HAND ELSEWHERE 0.00
DEDUCTIONS 15,000.00 0.00
TOTAL 15,000.00 129,552.12
ITEMS FOR WHICH CONTRACT PRICE EXCEEDS MAXIMUM VALUE
N O N E
DATE CONTR CONTRACT DATE WORK BEGIN JOB COM- WORKING WEATHER NON- C.C.O. OTHER PERCENT PERCENT TIME
APPROVED DAYS STARTED CONSTR PLETED ON DAYS WORKING DAYS DAYS DAYS COMPLETED ELAPSED
03/29/00 30 07/17/00 06/27/00 11/17/00 76 24 0 0 100% 100%
ZINK, PHIL
RESIDENT ENGINEER

Example 5: Schedule B - Extra Work and Adjustment of Compensation
PROGRAM CAS145 E X T R A W O R K A N D A D J U S T M E N T C O M P E N S A T I O N

DATE 01/02/01 SCHEDULE B 01/02/01 PAGE NUMBER 1
TIME 02:40 PM CONTRACT NO. 03-441804
ZINK, PHIL ESTIMATE NO: 6
---------------------------------------------------------------------------------------------------
CCO BRIEF ITEMS AMOUNT AMOUNT
NO. DESCRIPTION AFFECTED WORK TYPE AUTHORIZED EXPENDED
---------------------------------------------------------------------------------------------------
001 TRAFFIC CONTROL (FLAGGING) E.W. @ F.A.(+) $500.00

E.W. @ U.P (+) $5,995.00 $940.80
002 REPLACE B-3 CURB/REPLACE PCC 6,15,16 $4,513.75
ELEC FOUND
003 REPLACE VIHICLE SIGNAL E.W. @ F.A.(+) $700.00
004 REPL SIGNAL POLE & ARM E.W. @ L.S.(+) $2,830.00 $2,122.50
005 REPLACE PED PUSH BUTTONS & E.W. @ L.S.(+) $1,550.00 $1,550.00
---> TOTAL AC =
---> TOTAL EW = $4,613.30

PROGRAM CAS145 S C H E D U L E O F E X T R A W O R K PAGE NO. 1
DATE 01/02/01 EST. NO.06
TIME 02:40 PM
R.E. NAME: ZINK, PHIL 03-441804
---------------------------------------------------------------------------
CCO REPORT REPORT TYPE OF WORK(+) WORK BR CONTR
NO. NUMBER AMOUNT PERFORMED (-) DATE WK RPT.NO C O M M E N T S
---------------------------------------------------------------------------
*** THERE ARE NO EXTRA WORK PAYMENTS THIS ESTIMATE ***
3-9.39
3-9.40
Example 7: Schedule of Deductions
PROGRAM CAS145 S C H E D U L E O F D E D U C T I O N S PAGE NO. 1

DATE 01/02/01 EST. NO.06
TIME 02:40 PM
R.E. NAME: ZINK, PHIL 03-441804
---------------------------------------------------------------------------
DEDUCTION DESCRIPTION AMOUNT EST THIS TOTAL
NO. ESTIMATE ESTIMATE
---------------------------------------------------------------------------
EQUAL EMPLOYMENT OPPORTUNITY
MISSING PR-1391 -7,622.53 02
RECEIVED FORM PR1391 7,622.53 03
MISSING CEM 2402 -10,000.00 05
CEM 2402 10,000.00 06
10,000.00 0.00
LABOR COMPLIANCE VIOLATION
MISS P/R - RIOLO,O/O -7,622.53 02
MISSING PAYROLLS -4,327.59 03
MISSING PAYROLLS -5,000.00 05
RETURN EST #2, EST#3 11,950.12 05
PAYROLLS 5,000.00 06
5,000.00 0.00
TOTAL DEDUCTIONS 15,000.00 0.00

Example 8: Sample Notice of Opportunity for Offset Hearing
STATE OF CALIFORNIA -------BUSINESS, TRANSPORTATION AND HOUSING AGENCY GRAY DAVIS, Governor
DIVISION OF CONSTRUCTION
1120 N STREET
P. O. BOX 942873
SACRAMENTO, CA 94273-0001
PHONE (916) xxx-xxxx
FAX (916) xxx-xxxx
October 1, 2001
Prime Contractor
Address
City, State Zip
Bonding Company
Address
City, State Zip
Offset Bonding Company

Address
City, State Zip
Dear Sirs:
This notice is to advise you of your rights upon determination of offset by the resident engineer in the amount of
$XX,YYY.SS to clear an accounts receivable billing for contract number PP-RRRRRR, awarded to you by the
California Department of Transportation, for highway construction on Route XX, YYY County, near ZZZZZ.
You have the right to request an offset hearing pursuant to this offset, as provided for by Government Code, Section
12419.5.
Unless your written request for an offset hearing is received within 20 calendar days of the date of this notice, this
offset will be taken against contract number SS-VVVVVV, effective DD-MM-YY. Contract number SS-VVVVVV
was awarded to you by the California Department of Transportation, for highway construction on Route XX, YYY
County, near ZZZZZ.
If you request an offset hearing, one will be scheduled within approximately ten working days upon receipt of your
written request. Under the procedures outlined under Section 8790.3 of the State Administrative Manual, you are
entitled to an opportunity to present any valid objection you may have to the use of the offset procedure. At the
hearing, you will be provided opportunity to present facts that discredit the accounts receivable, the appropriateness of
this offset action, or other evidence you believe is relevant to the determination of the appropriateness of this offset
action.
If you have questions regarding this notice, you may contact me at (BBB) ZZZ-RRRR.
Sincerely,
NAME
Resident Engineer
Attachment / Enclosure
bc: Division of Construction

District Division Chief Construction
Offset District Division Chief Construction
Headquarters Construction Coordinator
Offset Resident Engineer
Headquarters Accounting Division
initials (author's name / typist)

Chapter 4 Construction Details
Introduction Introduction
4-001 Scope 4-001

Each section in this chapter of the Construction Manual (manual) corresponds to a Scope
section in the Standard Specifications. All sections in the Standard Specifications
except the first nine “General Provisions” sections and four “Structures” sections
are included here. The four “Structures” sections, 49, 50, 55, and 59, are covered in
the Bridge Construction Records and Procedures Manual.
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

Even though each section in Chapter 4 closely follows the corresponding section in Purpose
the Standard Specifications, the intent in 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 the most part, only the Standard Specifications are considered. Special provisions,
superceding the Standard Specifications, will 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 contact 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
Section 10 Dust Control Dust Control
4-1001 General 4-1001

Under the terms of the project contract, the contractor must control dust. The General
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.
4-1002 Before Work Begins 4-1002

During this preliminary inspection, take the following steps: Before Work Begins
• Determine whether a planned method to control dust is included in the
contractor’s approved water pollution control plan.
• Whenever it is proposed to handle temporary traffic changes on an unpaved
roadway, anticipate the necessity for dust control. See Section 4-17, “Watering,”
and Section 4-18, “Dust Palliative,” in this Construction Manual for additional
factors relating to dust control.
4-1003 During the Course of Work 4-1003

Notify and require corrective action whenever the contractor is not adequately During the Course
controlling dust. In cases of neglect, work may be suspended under the resident of Work
engineer’s authority, pursuant to Section 8-1.05, “Temporary Suspension of Work,”
4-1004 Measurement and Payment 4-1004

Pay for dust control as extra work only when public traffic has caused dust. In all Measurement and
other cases dust control is included in the various items of work involved. Payment

Dust Control 4-10.1
Section 11
Section 11 Mobilization Mobilization
4-1101 General 4-1101

Section 11-1.01 “Description,” of the Standard Specifications, describes the work General
to be included in the lump sum contract item for mobilization.

The resident engineer does not need to do any preparatory work for the mobilization Before Work Begins
contract item.

Separate work chargeable to mobilization from other contract item work on daily During the Course
reports. Exclude the cost of work covered under the mobilization contract item from of Work
contract item costs when making adjustments in accordance with Section 4-1.03,
“Changes,” of the Standard Specifications. The contract item for mobilization
includes:
• Setting up the contractor’s field offices, equipment yards, security fencing, and
on-site materials processing plants.
• Grading access roads to offices, plants, and equipment yards.
• Acquiring utility services.
• Moving personnel, equipment, and supplies to the job site.
The contract item for mobilization does not include:
• Delivering materials to the job site. This work is paid for by the applicable
contract item.
• Developing a water supply for contract work. See Section 17, “Watering,” of
• Furnishing and erecting signs. See Section 12-3.06, “Construction Area Signs,”
• Grading for access to excavation areas. This work is normally covered under
the roadway excavation contract item.
• Moving equipment and temporary structures off the site and removing excess
material. See Section 4-1.02, “Final Cleaning Up,” of the Standard Specifications.

The Contract Administration System (CAS) automatically makes progress payments Measurement and
for the mobilization contract item. Payment

Mobilization 4-11.1
Section 12 Construction Area Traffic Control Devices
4-1201 General
4-1202 Before Work Begins

4-1202A Flagging
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 Temporary Railing (Type K)
4-1202I Traffic Cones
4-1202J Portable Changeable Message Signs
4-1202K Temporary Crash Cushion Module
4-1202L Temporary Traffic Screen
4-1202M Temporary Signal System
4-1202N Traffic Plastic Drums
4-1202O Traffic Control System
4-1202O (1)
4-1202O (2)
4-1202O (3)
4-1203 During the Course of Work

4-1203A Flagging
4-1203B Barricades

Construction Area Traffic Control Devices 4-12.i
4-1203O (1) Field Adjustments
4-1203O (2) Placement Sequence and the Start of Work
4-1203O (3) Drive--Through Inspection
4-1203O (4) Maintenance
4-1203O (5) Reverse Operations Inside Closures

4-1204A Flagging
4-1204B Barricades
4-1204K Temporary Crash Cushion Modules
4-1204M Temporary Signal system

4-12.ii Construction Area Traffic Control Devices
Section 12
Section 12 Construction Area Traffic Control Devices Contruction Area
Traffic Control
Devices
4-1201 General 4-1201
This section provides guidelines for inspecting traffic control devices in construction General
areas. Section 2-2, “Traffic,” of the Construction Manual (manual) provides
guidelines and a general overview about providing a safe and convenient passage of
public traffic through the construction area. Section 2-2 and this section complement
each other. Engineers who administer the provisions in Section 12, “Construction
Area Traffic Control Devices,” 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 Manual
on Uniform Traffic Control Devices (MUTCD) and MUTCD California Supplement.
If a discrepancy occurs between the contract plans and specifications and the MUTCD
and MUTCD CA Supplement, the plans and specifications govern.

Take the following general steps before work begins: Before Work Begins
• To obtain a thorough understanding of the project’s traffic control needs and
requirements, review the plans, special provisions, Standard Specifications, and
Standard Plans.
• 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 in the Caltrans list of approved
traffic products 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.
• 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 Flagging
Discuss any flagging operation with the contractor before the operation begins. Ensure
flaggers are trained in accordance with the MUTCD and MUTCD CA Supplement
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. Develop a plan for handling emergencies and emergency vehicles in the control
zone.

Construction Area Traffic Control Devices 4-12.1
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 a listing in the Caltrans list of
approved traffic products. The engineer may accept another product as long as the
district traffic engineer has approved it through written confirmation.
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. Portable delineators require a Certificate of Compliance and a listing
in the Caltrans list of approved traffic products. The 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 Section 12-3.05,
“Portable Flashing Beacons,” of the Standard Specifications.
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 a listing in the Caltrans list of approved traffic products. The engineer may
accept another product as long as the district traffic engineer has approved it
through written confirmation.
• 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 a listing in the Caltrans list of approved traffic products.
The engineer may accept another product as long as the district traffic engineer has
Determine if temporary railing (Type K) is to be cast on the project. For temporary
railing (Type K) cast off the project, a Certificate of Compliance is required.
Determine if temporary railing (Type K) is to be placed within 3 m of a traffic lane.
The contractor must provide reflectors and adhesive, as noted in Section 12-3.08,
“Temporary Railing (Type K),” of the Standard Specifications.
Freshly painted temporary railing (Type K) is required only before its first use on
the project unless the special provisions require otherwise.

4-12.2 Construction Area Traffic Control Devices
Reflectors for temporary railing (Type K) require a Certificate of Compliance and a
listing in the Caltrans list of approved traffic products. The 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. Reflective sleeves require
a Certificate of Compliance and a listing in the Caltrans list of approved traffic
products. The engineer may accept another product as long as the district traffic
engineer has approved it through written confirmation.
Before the first deployment of portable changeable message signs, 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 trailer can be leveled and that the sign operates within the required
minimum and maximum heights.
Review the project plans and sheets T1A, T1B, and T2 of the Standard Plans.
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 temporary railing (Type K) creates a blunt-end exposure within 4.6 m of
the edge of the traveled way, temporary crash cushions are required at that location.
The Standard Plans require that temporary crash cushions be installed on wooden
pallets. The maximum acceptable pallet height is 115 mm. 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 the special provisions.
For requirements for temporary traffic screen, review the special provisions and
Sheet T4 of the Standard Plans.
As early as possible, verify that all state-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 initial placement, verify the type that the contractor proposes complies with
specified requirements. Reflective sheeting used on traffic plastic drums requires a
Certificate of Compliance and a listing in the Caltrans list of approved traffic products.
The engineer may accept another product as long as the district traffic engineer has

• Before work begins, carefully review the plans, specifications, 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. Before using any traffic control system, ensure that all the
components are on hand and have met all specified requirements.
Refer to “Cooperation” , if applicable, in the special provisions. 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 in advance their schedules for lane closures 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 800 m of another project.
• In the contractor’s or subcontractor’s 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.
4-1203 4-1203 During the Course of Work

During the Course Contractors should maintain all traffic control devices in good working order
of Work throughout the project’s life. During operations requiring traffic control systems,
engineers should ensure that all traffic control devices are correctly located and
functioning properly.
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, and have correct advance warning signs. The
contractor’s flaggers must be properly trained and equipped and must perform their
duties in accordance with the Manual on Uniform Traffic Control Devices (MUTCD)
and MUTCD California Supplement. 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, use only bags of dry sand, and
place all weights on the feet or lower parts of the frame or stays. Placing objects any
higher, or using hard objects such as concrete or rocks for weights, may lead to
injury or property damage should a vehicle hit the barricades.
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:
• 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 at least the minimum visibility 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 do 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.
When it is necessary to weight sign standards to prevent the wind from overturning
them, sandbags may be used. 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.
Check the contractor’s 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 contractor’s expense.
Verify all new and used rail elements comply with requirements for end connection
and surface finish. Order repainting when needed.
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.

Make a drive-through inspection while the signs are in operation. A portable
changeable message sign (PCMS) needs to be located where it provides the
approaching motorist with at least the minimum visibility and legibility distances
required by specification.
PCMSs are to display only preapproved messages. The resident engineer must ensure
that the messages conform to district and Caltrans policy. Prohibit messages that do
not convey real-time information to the motorist. Examples of unacceptable messages
include ones such as “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. The specifications typically will
require that operating signs placed within 1.8 m of traffic be protected with a standard
shoulder closure. Protect or remove nonoperating signs within 4 m of traffic to comply
with the requirements of the “Public Safety” clause (for parked equipment) in the
special provisions. In many cases, placing a PCMS behind existing guard railing
will protect it. In cases when it is not practicable to remove nonoperating 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 temporary railing (Type
K) 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.
Check that crash cushion module arrays are installed according to the manufacturer’s
instructions. Verify that all crash cushion modules are filled with the proper weight
of sand. Check pallet heights. Also, ensure that when arrays are placed, a minimum
clearance of 2.4 m 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.
Immediately after installation, review the screen placement, especially near entrance
and exit ramps. If the screen blocks motorist visibility, order the screen’s removal
and consult with the district traffic engineer concerning possible alternatives.
The supporting steel pipes should be placed on the traffic side of the screen. Then, if
a panel becomes dislodged, the plywood will fall away from traffic.
Periodically review the temporary signal system to document its maintenance. Record
inspection dates and conditions observed in the project records to protect both the
state and the contractor.
If a system shutdown occurs, planned or unplanned, the contractor must immediately
provide flaggers to control traffic until the traffic signals are functioning correctly.

Check the contractor’s 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.
Many projects will require the contractor to submit a request for a lane closure in
advance of the intended date. This advance notification affords Caltrans the
opportunity to coordinate work within the highway corridor. Review the contractor’s
requests both to avoid oversights and also to identify and reduce the number of
unnecessary requests.
If the contractor fails to comply with the special provisions’ clause titled “Closure
Requirements and Conditions,” by not opening the highway promptly, the contractor
must submit a written work plan demonstrating that the highway will be opened in a
timely manner in the future. Do not permit any lane closures until the contractor
submits this plan and it is approved in accordance with district policy.
4-1203O (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 curves – Ensure 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 connectors – Managing ramps and connectors within a lane closure
presents several problems. Extend exit ramp tapers back through the lane closure
as an extension of the ramp’s shoulder line. Avoid sharply angled tapers. Extend
entrance ramps through the closed lane by projecting the left shoulder line.
• Traffic queues – Contain 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 transportation
management center.
• Multiple closures and inter-project coordination – Avoid multiple closures with
overlapping sign patterns. Connect closures by extending the tangents.
• Length of Closure — Avoid 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 between the approaching motorist and workers on foot.

4-1203O (2) Placement Sequence and the Start of Work
Completely install the traffic control system before commencing work. The following
gives you some installation instructions depending on the situation in which the
system will be used:
• Systems affecting traffic only in one direction – Start with the first device that
the drivers will see as they enter the work zone. (Usually a C18 “Road
Construction Ahead” or 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 directions – Install 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 system – Remove 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.
4-1203O (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.
4-1203O (4) Maintenance

Ensure a contractor’s employee is assigned to maintain all night closures and any
daytime closures over 1.6 km 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 contractor’s
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.
4-1203O (5) Reverse Operations Inside Closures

Workers can 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.
• When removing a lane closure while facing traffic, the traffic control truck must
turn around and back up through the taper area.

• 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.

The following are directions for measuring and paying for various traffic control Measurement and
devices for construction areas: Payment
4-1204A Flagging
Section 12-2.02, “Flagging Costs,” of the Standard Specifications requires that the
cost of providing flaggers be divided equally between the state 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. The state’s share of flagging
costs are 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 fifty-fifty split. It is assumed that the
contractor’s 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 4-1.03C,
“Changes in Character of Work,” of the Standard Specifications. Also, include the
contractor’s 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 contractor’s expense, regardless
of the cause, including damage by public traffic.
Flashing arrow signs are paid for as part of the contract item for traffic control
system.
Portable delineators are paid for as part of the contract item for 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 contractor’s 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 special provisions. Do not use the contract
item for temporary railing (Type K) to pay for temporary railing that is placed to
fulfill the requirements the “Public Safety” section.
Withhold some payment from progress pay estimates to cover the cost of removing
temporary railing (Type K).
Traffic cones are paid for as part of the contract item for a traffic control system.
A portable changeable message sign (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 one 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 of the special provisions. 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.
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 state-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 the state 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.

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” of the special
provisions are not to be paid for at contract item price.
For all project work, the lump sum payment for traffic control system includes
payment for all labor, equipment, and materials to install, maintain, and remove
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 contract 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 engineer’s 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
engineer’s estimated quantity for the contract item or items. The contractor relied
on the engineer’s 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 Highway Facilities
4-1501 General

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

Existing Highway Facilities 4-15.i
Section 15
Section 15 Existing Highway Facilities Existing Highway
Facilities
4-1501 General 4-1501
The information in this section corresponds to Section 15, “Existing Highway General
Facilities” of the Standard Specifications. The following sections of the Standard
Specifications also have related information:
• Section 7-1.11, “Preservation of Property”
• Section 7-1.12, “Indemnification and Insurance”
• Section 8-1.10, “Utility and Non-Highway Facilities”
The work described in this section covers removing existing highway facilities that
interfere with construction within 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 highway facilities (whether shown
or not shown in the contract plans) that are to remain in place, either temporarily or
permanently, and that are to be salvaged, relaid, reset, relocated, or reconstructed.
When such facilities are damaged as a result of the operation, the contractor is
responsible for repair or replacement. Caltrans is responsible for repair or replacement
of existing highway facilities that are damaged by public traffic.

Before work begins, take the following steps: Before Work Begins
• Inspect existing facilities that are to be salvaged, relaid, reset, relocated, or
reconstructed. If their condition has deteriorated sufficiently to prevent the
planned use, write a contract 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, pavement markers, salvaging materials, removing of Work
concrete and bridges, and handling mailboxes.
4-1503A Obliterating Roads and Detours
In covering obliteration, the Standard Specifications’ objective 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 (WPCP) to reflect the new conditions.

Existing Highway Facilities 4-15.1
4-1503B Removing Traffic Stripes and Pavement Markings
Take the following steps for 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 did 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.
4-1503C Removing Pavement Markers
Take the following steps for 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 15-2.03, “Disposal,” of the Standard Specifications.
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, see Section 3-4, “Scope of Work,” of the
Construction 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 include the following:
• Removal to the specified minimum depth below finished grade. Enter notes into
the appropriate daily report that this feature was checked and meets requirements.
• Disposal into adjacent embankments. See Section 19-6, “Embankment
Construction,” of the Standard Specifications. Note that both lateral and vertical
limitations are met. Make every effort to include disposal locations in as-built
plans.
• Breakage of floors of concrete basements, pits, and structures to prevent
entrapment of water. Note the inspections in the appropriate daily report.
4-1503F Removing Bridges
Take the following steps for removing bridges:
• The contractor must submit bridge removal plans. The Office of Structure
Construction’s representative on the project has complete responsibility and
authority for reviewing and approving bridge removal plans and administering
bridge removal specifications. On projects that do not have a representative

4-15.2 Existing Highway Facilities
from the Office of Structure Construction, consult with the structure
representative assigned to the area. Further information on bridge removal
oversight is contained in the Office of Structure Construction’s Bridge
Construction Records and Procedures Manual.
• When bridge removal occurs over or adjacent to public traffic or railroad property,
carefully review the contractor’s 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
contractor’s responsibility, but ensure the contractor maintains proper position and
access to mailboxes. Here 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 contractor’s 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.

Existing Highway Facilities 4-15.3
4-1504 4-1504 Measurement and Payment
Measurement and You must be familiar with the measurement and payment clauses covering existing
Payment facilities that are to be removed. Determine whether the necessary measurements
must be taken before or during removal.

4-15.4 Existing Highway Facilities
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 General
the first work items and is generally paid as a lump sum item or by the hectare.
During clearing and grubbing, pay special attention to the preservation of property
and environmentally sensitive areas.

• Review the plans, special provisions, and right-of-way agreements for details
that may require special staking or issuing contract 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.
• Discuss with the contractor such items as the marking of any special locations,
such as environmentally sensitive areas and any additional areas to be cleared.
Call the contractor’s 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 and refer to Section 7-1.13, “Disposal of Material Outside
of Highway Right of Way,” of the Standard Specifications and Section 3-708 of
the Construction Manual, to determine the contractor’s necessary actions. Unless
the disposal site is already available for state use, as per the Caltrans policy
regarding “Disposal, Staging and Borrow,” (DSB) as discussed in Section 7-
103D of the Construction Manual, the contractor must obtain and present to the
resident engineer any permits, environmental studies, and documentation, among
other items, required by agencies having jurisdiction over the site. To ensure
mutual understanding and agreement, hold a joint meeting between the resident
engineer, contractor, environmental/construction liaison, and these regulatory
agencies. If the contractor meets these requirements he should be provided with
the required written permission 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
During the During the work, take the following steps:
Course of Work • Ensure the contractor’s equipment has the required safety devices to protect
personnel. In forest areas, ensure the use of the required spark arresters on
equipment.
• Ensure the contractor’s 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 contractor’s adherence to environmental commitments and permits.
For any deviations and violations, document and require corrective action by
the contractor. The resident engineer should consult with the district
environmental unit 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 wastes that might interfere with future work
are disposed of by burying the solid wastes adjacent to the roadway. Also, 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 specified.
During the removal of additional branches, direct the contractor to present a
balanced appearance of the trees. Check that the contractor treats as specified
any scars resulting from removal.
• 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 Measurement and
that provides for periodic payments that represent the true percentage of the work Payment
completed.
Some contracts may have a limitation on payment for clearing and grubbing. Refer
to section 5 of the special provisions.

Clearing and Grubbing 4-16.3
Section 17
Section 17 Watering Watering
4-1701 General 4-1701

The contractor is responsible for developing a water supply (including any permits). General

• Determine the quality of the water if it is to be used in products for which there
are specific water quality requirements.
• Determine if the contractor intends to use chemical additives in water. Ensure
that the additive is appropriate for the intended use.
• If the contract requires a mobile watering unit, ensure that one is available on
the project at all times.
• Ensure all necessary watering equipment is of the type specified.

During the course of work, take the following steps: During the Course
• Determine whether the water supply as developed can both supply the project of Work
without extensive work delays and also supply adequate amounts for dust control.
• If the contractor uses a fire hydrant, ensure that proper arrangements have been
made with the local water utility company.

Once the water supply is developed and the entire project’s needs are met, authorize Measurement
for progress payment 100 percent of the item (subject to limiting pay clauses). When and Payment
determining percentages for partial payments, consider possible work required in
future stages.

Watering 4-17.1
Section 18
Section 18 Dust Palliative 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 Before Work Begins
dust 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 coordinator for the water
pollution control plan 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. During the Course
Make sufficient observations or checks to verify that the contractor obtained the of Work
required 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 Measurement
for dust palliative, either under a contract item or by contract change order. Only and Payment
allow payment for 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

4-1903A (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 Ground Water
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

Earthwork 4-19.i
Section 19
Section 19 Earthwork Earthwork
4-1901 General 4-1901

Earthwork includes operations connected with roadway excavation, blasting, structure General
excavation, backfill, ditch excavation, compaction, embankment construction, and
borrow excavation. For earthwork requirements, refer to Section 19, “Earthwork,”
of the Standard Specifications. The special provisions usually include additional
earthwork requirements.
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
contractor’s grade checkers and supervisory personnel.

Resident engineers and assistant resident engineers must do the following to prepare Before
for earthwork operations: Work 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.
• Review the soil profile and materials information.
• 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. See Section 3-809, “Utility and Non-Highway
Facilities,” of the Construction Manual (manual) for more details on utilities.
• When the contract requires, for trench excavation, obtain from the contractor a
detailed plan showing the design of shoring, bracing, sloping, or other provisions
for workers’ 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 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 company’s approval and notify

Earthwork 4-19.1
the resident engineer. (For additional details see the 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 pursuant to Section 5-1.02, “Plans and
Working 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 contractor’s plan of operation complies with any
specified order of work, environmental agreements, and pollution control
requirements.
• Ensure the contractor’s plan to control water pollution has been approved and
implemented before beginning work.
4-1902B Blasting
4-1902B (1) Safety Considerations
All blasting work must be conducted in strict accordance with the Construction
Safety Orders or a properly approved alternate safety plan. An alternate safety plan
is required when a 15 m clear zone cannot be maintained around the loading area,
such as a blasting area adjacent to traffic. The Construction Safety Orders 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:
• Blast area security- Review 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 storms- No 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 contractor’s safety plan,
include an evaluation of the plan’s objective and the procedures and equipment
to be used.
• Radio transmissions- Review the contractor’s proposal for controlling or
eliminating the possibility of a premature detonation due to radio transmissions
(including transmissions from cellular telephones).
• Warnings and signals- Review 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 Construction Safety Orders) are a widely
used standard and intended to inform workers in the area that blasting is in

4-19.2 Earthwork
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 Construction Safety Orders. Adhering to safe distances becomes
critical when “rolling roadblocks” or “traffic breaks” are to be used.
• On-site authority- Cal/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 postdetonation 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 Construction Safety Orders 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.
• Misfires- Misfires 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 contractor’s
contingency plan for misfires.
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

Earthwork 4-19.3
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.
• Test backfill material for compliance with specifications and test compaction,
and before backfilling, ensure that any required strutting or bracing, as shown
on the plans, is in place.
4-1902D Ditch Excavation
Before excavating ditches, 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 on-site observation during clearing.
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 ground
water.
• 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 project’s 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.

4-19.4 Earthwork
Here 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:
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 embankment’s 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.

Earthwork 4-19.5
• If the foundation material will be displaced and consolidated, undertake additional
measures. Place a line of “ telltale” or “heave” stakes 3 to 8 m 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 engineer’s 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.

During the Inspect the earthwork operations identified below during the work.
Course of Work 4-1903A Roadway Excavation
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 Section 3-701D(1), “Weight Limitations,’’ of this manual. Section 19-1.02,
“Preservation of Property,” of the Standard Specifications further covers the hauling
of earth, specifically with respect to spillage of material and dust control.
4-1903A (2) Unsuitable Material

Section 19-2.02, “Unsuitable Material,” 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. . .” Section 19-
2.02 does not cover material within excavation areas. For unsuitable material, the
resident engineer’s duties include the following:
• For possibly unsuitable material, 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 contract 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.
4-19.6 Earthwork
• In addition to routine data, record in the daily report all pertinent discussion
with and orders to the contractor regarding unsuitable material.
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 contract 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.

Earthwork 4-19.7
4-1903A (4) Slopes
The engineer responsible for earthwork must review the slope stakes and ensure
missing stakes are replaced in accordance with Section 5-1.07, “Lines and Grades,”
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 contractor’s 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 engineer’s 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 7-
1.13, “Disposal of Material Outside the Highway Right of Way,” 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 effect
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 effect a surplus (or deficiency) of material.

4-19.8 Earthwork
• 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
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 engineer’s 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.

Earthwork 4-19.9
Obtaining material from outside the project’s 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.
4-1903A (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 contract 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 Ground Water

When excessive ground water is encountered at subgrade, the resident engineer’s
duties include the following:
• Contact the district hydraulics engineer, geotechnical engineer, or both, to discuss
the materials information and the area’s 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 contract change order, if necessary.
Consider the following when inspecting for both structure excavation and backfill:
4-1903B (1) Structure Excavation

The resident engineer’s duties include the following during structure excavation:
• Observe the excavation to ensure that sloping or shoring conforms to the
contractor’s approved detailed plan or to the sloping or shoring requirements in
the Construction Safety Orders.
• To anticipate changes resulting from the foundation’s condition, periodically
inspect the excavation. Remind the contractor of the provisions of Section 19-
3.05, “Inspection,” of the Standard Specifications ,” which requires the contractor
to notify the engineer when any structure excavation is completed substantially
to grade.
• 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.

4-19.10 Earthwork
4-1903B (2) Structure Backfill
The resident engineer’s 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 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 contractor’s 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.

Earthwork 4-19.11
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
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 engineer’s 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 0.1 m in greatest dimension 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 2 m. 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 engineer’s 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 nonuniform operations, borderline results, or both, increase testing
frequencies.

4-19.12 Earthwork
• Observe compaction testing to ensure it complies with contract requirements.
Advise testing personnel of the specific limits of the testing area.
• 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 contract 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 engineer’s 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 tonne, ensure 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.

The following measurement and payment information covers roadway excavation, Measurement and
structure excavation and backfill, and ditch excavation. Payment
The resident engineer’s 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.
• 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

Earthwork 4-19.13
involves determining daily production by reaching agreement on the capacity of
hauling equipment and by using the contractor’s 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, review the special provisions, the Standard Plans, and Section 19-
3.07, “Measurement,” of the Standard Specifications. For payment clauses, review
Section 19-3.08, “Payment,” of the Standard Specifications. Note that the payment
for structure excavation and backfill is included in the payment for some 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, cross-section all borrow areas when borrow is paid for by
volume. If it is necessary to change the method of measurement from volume to
weight, write a contract change order specifying the conversion factor.
4-19.14 Earthwork
Section 20 Erosion Control and Highway Planting
4-2001 General 4-2002
Erosion Control
4-2002A Materials
4-2002A (1) Topsoil
4-2002A (2) Commercial Fertilizer
4-2002A (3) Straw
4-2002A (4) Fiber
4-2002A (5) Seed
4-2002A (6) Stabilizing Emulsion
4-2002B Before Work Begins
4-2002C During the Course of the Work
4-2002D Seed Sampling
4-2002D (1) Scope
4-2002D (2) Size of Sample
4-2002D (3) Procedure for Sampling
4-2002D (4) Sample Preparation, Preservation and Packaging
4-2002E Quality Assurance Seed Testing Results
4-2002E (1) Results
4-2002E (2) Nonconformance Procedures
4-2002F Measurement and Payment
4-2003 Highway Planting

4-2003 A Materials
4-2003 A (1) Soil Amendment
4-2003 A (2) Iron Sulfate
4-2003 A (3) Lumber
4-2003 A (4) Plants
4-2003 A (5) Foliage Protectors
4-2003 A (6) Root Protectors
4-2003 A (7) Mulch and Compost
4-2003B (1) Pesticides
4-2003B (2) Plants
4-2003 C During the Course of Work
4-2003C (1) Roadside Clearing
4-2003C (2) Pesticides
4-2003C (3) Preparing Planting Areas

Erosion Control and Highway Planting 4-20.i
4-2003C (4) Header Boards
4-2003C (5) Planting
4-2003 C (6) Watering
4-2003C (7) Replacement
4-2003C (8) Plant Establishment Work
4-2003C (8a) Administering Plant Establishment Time Requirements
4-2003C (8b) Tracking Time for Type 1 Plant Establishment
4-2003C (8c) Tracking Time for Type 2 Plant Establishment
4-2003 C Measurement and Payment
4-2004 Irrigation Systems

4-2004A Components of Irrigation Systems
4-2004A (1) Water Meter
4-2004A (2) Backflow Preventer
4-2004A (3) Wye Strainers
4-2004A (4) Main Supply Line
4-2004A (5) Master Remote Control Valve
4-2004A (6) Remote Control Valves
4-2004A (7) Quick Coupling Valve
4-2004A (8) Gate Valve
4-2004A (9) Lateral Supply Line
4-2004A (10) Emitters and Sprinklers
4-2004 A (11) Filter Assembly Unit
4-2004A (12) Irrigation Crossovers
4-2004A (13) Irrigation Controllers
4-2004A (14) Electrical Conduit, Pull Boxes, and Conductors
4-2004C During the Course of Work
4-2004C (1) Water Lines and Conduit
4-2004C (2) Electrical Installations
4-2004D Measurement and Payment

4-20.ii Erosion Control and Highway Planting
Section 20
Section 20 Erosion Control and Highway Planting Erosion Control
and Highway
Planting
4-2001 General 4-2001
Erosion control and highway planting is covered under Section 20, “Erosion
Control and Highway Planting,” of the Standard Specifications. Erosion control
General
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. Highway
planting (landscaping) involves preparing areas for planting, furnishing and
planting plants, and performing plant establishment work. Such landscaping is
sometimes combined with erosion control. Irrigation systems are installed to
apply water to highway planting.
For questions about the acceptability of materials and work for erosion control
and highway planting, resident engineers may consult with landscape architects
and landscape specialists in the district.
Note that many new products, materials, and methods used in erosion control
and highway planting may not be included in Caltrans contracts. When new
products, methods, or materials that meet contract requirements are used, report
them to the district landscape architect and to the Landscape Architecture
Program, using Form LA-16, “Product, Material, or Method Report,”(For
Highway Planting or Erosion Control). The form is available in the Caltrans
Electronic Forms System (CEFS) and the appendix of this manual.
4-2002 Erosion Control 4-2002

Properly applied erosion control is a key element in preventing water pollution. Erosion Control
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.
4-2002A Materials
The following information discusses some of the materials used in erosion
control:
4-2002A (1) Topsoil

Topsoil is the balance of organic matter, sand, clay, and nutrients necessary to
support healthy plant life. For the specifications for topsoil, see Section 20-
2.01, “Topsoil,” and Section 19-2.07, “Selected Material,” 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 ppm. If the topsoil’s 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.

Erosion Control and Highway Planting 4-20.1
4-2002A (2) Commercial Fertilizer
The Standard Specifications or the special provisions cover the requirements
for commercial fertilizer, which is expressed as percentages of nitrogen,
phosphoric acid, soluble potash, and sulfur. Commercial fertilizer may be spread
with seed and other erosion control materials using hydroseeding equipment.
Commercial fertilizer may also be specified for highway planting.
4-2002A (3) 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.
4-2002A (4) 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 centrifugal
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 emulsion, 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.
4-2002A (5) 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).

4-20.2 Erosion Control and Highway Planting
Specifications require legume seed to be inoculated. Such inoculation involves
combining the seed with viable bacteria appropriate for the species used.
4-2002A (6) Stabilizing Emulsion
Stabilizing emulsion may be applied with fiber and fertilizer. The emulsion increases
the amount of fiber, seed, and fertilizer that a slope will retain and, therefore, improves
the ultimate production of the desired vegetation.
Manufacturers of stabilizing emulsion normally specify the amount of water
that must be added to the emulsion. The amount is usually specified as “liters
of water to kilograms of solids of emulsion.”
Before work begins, the resident engineer must do the following:
• Review the plans and specifications to determine the specified type of erosion
control material and the time of application.
• Verify the receipt and proper distribution of Form CEM-3101, “Notice of
Materials to Be Used,” which covers erosion control materials.
• When native 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 native 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 vendor’s lab test results. Ensure they
are complete and received in a timely manner.
• Erosion control materials are applied at a specified rate of so many kilograms
or tonnes per hectare. 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 following:
• Through examination, ensure imported topsoil meets the specified
requirements.
• To determine if commercial 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. If necessary, sample the fiber and
perform California Test 226, “Determination of Moisture Content by Oven
Drying.”

• 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.
• Determine whether California prohibited noxious weeds are identified on
the vendor seed label.
• Check the seed lot test date. For purity and germination, the seed must be
tested every twelve months.
• Check seed package labels and other required documentation. Calculate
the weight of pure live seed (PLS) in each sack by referring to Section 4-
2002A (5), “Seed,” of this manual.
• Collect seed samples according to Section 4-2002D, “Seed Sampling,” of
this manual.
• Send the complete package to the Caltran’s contracted seed clearinghouse
in accordance with Section 4-2002D (4), “Sample Preparation, Preservation
and Packaging.” Get the name and address of the clearinghouse at:
http://pd.dot.ca.gov/design/landscape/
• 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 that legume seeds are inoculated as required in the specifications
and that the required time limits are met.
• Ensure the receipt of a Certificate of Compliance for stabilizing emulsion.
When stabilizing emulsion comes in powdered form, the actual mass of the
powdered stabilizing emulsion will be the mass of the solids to be paid for.
When the emulsion comes in liquid form, determine the percent of solids in
the stabilizing emulsion by testing it as required by the Standard
Specifications.
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.
4-2002D Seed Sampling
Use the following guidelines for obtaining samples for testing.
4-2002D (1) 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.
4-2002D (2) Size of Sample

For each seed lot greater than 1kg, take a seed sample of approximately 30
grams.
4-2002D (3) 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, or
mercury treated 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 resealable
plastic lined bag.
4-2002D (4) Sample Preparation, Preservation and Packaging

Sample preservation maintains the intergrity 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 vendor’s 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 vendor’s seed lot test results.
Send (within 24 hours) the sample and documentation via express mail to the
Caltrans contracted seed clearinghouse. The clearinghouse information can be
located at:
http://pd.dot.ca.gov/design/landscape/
4-2002E Quality Assurance Seed Testing Results
Consider the following areas when making determinations about seed.
4-2002E (1) Results
Quality assurance testing results will be provided through Caltrans contracted
seed clearinghouse.
The clearing house will contact 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 identifited 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.
4-2002E (2) 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 6-1.04, “Defective Materials,” in
4-2002F Measurement and Payment
From the weight shown on the certified scale sheets, deduct any leftover straw
not used 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 live seed using the germination and purity rates
of the bulk seed.

4-2003 Highway Planting 4-2003
For the specifications related to highway planting, see Section 20-4, “Highway Highway Planting
Planting,” of the Standard Specifications. Highway planting consists of preparing
areas for planting, applying pesticides, and furnishing, planting, and maintaining
plants.
4-2003A Materials
The following provides some general information on various materials used for
highway planting:
4-2003A (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. For the quantities, see
the plans in the Plant List and Planting Specifications chart or the special provisions.
4-2003A (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.
4-2003A (3) Lumber

Lumber, as described in the specifications, is used for header boards to define
landscaped areas.
4-2003A (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 contractor’s nursery
sources and a change is proposed, seek a recommendation of approval from the
project landscape architect, who will need to review the proposal.
4-2003A (5) Foliage Protectors

Foliage protectors protect newly installed plants from animals or rodents interested
in foraging the various above-ground parts of the plants. Eventually, as the plants
grow larger, the need for foliage protectors decreases. On some projects with lengthy
plant establishment periods, the specifications may require the protectors be removed
before contract acceptance.
4-2003A (6) Root Protectors

Wire mesh root protectors serve a similar purpose as the foliage protectors, providing
below-ground protection from burrowing rodents. The specifications require
removing galvanizing from the wire mesh. Such removal facilitates the
decomposition of the wire mesh in the soil and allows plant roots to grow through
the wire mesh without being girdled or restricted. By the time wire mesh
decomposes, the plant is usually large enough to withstand some root damage
by rodents.
4-2003A (7) Mulch and Compost

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.
On some projects, mulch may be used as part of an approved water pollution
control plan. Mulch has the following benefits:
• Retains soil moisture to assist in healthy plant development
• Acts as a weed barrier
• Aids in the prevention of surface erosion
Section 20-2.08, “Mulch,” of the Standard Specifications, specifies the materials
and size requirements for mulch. Ensure the receipt of a Certificate of Compliance
for mulch.
• To determine the requirements for highway planting, review the plans and
specifications.
• Verify the receipt and proper distribution of Form CEM-3101, “Notice of Materials
to Be Used,” which covers highway planting materials.
• 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.
4-2003B (1) Pesticides

Before any work using pesticides begins, the resident engineer must 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 contractor’s 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 contract 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
harmful pesticides that can be carried to other locations by runoff during
the rainy season.
• Upon completion of the necessary reviews, advise the contractor in writing
that the pest control adviser’s recommendations have been approved subject
to the provisions of Section 7-1.01H, “Use of Pesticides,” of the Standard
Specifications.
4-2003B (2) Plants

Before any work with plants begins, the resident engineer must 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 supplier’s 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 20-2.13, “Plants,” 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.
2. Observe the methods of transporting and storing the plants. Pay particular
attention to the requirements for keeping plants wet. Reject plants that are
dry, 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 earth from the roots of
container-grown plants to determine the condition of the roots. Ensure
enough roots have grown so that the dirt and root ball will hold together
when planting.

5. Do not accept root bound plants. See Figure 4-20.1 “Roots,” for an
example of acceptable and non-acceptable 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 into a larger container or into the ground.
Figure 4-20.1 Roots
Good Roots
Acceptable
Pot Bound Roots

Not Acceptable
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.
7. Ensure plants in larger containers have not recently been transplanted
from a smaller container. Plants should be well rooted 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.
Use the following guidelines to ensure highway planting complies with the
plans and specifications:
4-2003C (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
storm water 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.
4-2003C (2) Pesticides

During pesticide use, the resident engineer must 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 applicator’s 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.
4-2003C (3) Preparing Planting Areas

After roadside clearance, irrigation system installation, trench testing and
backfilling, the preparation of planting areas begins. During this preparation,
the resident engineer must 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 and Planting
Specifications chart 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, and prohibit rubber-tired
equipment on cultivated areas.
• When rocks are encountered in an area of predominantly fine native
materials, most rocks larger than 65 mm 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 contract 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.
4-2003C (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.
4-2003C (5) Planting

Inspect the planting operation, and ensure the requirements specified in the plant list
are met for the following:
• Hole size
• Basin type
• 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 day.
• 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.
Also, the resident engineer must do the following during the course of planting:
• Note all observations, including any pertinent instructions given to the
contractor, in the daily report.
• 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 8-1.06, “Time of Completion,” of the Standard Specifications.
4-2003C (6) Watering

For watering, the resident engineer must 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.
4-2003C (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 contract change
order and obtain concurrence from the project landscape architect.
4-2003C (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 project as specified. Establishment
work begins with each plant after it is planted and watered for the first time.
Therefore, new highway planting must be properly maintained both before and
during plant establishment. During the course of plant establishment, the resident
engineer must do the following:
• When it is necessary to replace poorly cared for plants, order replacement
promptly. 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 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 commercial 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.
4-2003C (8a) Administering plant establishment time requirements:
In administering the time requirements for plant establishment, the resident
engineer must take the actions below.
• 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 plant establishment, credit the contractor with one plant
establishment working day for each day except Saturdays, Sundays,
and legal holidays when plant establishment work is satisfactory.
• Ensure that all required work is complete before beginning to give 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 two 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, prohibit credit.
4-2003C (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, Sundays, or legal holidays as working days, regardless of
weather or other conditions. Track the progress of plant establishment under
“Remarks” in the manner similar to that shown for Type 2 plant establishment
shown in the sample weekly statements of working days in Example 3-8.6 and
Example 3-8.7 in Section 3-8, “Prosecution and Progress,” of the Construction
Manual (manual). Credit all working days as plant establishment days except
for days on which the contractor fails to satisfactorily perform plant establishment.
4-2003C (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, see 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 may specify that highway planting be paid for as a single
lump sum contract item or as individual contract items. Resident engineers and
assistant resident engineers must carefully determine the methods for
measurement and payment for each element of highway planting.
When highway planting is paid for as a single lump sum contract item and the
special provisions specify a “cost breakdown,” ensure the contractor submits
the required information. Until you have approved the cost breakdown, do not
make partial payments for highway planting. Use the cost breakdown to
determine payment for increases and decreases in the units of work within
lump sum contract items for highway planting.
When a lump sum contract item is used for payment, you will usually need to
measure some of the units of work performed to verify the contractor completed
the planned work. Record these units of work in the project records. As an
example of the need to measure a unit of work included in a lump sum item, the
designer may include ground cover in the lump sum contract item for highway
planting. The plans will indicate the number of cuttings to be planted in each
area. You must ensure and document that the correct number is planted by
measuring the cuttings as specified in Section 20-4.09, “Measurement,” of the
Standard Specifications, and recording the result in the daily report.
When a single lump sum contract item is used, you should not need to measure
items such as pipe for supply lines, as long as the plan remains unchanged.
However, you must measure and record quantities of items such as plants,
fertilizer, and mulch.
When individual contract items are used, measure quantities in accordance with
the specified methods.
4-2004 Irrigation Systems 4-2004

Irrigation systems may be manual or automatic, as specified in Section 20-5, Irrigation Systems
“Irrigation Systems,” of the Standard Specifications. The special provisions
may require the installation of radio equipment that can communicate with a
centrally located computer and radio base station.
4-2004A Components of Irrigation Systems
The following are the major components of an irrigation system:
4-2004A (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.
4-2004A (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.

4-2004A (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.
4-2004A (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.
4-2004A (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 activated when any remote control valve is activated.
4-2004A (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.
4-2004A (7) Quick Coupling Valve

A quick coupling valve is used to attach a hose to the irrigation system.
4-2004A (8) Gate Valve

Gate valves are manually operated to shut off water to allow repairs or modifications
to the irrigation system.
4-2004A (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.
4-2004A (10) Emitters and Sprinklers

Emitters are watering devices used with drip irrigation systems. 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.
4-2004A (11) Filter Assembly Unit

Filter assembly units prevent small particles from clogging sprinklers or emitters.
4-2004A (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.
4-2004A (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.
4-2004A (14) Electrical Conduit, 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, the resident engineer must do the following:
Materials to be Used,” which lists all irrigation system materials.
• 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 other’s
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 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 20-5.027B, “Wiring Plans and Diagrams,” of the
Standard Specifications, obtain from the contractor working 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
approval, forward a copy to the contractor with the following written
statement:
“The plans are approved pursuant to Section 5-1.02, Plans and

Working Drawings,” of the Standard Specifications.”
• The Office of Structure Design’s 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
DMETS, 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 conduits 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 contract
change order, if necessary, to pay for additional exploration in accordance
with Section 20-5.03B, “Conduit for Irrigation Crossovers,” of the Standard
Specifications. After the ends of existing conduits for irrigation crossovers are
exposed, examine them for damage. Ensure the conduits are free of
obstructions. Process a contract 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
public 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.
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 to meet with the project landscape
architect. This meeting provides an opportunity to look at the overall layout
of the landscape system and make any desirable changes.

Use the following guidelines to ensure the various components of irrigation
systems are installed and constructed as required:
4-2004C (1) Water Lines and Conduit

During the course of installing water lines and conduit, the resident engineer
• 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 4-2003C(3), “Preparing Planting Areas” in
this section. 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 contract 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
contract 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 manufacturer’s instructions from the
contractor. Observe the installation to ensure the contractor completes it
according to 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 manufacturer’s printed
instructions from the contractor. Ensure the contractor completes solvent
cement welding according to 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 begun 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 tests backflow preventers 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.
4-2004C (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.
• 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 may require irrigation system work to be paid for as a single
lump sum item or as individual contract items.
When a single lump sum item is used for payment and the special provisions specify
a “cost breakdown,” ensure the contractor submits the required information. For
completeness and accuracy, review the cost breakdown. Until you have approved
the cost breakdown, do not make partial payments for irrigation system items. Use
the cost breakdown to determine payment for increases and decreases in the units of
work within lump sum contract items for highway planting.
When irrigation system work is paid for as individual contract items, use the methods
of measurement specified for each contract item.

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 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.
The contract item includes such operations as grading slopes and contour areas to
remove vehicle tracks, obliterating haul roads, removing debris from the pavement,
cleaning out culverts, cleaning culvert markers, guideposts, and signs.
The Standard Specifications’ requirement that the entire roadway and right-of-way
be left in a neat and presentable condition implies that the contractor must pick up
trash and debris on the entire right-of-way. However, this requirement does not mean
that Caltrans can require any clearing or grubbing work outside the limits indicated
in the Standard Specifications unless these limits are modified in the special
provisions. In other words, any brush, structures, foundations, old slabs, or logs in
the area outside of the clearing limits will be removed at Caltrans expense, if required.
Although not specifically mentioned in the Standard Specifications, the contract
item also includes removing stakes and lath used for construction, which present an
unsightly appearance.

• 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.

During the work, take the following steps: During the Course
• Ensure the finishing operations do not result in material stockpiling on or drifting of Work
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 project’s latter stages, when final
cleanup operations can normally begin, give the contractor a written details list
so the contractor can plan to complete them in an orderly and efficient manner.
Do not wait until the date the contractor requests contract acceptance before
pointing out these details.

Finishing Roadway 4-22.1
• If the contractor requests relief from maintenance and responsibility, as provided
in Section 7-1.15, “Relief from Maintenance and Responsibility,” 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.

Measurement In the daily report, record the activities the contractor performs to complete the
and 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
Section 24 Lime Stabilization Lime Stabilization
4-2401 General 4-2401

Lime stabilization increases the stability of native materials. It is particularly effective General
for materials containing a large percentage of clay particles. Lime stabilization results
from spreading lime over the native material and thoroughly mixing it in place. The
specifications also allow off-site mixing. 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.

• 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.
• 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.
• 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 necessary, prepare a contract change order to provide for the removal and
disposal of any oversized material.
• Prohibit lime stabilization when the ambient temperature is below, or expected
to fall below, the specified temperature.

Once work begins, do the following: During the Course
• Ensure the preparation of the material that requires stabilizing conforms to the of Work
requirements in Section 24-1.04, “Preparing Material,” of the Standard
Specifications.
• For each delivery of lime, obtain the Certificate of Compliance and the certified
copy of mass. Obtain samples of the lime at the frequency rate shown in Section
6-1, “Sampling Types and Frequencies,” of the Construction Manual.
• Observe the spreading of the lime to determine that the equipment and method
used meet the specified requirements.

Lime Stabilization 4-24.1
• 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 (2 to 3 m)
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 would 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, to pass over the
native material.
• When the lime and the material to be stabilized are mixed off-site, ensure the
contractor complies with the same requirements for moisture content,
thoroughness of mixing, thickness, compaction, and grade tolerance. Require
the contractor to trim loose material from transverse and longitudinal construction
joints before placing freshly mixed material against them.
• During the mixing operation, 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 nonuniform color, require the contractor to perform additional mixing.
• Ensure the depth of mixing meets the required thickness of the stabilized material.
• 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 24-1.07, “Compaction,” of the

4-24.2 Lime Stabilization
• 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 seal.
• Ensure the contractor uses the specified asphaltic emulsion for the curing seal.
Also, obtain the necessary certificates of compliance and samples.
• Ensure the contractor meets the time and temperature requirements for the curing
seal. Order any necessary repairs to the damaged curing seal.
• Decide the curing seal’s 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
seal’s 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. If the contractor has added
additional lime to compensate for a lower degree of compaction (as provided for in
the specifications), make the required adjustment to the scale weights of the lime.
Measure the quantity of curing seal in accordance with Section 94, “Asphaltic
Emulsion,” of the Standard Specifications.

Lime Stabilization 4-24.3
Section 25
Section 25 Aggregate Subbases Aggregate
Subbases
4-2501 General 4-2501
Aggregate subbase is designated by class. The Standard Specifications describe the General
requirements for each class, and the contract will specify the class of aggregate
subbase to be used.
Aggregate subbase is normally the lowest layer in the structural section, as the contract
plans show in their typical cross sections. The typical cross sections also show the
thickness of aggregate subbase. The plan layout sheets will show where aggregate
subbase is to be placed.
Aggregate subbase may be measured by volume or by mass. The engineer’s estimate
will show the unit of measurement for aggregate subbase.

Before placement begins, review the contract plans and specifications to determine Before Work Begins
the requirements for aggregate subbase. For the requirements for sampling and testing
aggregate base, including frequency of testing, see Chapter 6, “Sampling and Testing,”
of the Construction Manual (manual).
The engineer should also include in the preliminary review and inspections the
following steps:
• Verify the Design R-value by testing the basement material at the grading plane
to ensure adequate thickness of the structural section. Testing should be completed
early enough before the placement of aggregate subbase to allow time for redesign
if necessary. (See Topic 604 in the Highway Design Manual for a discussion of
R-Value and structural section design.) Any necessary adjustments in thickness
are usually made in the subbase.
• Test potential sources of aggregate subbase when the contractor requests such
testing in writing. When Section 6-2.01, “General,” of the Standard Specifications
requires charging the contractor for initial samples and tests, deduct any
applicable charges from contract payments.
• If reclaimed material is being used for the aggregate subbase, ensure the
percentage of reclaimed material complies with contract requirements.
• Review compaction tests of the basement material at the grading plane that is to
receive aggregate subbase. Ensure the basement material is still firm and stable.
Give special attention to isolated areas where pumping occurs.
• Measure the grading plane for compliance with Section 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. District personnel will determine the extent of this measurement, based
on various factors such as the nature of material, the efficiency of the contractor’s

Aggregate Subbases 4-25.1
operation, and the accuracy of the grading operation (as indicated during the
early stages of checking). Section 19-1.03 specifies tolerances above or below
the grade established by the engineer. This grade will be one resulting from the
control stakes placed by Caltrans forces.
• If the contractor proposes to change the method of measurement from mass to
volume, in accordance with Section 25-1.03, “Subgrade,” of the Standard
Specifications, to eliminate subgrade preparation, do the following:
1. Test the material immediately below the grading plane to determine
whether it meets all the specifications for aggregate subbase. District
personnel will determine the number of such tests depending on the
uniformity of the material. The contractor may choose to just leave the
subgrade low and fill the low area with the imported aggregate subbase.
Ensure the contractor complies with Section 19-5.03, “Relative
Compaction (95 Percent),” and Section 25-1.05, “Compacting,” of the
2. Ensure no material projects above the grade established by the engineer.
3. For payment, prepare a contract change order (requested by the contractor)
establishing a factor to convert volume to mass. Obtain the contractor’s
agreement before proceeding.
• Give the contractor written permission if you decide that, to stabilize a
cohesionless subgrade, the aggregate subbase may be dumped in piles and spread
ahead.
• Determine whether the contractor has complied with all requirements related to
the use of local materials. (See Section 6-2, “Local Materials,” of the Standard
Specifications for details.)

During the Course During work operations, the engineer should do the following:
of Work • Sample the aggregate subbase at the time it is deposited on the roadbed. For all
requirements related to quality, perform the tests at the frequencies shown in
Section 6-1, “Sampling Types and Frequencies,” of this manual. The frequency
table does have a provision for waiving the testing for R-value, but exercise
judgement when doing so. Previous tests must be current. For small amounts
(under 500 tonnes), data from other projects or information from your district’s
laboratory is normally 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.
• The contractor is not allowed to process material on the roadbed to make it
comply with grading specifications. Therefore, before aggregate subbase is
deposited on the roadbed, ensure the removal of oversized material and also do
any necessary blending.
• 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
that may be represented by one test for contract compliance is much less than

4-25.2 Aggregate Subbases
that required for testing frequency. It is prudent to take frequent samples,
especially with borderline test results, but only test on 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 samples, previously taken, to
determine the quantity of material represented by the failing test result.
• When aggregate subbase is to be paid for by the tonne, take sufficient moisture
samples at the time of weighing to accurately determine pay quantities.
• Ensure aggregate subbase is being spread on the subgrade without significant
segregation. Normally, you would perform this step through observation, but if
problems persist, support your observations with a sieve analysis. If segregation
is taking place, sometimes it can 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 it conforms to the
layer thickness requirements of the specifications. Note in the daily report any
wasting of material.
• If payment is by the tonne, measure waste, and deduct such quantities. Advise
the contractor immediately when you are considering such deductions. However,
some material may be lost during any trimming, and district personnel will decide
when such trimmings should be measured. In general, measure trimmings when
the cost of such measurement does not exceed the anticipated deduction.
• Test the compaction of aggregate subbase layers. The testing frequencies shown
in Section 6-1 of this manual indicate testing will be “as necessary for
acceptance.” The decision on how much testing is necessary will be based on
the material’s uniformity and the particular operation. Generally, if the operation
is uniform and well within specifications, you may decrease testing frequencies.
For nonuniform operations with borderline results, increase testing frequency.
• For Class 1, 2, and 3 aggregate subbase, observe the compacting operation to
ensure the material forms a firm, stable base.
• Measure the surface of the finished aggregate subbase for conformance with
tolerances specified in Section 25-1.05, “Compacting,” of the Standard
Specifications. Control stakes set by state forces determine the planned elevation
of the subbase surface. Require corrective action for any deficiencies.
• Measure the thickness of the completed aggregate subbase. Use your judgement
to determine the number of measurements necessary. The minimum acceptable
thickness of aggregate subbase equals the planned thickness less the specified
tolerances for high basement material and low surface of aggregate subbase. A
thin section is acceptable if the deficiency is made up by additional thickness in
a base material above the aggregate subbase. 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 thickness complies with
requirements by ordering corrective action if thickness is deficient. Therefore,
in only the most extenuating circumstances should you apply the deduction.
• Keep adequate records for payments on progress pay estimates and on final
estimates. The type and frequency of measurement will depend on the
measurement and payment clauses of the contract.

Aggregate Subbases 4-25.3
• 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 in accordance with specified layer thicknesses because this
information is not recorded elsewhere.

Measurement and When aggregate subbase is paid for by the tonne, see the discussion of weighing and
Payment measuring procedures in Section 3-9, “Measurement and Payment,” of this manual.
When aggregate subbase is to be measured and paid for by the cubic meter, begin
making quantity calculations as early in the project as possible. Obtain quantity
calculations from Project Development to determine if they are sufficiently detailed
and accurate to be used in the project records.

4-25.4 Aggregate Subbases
Section 26
Section 26 Aggregate Bases Aggregate Bases
4-2601 General 4-2601

The contract will define the class of aggregate base to be used, the dimensions to General
which it is to be placed, and the specific unit of measurement. For the requirements
for sampling and testing aggregate base, including frequency of testing, see Chapter
6, “Sampling and Testing,” of the Construction Manual (manual).

Before work begins, review the contract plans and specifications to determine the Before Work Begins
requirements for aggregate base
The engineer should also include in the preliminary review and inspections the
following steps:
• If the contractor is to place the aggregate base on original ground, verify the
Design R-value by testing the basement material at the grading plane to ensure
adequate thickness of the structural section. Testing should be completed early
enough before the placement of the aggregate base to allow time for redesign if
necessary. (See Topic 604 in the Highway Design Manual for a discussion of R-
Value and structural section design.) Any necessary adjustments in thickness
are usually made in the aggregate base.
• Test potential sources of aggregate base when the contractor requests such testing
in writing. When Section 6-2.01, “General,” of the Standard Specifications
requires charging the contractor for initial samples and tests, deduct any
applicable charges from contract payments.
• If reclaimed material is being used for the aggregate base, ensure the percentage
of reclaimed material complies with contract requirements.
• 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.
Ensure that the material underlying the grading plane is still firm and stable.
Special attention is required in isolated areas where pumping occurs.
• For specification compliance, measure the subgrade of the aggregate base. When
measuring for compliance, spot-check areas between stations where stakes are
set as well as at the staked locations. District personnel will determine the extent
of this measurement, based on various factors such as the nature of the material,
the efficiency of the contractor’s operation, and the accuracy of the grading
operation (as indicated during the early stages of checking). For subgrade, the
specifications specify tolerances above or below the grade established by the
engineer. This will be the grade resulting from the control stakes placed by
Caltrans forces.
• Give the contractor written permission if you decide that, to stabilize a
cohesionless sand subgrade, the aggregate base may be dumped in piles and
spread ahead.

Aggregate Bases 4-26.1
• Determine whether the contractor has complied with all requirements related to
the use of local materials. (See Section 6-2, “Local Materials,” of the Standard
Specifications for details.)

During the Course During work operations, the engineer should do the following:
of Work • Sample the aggregate base at the time it is deposited on the roadbed. For all
requirements related to quality, perform the tests at the frequencies shown in
Section 6-1, “Sampling Types and Frequencies,” of this manual. The frequency
table does have a provision for waiving the testing for R-value, but exercise
judgement when doing so. Previous tests must be current. For small amounts
(under 500 tonnes), data from other projects or information from your district’s
laboratory is normally 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.
• The contractor is not allowed to process material on the roadbed to make it
comply with grading specifications. Therefore, before the aggregate base is
deposited on the roadbed, the contractor must remove any oversized material
and do any necessary blending.
• 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
that may be represented by one test for contract compliance is much less than
that required for testing frequency. It is prudent to take frequent samples,
especially with borderline test results, but only test on 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 samples, previously taken, to
determine the quantity of material represented by the failing test result.
• When aggregate base is to be paid for by the tonne, take sufficient moisture
samples at the time of weighing to accurately determine pay quantities.
• Observe the spreading operation to ensure it complies with the requirements.
Note in the daily report any wasting of material. Ensure aggregate base is being
spread without significant segregation. Normally, you would perform this step
through observation, but if problems persist, support your observations with a
sieve analysis.
• If payment is by the tonne, measure waste and deduct such quantities. However,
some material may be lost during any trimming, and district personnel will decide
when such trimmings should be measured. In general, measure trimmings when
the cost of such measurement does not exceed the anticipated deduction.
• Test the compaction of aggregate base layers. The testing frequencies shown in
Section 6-1 of this manual indicate testing will be as necessary for control. District
personnel will decide how much testing is necessary, based on the material’s
uniformity and the particular operation. Generally, if the operation is uniform
and well within specifications, you may decrease testing frequency. For
nonuniform operations with borderline results, increase testing frequency.
• Observe the compacting operation to ensure the material forms a firm, stable
base.

4-26.2 Aggregate Bases
• Measure the surface of the finished aggregate base for conformance with
tolerances specified in Section 26-1.05, “Compacting,” of the Standard
Specifications. Control stakes set by Caltrans forces determine the planned
elevation of the aggregate base surface. Require corrective action for any
deficiencies. Measure the thickness of the completed aggregate base. Use your
judgement to determine the number of measurements necessary. The minimum
acceptable thickness equals the planned thickness less the sum of the specified
high tolerance on the aggregate base subgrade and low tolerance for the surface
of aggregate base.
• 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
thickness complies with requirements by ordering corrective action if thickness
is deficient. Therefore, in only the most extenuating circumstances should you
apply the deduction. Keep adequate records for payments on progress payment
estimates and on 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 in accordance with specified layer thickness because this
information is not recorded elsewhere.

When aggregate base is paid for by the tonne, see the discussion of weighing and Measurement and
metering procedures in Section 3-9, “Measurement and Payment,” of this manual. Payment
When aggregate base is to be paid for by the cubic meter, begin making quantity
calculations as early in the project as possible. Obtain quantity calculations from
Project Development to determine if they are sufficiently detailed and accurate to be
used in the project records.

Aggregate Bases 4-26.3
Section 27 Cement Treated Base
4-2701 General

4-2703A Road-Mixed CTB
4-2703B Plant-Mixed CTB
4-2703C Depositing and Spreading CTB
4-2703D Compacting CTB

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, General
and 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. The special provisions will specify
the class, mix method, and possibly the spreading method.

• Hold a preproduction meeting with the contractor and the district materials unit
to discuss the contractor’s method of operations.
• From the special provisions or plans, 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 contractor’s 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:
1. Increase cement content if the seven-day compressive strength of initial
samples is less than approximately 6.9 Mpa.
2. Decrease cement content if the seven-day compressive strength of initial
samples at the percent specified is more than approximately 8.6 Mpa.

Cement Treated Bases 4-27.1
• Verify that safe and convenient facilities have been provided for sampling cement.
• In accord with the State Contract Act, verify that the material and aggregate
source complies with the Surface Mining and Reclamation Act of 1975
(SMARA). Mining operations determined to be in compliance are listed on the
AB 3098 SMARA Eligible List. You can obtain this list from the Division of
Construction or the Department of Conservation’s web site at http://
www.consrv.ca.gov/omr/SMARA/3098-list. Also, see Section 7-103D to
determine if the proposed materials site is exempt from SMARA.
• If the contractor will be batch mixing, examine the mixer before use and call to
the contractor’s 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 During the work, do the following:
of 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 the Construction Manual (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 contractor’s 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.
4-2703A Road-Mixed CTB
For road-mixed CTB used during the course of work, do the following:
• If you think the quantity being placed obviously is not sufficient to complete the
required structural section thickness, advise the contractor. Record any
conversation in your daily report.

4-27.2 Cement Treated Bases
• 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 doesn’t 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 mixture’s moisture content
does not fall below one percentage point from optimum.
• For multilayer construction, ensure the contractor mixes and compacts each layer
separately.
4-2703B Plant-Mixed CTB
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
mixture’s moisture content does not fall below one percentage point from
optimum.
• 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 CTB
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.
• 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.

Cement Treated Bases 4-27.3
• 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 CTB
During the compacting of CTB, do the following:
• Measure the operation’s total time interval to ensure it conforms to Section 27-
1.08, “Operation Time Requirements,” 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 contract 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 tonne, refer to the discussion of weighing and
metering procedures in Section 3-9, “Measurement and Payment,” of this manual.
Make any appropriate deductions for excess moisture.
• When CTB is to be paid for by the cubic meter, 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
Section 28 Lean Concrete Base Lean Concrete
Base
4-2801 General 4-2801
Lean concrete base is normally used under portland cement concrete pavement and General
is more rigid and 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 portland cement 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 600 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 engineer’s on-site inspection duties. For
information on producing and transporting lean concrete base, see Section 4-90,
“Portland Cement Concrete,” of the Construction Manual (manual).

• For general requirements, review the Standard Specifications and plans. For
any special requirements, review the special provisions.
• Review the engineer’s estimate of quantities to verify accuracy.
Materials to Be Used,” which lists the aggregate, cement, and curing compound
for lean concrete base.
• Section 28-1.01, “Description,” of the Standard Specifications, specifies the
cement content for lean concrete base. After testing the contractor’s proposed

Lean Concrete Base 4-28.1
aggregate supply, the cement content may be increased. To test the proposed
aggregates in accordance with Section 28-1.02, “Materials,” of the Standard
Specifications, take the following steps:
1. Obtain in writing the contractor’s proposed grading and source of aggregate.
2. In accord with the State Contract Act, check to ensure the aggregate’s source
site is permitted and complies with the Surface Mining and Reclamation Act
of 1975 (SMARA). Mining operations determined to be in compliance are
listed on the AB 3098 SMARA Eligible List. You can obtain this list from
the Division of Construction or the Department of Conservation’s web site at
http://www.consrv.ca.gov/omr/SMARA/3098-list. Also, see Section 7-103D
to determine if the proposed materials site is exempt from SMARA.
3. Well in advance of the 45-day requirement for making aggregates available
for sampling, contact the Office of Engineering Materials and Testing Services
(METS) to determine whether METS is reviewing the cement content for
the base. It is the resident engineer’s responsibility to ensure this process has
begun. 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.
5. If METS has received Form CEM 3101, “Notice of Materials to Be Used,” it
will probably have initiated action to determine the cement content. If METS
needs aggregate testing samples, the resident engineer will be advised. Either
district materials laboratory personnel or project personnel may obtain the
samples.
6. METS will notify the resident engineer of the cement content to be used. In
accordance with Section 28-1.10, “Payment,” of the Standard Specifications,
if the amount to be used is greater than the specified content, prepare a contract
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.

4-28.2 Lean Concrete 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 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, “Portland Cement 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 portland cement concrete pavement or asphalt concrete pavement. When the
overlying surface is portland cement concrete, the specifications require a much
higher percentage of paraffin wax in the curing compound than that required for
an overlying surface of asphalt concrete.
• The curing compound for an overlying surface of portland cement concrete 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 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 contractor’s proposed placement
method to ensure adequate time.
• Before placing the lean concrete base, ensure the subgrade is uniformly moist.

During the Course Once work begins, take the following steps:
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.
• For placing lean concrete base and applying curing compound, ensure the
subgrade is not frozen and the ambient temperature is above the minimums
required.
• 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, “Portland Cement 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 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
conforms 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 asphalt concrete must have a rough texture to prevent

4-28.4 Lean Concrete Base
slippage between surfacing and base. Lean concrete base to be surfaced with
portland cement 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 the invoice contains the specified information. Determine if
the supplied material is on the approved list of curing compounds. (For a list of
approved compounds, see the district materials engineer or the responsible unit.)
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 Material and Sampling Methods,” 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.
• 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 seal’s 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.
• After the curing seal has been applied, decide whether it is necessary to fog the
lean concrete base as described in Section 90-7.02, “Curing Pavement,” of the
• 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 7-1.02, “Load Limitations,” of the Standard
Specifications, which covers the use of the completed lean concrete base by
traffic or the contractor’s equipment.

Using the dimensions shown on the plans, calculate the quantity of lean concrete Measurement and
base for which payment must be made. In these calculations, account for curves in Payment
alignment by using curve corrections.

Section 4-29 Treated Permeable Bases
4-2901 General

4-2903A Asphalt-Treated Permeable 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 Bases
4-2901 General 4-2901
Treated permeable base, used under portland cement concrete pavement and under General
asphalt concrete 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 asphalt concrete, portland cement concrete, and portland cement concrete
pavement.

• 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 contractor’s plant and storage areas to determine contract
compliance. Section 4-39 “Asphalt Concrete” and Section 4-90 “Portland Cement
Concrete,” of the Construction Manual (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 material (CTPB).

Treated Permeable Bases 4-29.1
During the Course During the work, follow the inspection steps listed within each of the four areas
of Work below:
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 68-3.03, “Installation,”
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.
• Reject any segregated or nonuniformly 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
7-1.02, “Load Limitations,” 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 to order removal and replacement of or to permit low-treated
permeable base to remain in place. Formulas using infiltration rates found in Topic
606 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 Measurement and
the plans adjusted by the amount of any changes. The volume of treated permeable Payment
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


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 General
and slurry seals.
Seal coats are either fog seals, an application of asphaltic emulsion with added water,
or asphaltic emulsion and screenings (commonly known as “chip seals”).
Slurry seal is a mixture of graded fine aggregate, asphaltic emulsion, water, and set-
control additives.
In addition to the bituminous seals provided for in the Standard Specifications, the
special provisions may provide for hot-applied seal coat (polymer-modified asphalt),
asphalt-rubber seal coat, parking lot seal coat, or asphalt rejuvenating agent. This
section will discuss the duties of resident engineers and assistant resident engineers
regarding seal coats and slurry seals.
For the most part, bituminous seals are 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.
4-3702 Seal Coats 4-3702

The following covers the duties required throughout each phase of the project for Seal Coats
seal 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, the requirements for aggregates,
and any special details. Special details may include local agency requirements
with regard to air quality and other environmental restrictions. Decide whether
any conditions have changed from those upon which the design engineer based
the requirements, and make any necessary changes.
Materials to Be Used,” which lists seal coat materials.
• In accord with the State Contract Act, ensure the aggregate comes from a
permitted source site that complies with the Surface Mining and Reclamation
Act of 1975 (SMARA). Mining operations determined to be in compliance are
listed on the AB 3098 SMARA Eligible List. You can obtain this list from the
Division of Construction or the Department of Conservation’s web site at http:/
/www.consrv.ca.gov/omr/SMARA/3098-list. Also, see Section 7-103D to
• Obtain initial samples of screenings and test them for all of the specified attributes.
Advise the contractor of the test results, with particular reference to any
deficiencies that must be corrected.

Bituminous Seals 4-37.1
• Examine the surface to be sealed. Prepare a contract 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 judgement 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 minimums
specified.
• Be prepared to receive the latest weather reports, and have a means established
for making contact with the contractor’s authorized representative before 4:00
p.m. on the day before the intended workday. Note that the specification for
notification of anticipated unsuitable weather conditions applies to both fog seals
and chip seals. Prepare a contract 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.
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 the Construction Manual
(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 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.

4-37.2 Bituminous Seals
• 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, if volumetric measurements are to be used to determine pay
quantities, on source documents.
• 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 meters. 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 the
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, and 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
relationship between the quantity of asphalt required to the size of the cover
material.

• 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 performs the rolling in the specified order and for the
required number of coverages. Also, ensure the contractor does not spread the
binder and screenings more than 760 m ahead of the completion of the initial
rolling.
• 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.
• Decide on the amount of water to be sprinkled on a fog seal that becomes tacky,
and advise the contractor accordingly.
• 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.

4-3703 Slurry Seal 4-3703
The following covers the duties required throughout each phase of the project for Slurry Seal
slurry seal.
Materials to Be Used,” which lists slurry seal materials.
• Receive and review the mix design and laboratory tests from the contractor.
After determining that the design and test results conform to the requirements in
Section 37-2.03, “Mix Design,” of the Standard Specifications, approve the mix
design in a timely manner. Determine the percentage of asphalt binder to be
used and notify the contractor.
• In accord with the State Contract Act, ensure the aggregate comes from a
permitted site that complies with the Surface Mining and Reclamation Act of
1975 (SMARA). Mining operations determined to be in compliance are listed
on the AB 3098 SMARA Eligible List. You can obtain this list from the Division
of Construction or the Department of Conservation’s web site at http://
• Obtain initial samples of the aggregate, and test the samples for the specified
attributes. Advise the contractor of the test results.
• Examine the surface to be sealed. Prepare a contract 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.
• Examine the proposed mixing equipment to ensure compliance with the
specifications. Mixer-spreader trucks must be calibrated for each material source
in accordance with California Test 109, “Test for Weighing and Measuring
Devices.” 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.
• 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.
• Review the project to ascertain all requirements for handling traffic. Review
with the contractor the required traffic control system and traffic control devices.
• Advise the contractor of the exact spread rate to be used.
Once work begins, take the following steps:
• 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 amount of material
represented, 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 37-2.04, “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.
For measurement and payment, do the following:
• 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.

Section 39 Asphalt Concrete
4-3901 General

4-3902A General
4-3902B Initial Sampling and Testing
4-3902C Design of Mixes
4-3902D Plant Operations
4-3902E Street Operations

4-3903A Plant Operations
4-3903B Street Operations

Asphalt Concrete 4-39.i
Section 39
Section 39 Asphalt Concrete Asphalt Concrete
4-3901 General 4-3901

Producing a specified asphalt concrete pavement is complex, normally requiring General
various Caltrans employees working as a team to accomplish the desired result. The
resident engineer must clearly communicate assignments of responsibility (and
commensurate authority) for all personnel and also ensure adequate communication
among personnel at the job site and personnel at the plant.
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.
The Manual for Quality Control and Quality Assurance for Asphalt Concrete covers
quality control quality assurance (QCQA) projects. Before these projects begin, the
resident engineer should contact the district or the headquarters QCQA coordinator.
4-3902 Before work begins 4-3902

The following guidelines apply to non-QCQA projects. (For QCQA projects, refer Before work begins
to the Manual for Quality Control and Quality Assurance for Asphalt Concrete.)
4-3902A General
Perform the following before work begins:
Materials to Be Used,” which covers materials to be used for asphalt concrete
paving.
• Determine if the contractor intends to use an optional tapered notched wedge
device to install a tapered longitudinal joint between traffic lanes. (Refer to Sheet
P70 of the Standard Plans for the use requirements).
• Contact the Office of Materials Engineering and Testing Services (METS) for
technical support if the tapered notched wedge device is used.
• To determine the required type of asphalt concrete or asphalt concrete base,
review the plans, special provisions, and Standard Specifications. Pay particular
attention to any special requirements and to the type of asphalt binder specified.
• Decide whether field conditions (such as climate or types or sources of material)
require any changes in the specified materials. In making such decisions, consider
issues such as the designer’s intent as well as items such as preliminary test
reports or previous experience with local sources.
• For information on the uses of various asphalts and the design and production of
asphalt concrete, refer to Principles of Construction of Hot-Mix Asphalt

Asphalt Concrete 4-39.1
Pavements, published by the Asphalt Institute. Personnel responsible for asphalt
concrete must familiarize themselves with the information in this manual.
• If changes in the contract are necessary, determine these changes as far in advance
of the operation as possible to avoid inconvenience and extra expense. Such
changes must be covered by a contract change order.
• Determine whether automatic batching will be required for the contract in
question. Automatic batching is required for most asphalt concrete projects and
is always required for QCQA projects.
• Review the contract’s measurement and payment clauses, and decide what records
must be kept.
• With plant inspection staff and assistant resident engineers, review Form CEM-
3501, “AC Production/Placement Checklist,” and determine how often the form
will be used.
• In the interest of economy, determine whether the plants from which the asphalt
will be obtained are presently producing material under the same specifications
for another Caltrans project. If so, decide whether you can waive initial sampling
and testing. Note such a decision in the daily report, and notify the contractor in
writing.
4-3902B Initial Sampling and Testing
Before work begins, take the following steps related to initial sampling and testing:
• For mix design and to determine other specified attributes, obtain samples of
aggregates. The sizes of the samples are shown in the tables in Section 6-1,
“Sample Types and Frequencies,” of the Construction Manual (manual).
• The contractor must furnish the aggregate gradation for each mix to be used on
the project. Also, the contractor must furnish samples of processed aggregates,
which will undergo testing to ensure compliance with specifications and to permit
completion of the mix design. If the contractor changes the source of aggregate,
new samples, gradings, and proportions must be furnished. When asphalt concrete
will be produced from established sources, the resident engineer may allow the
contractor to use the same source, gradings, and proportions as those approved
for, and used on, another project. In this case samples are not required.
• Ship the samples to the district materials laboratory, where they will be processed
according to the instructions you must include on Form TL-0101, “Sample
Identification Card.” Your objective is to ensure the laboratory specifies the
asphalt content percent that will be maintained during asphalt production.
• When you propose to use an asphalt binder other than the one specified, advise
the district materials laboratory so that the laboratory will base the design on the
binder to be used.
4-3902C Design of Mixes
Before work begins, take the following steps related to the design of mixes:
• The district materials laboratory designs asphalt concrete mixes based on initial
samples. As the sampler, you must advise laboratory personnel (usually through
your notes on Form TL-101, “Sample Identification Card”) of exactly what a
sample must undergo. In addition, your notes will help to inform construction

4-39.2 Asphalt Concrete
personnel what the laboratory did to evaluate an initial mix design for the asphalt
concrete.
• Without specific instructions, the district materials laboratory will design a mix
based on a smooth grading curve located near the center of the grading envelope.
In completing the mix design, request the laboratory to use the combined grading
furnished by the contractor.
• For details about mix design, refer to Principles of Construction of Hot-Mix
Asphalt Pavements.
4-3902D Plant Operations
Before production, check the following specified attributes of the asphalt plant:
• Ensure that storage meets specifications by observing the aggregate storage areas
and facilities. When specifications require that the various aggregate sizes be
stored separately, require physical separation, either by space between stockpiles
or by some type of wall that will provide positive separation.
• Determine whether the stockpiled aggregate is similar to material upon which
the design was based.
• Check that weighing equipment on the plant meets specifications. Ensure scales
and meters are sealed or tested as required. For additional details, see Section 3-
90E, “Weighing and Metering Procedures,” in this manual. Particularly note the
responsibilities of assistant resident engineers (plant inspectors) and the district
weights and measures coordinator.
• The district materials laboratory must test and, if appropriate, approve all scales,
interlocks, and meters in accordance with California Test 109, “Test for Weighing
and Measuring Devices.”
• Determine whether the plant has a temperature-sensing device on the drier. The
temperature-sensing device will be a recording pyrometer. Temperatures are
recorded on paper in graph form or as electronic data.
• The sensing element of the temperature-sensing device should protrude into the
main stream of aggregate or the completed mix in the continuous mixing plants.
The device should be located where it is not affected by wind, heat reflected
from the burner, or other sources of heat.
• To check the accuracy of the temperature-sensing device, insert the device, along
with an accurate thermometer, in an asphalt bath that is heated slowly above the
temperature range expected of the dried aggregate. Compare the readings of the
two instruments. The two readings should match very closely if the temperature-
sensing device is to work within the specified tolerance under less than ideal
conditions.
• The district weights and measures coordinator will have a standardized
thermometer. Check the plant inspector’s thermometer against the standardized
one.
• Ensure the plant has a functional dust-collection system.
• When the plant uses supplemental fine aggregate or dust collected in baghouses,
ensure the plant can store and proportion such material in the specified manner.
• Ensure provisions exist for safely obtaining representative bin samples of the

aggregates, including a means to lower the samples from the sample deck.
• Ensure the asphalt storage tanks are calibrated to meet specifications.
• Ensure asphalt binder is stored in a way that prevents different grades of asphalt
from intermingling.
• To maintain the asphalt at the required temperature, ensure all storage tanks,
transfer lines, and pumps have heating coils or are jacketed and heated.
• As specified, ensure a sampling outlet valve is installed in the feed line (not in
the return line). The valve should be insulated and heated, if necessary, to prevent
plugging the valve with cold asphalt.
• Ensure the required asphalt temperature-sensing device is installed in the asphalt
feed line as specified.
• Determine if the batch plants have the following additional specified attributes:
1. Provisions for the binder to be introduced uniformly at the specified
location.
2. A timing device that indicates by an audible or visual signal the end of the
mixing period. Ensure the system is in working order and accurate to the
specified degree.
• Ask the district weights and measures coordinator or plant specialist for a detailed
preproduction inspection and calibration of continuous mix and batch asphalt
concrete plants.
• Based on initial samples and tests, provide the contractor with the amount of
asphalt binder to be used.
4-3902E Street Operations
Before work begins, take the following steps related to street operations:
• Review “Placing Hot-Mix Asphalt” in the Principles of Construction of Hot-
Mix Asphalt Pavements manual. This manual covers the many aspects of good
paving practice.
• Ensure that subgrade has been prepared as specified. Decide whether asphalt
concrete is to be spread over an existing surface to level irregularities. Advise
the contractor if leveling is required and also of the method of payment.
• Decide whether prime coat, tack coat (paint binder), or both (including type and
grade) should be applied. Base your decision on your judgment and experience.
Also consider atmospheric conditions in selecting the material to be applied.
Refer to the discussions of prime coat and tack coat (paint binder) in “Placing
Hot-Mix Asphalt” in Principles of Construction of Hot-Mix Asphalt Pavements.
• When prime coat or tack coat is to be used, advise the contractor of this fact and
also of the number of applications, the exact application rate, and how far in
advance of the surfacing operation the coat may be placed.
• Ensure asphalt distributor trucks have the specified attributes. For prime coat
and paint binder placement guidelines, see Section 4-92, “Asphalts,” Section 4-
93, “Liquid Asphalts,” and Section 4-94, “Asphaltic Emulsions,” of this manual.
• Ensure the spreading equipment has the specified attributes. Pay particular
attention to pavers that are variable in width, to ensure that spreading and

compacting components (roller, tamper, or other suitable devices) extend for
the full width of the traffic lane to be paved. Permit wings, or other spreading
devices, only for areas not requiring an asphalt paver, and then only for such
widths (usually less than 1.5 m) as will not adversely affect the surfacing on the
traffic lane.
• Ensure rollers have the specified attributes. Ensure the specified number of rollers
will be used, unless other compaction requirements are noted in the special
provisions.
• If the contractor intends to use equipment other than the specified rollers to
compact asphalt concrete, contact the district construction office to determine
whether this equipment has been evaluated in accordance with California Test
113, “Evaluating the Capabilities of Asphalt Concrete Compactors”. The district
construction office maintains a listing of all compaction equipment that has been
evaluated in accordance with the test. The Division of Construction notifies
each district construction office of changes or additions. The listing also includes
the operating conditions under which the equipment qualified. The contractor
may use qualified equipment in the work without further testing provided the
contractor adheres to the operating conditions set forth. If the proposed equipment
is not listed, request the flexible pavement unit of the Office of Materials
Engineering and Testing Services (METS) to evaluate the equipment.
• When compaction specifications for asphalt concrete are in effect, ensure that
properly calibrated nuclear density gauges are available for the necessary
compaction tests.
• Determine the atmospheric temperature, and prohibit the placing of asphalt
concrete when applicable temperatures are below the minimum. Before
placement, closely monitor local weather forecasts and conditions. Even a light
drizzle can adversely affect the final product.
• For procedures to follow when resurfacing under structures that will result in
reduced clearances, refer to Section 3-705B, “Clearance and Bridge Permit Rating
Changes (Permanent),” of this manual.
• Before they take mat samples, ensure field engineers involved in asphalt concrete
paving are certified through California Test 125, “Methods for Sampling Highway
Materials and Products Used in the Roadway Structural Sections.”

The following guidelines apply to non-QCQA projects. (For QCQA projects, refer During the Course
to the Manual for Quality Control and Quality Assurance for Asphalt Concrete.) of Work
4-3903A Plant Operations
During the course of work, take the following steps related to plant operations:
• For the asphalt concrete plant, maintain a daily record with the information
required in Section 39, “Asphalt Concrete,” of the Standard Specifications. File
a copy of this information under Category 35, “Asphalt Concrete,” in the project
records.
• Ensure that production rates in continuous mix plants do not exceed those rates
established during the aggregate weigh belt and asphalt meter calibration
(California Test 109).

• Ensure that the proportioning equipment is interlocked as specified. For details
on checking the interlock, refer to Section 4-9003A, “Proportioning and Mixing
Operations,” of this manual. This procedure is the same for asphalt concrete
plants as it is for portland cement concrete plants.
• Observe the overall plant operation to ensure the contractor controls dust or
smoke as specified. Request the contractor to correct any obvious violation and
to cease any operation that is causing damage to adjacent property or to the
asphalt concrete mixture.
• For each truckload of paving asphalt or liquid asphalt, obtain the required test
report. Compare the report with the specifications. Shipments may be used before
Caltrans samples and tests them if certificates of compliance accompany the
shipments.
• Obtain a sample of asphalt binder and ship it to METS for testing as detailed in
Section 6-2, “Acceptance of Manufactured Material and Sampling Methods,”
of this manual.
• Ensure aggregate is stored separately, according to the specified sizes. If any
segregation, degradation, or intermingling occurs, require the contractor to empty
the storage facility and to waste or rescreen the material.
• Ensure supplemental fine aggregate remains dry and is stored separately as
specified.
• Before mixing with asphalt, obtain samples of the aggregate in accordance with
the frequency shown in Section 6-1, “Sample Types and Frequencies,” of this
manual. Do not use aggregate samplers that do not safely produce a manageable-
sized sample.
• When grading test or sand equivalent results exceed the limits for contract
compliance, determine whether the asphalt concrete represented by the test is to
remain in place or be removed. Note the decision in the daily report.
• Keep adequate records for removed material or material that remains in place
but exceeds the grading limits for contract compliance. Do not make payment
for material removed from the work. Also, ensure the specified deduction is
taken for material that is allowed to remain in place even though it exceeds the
grading limits for contract compliance.
• Ensure the temperature of the asphalt binder, aggregate, and completed mix are
within the specified ranges.
• Ensure the batch size and feed rates do not exceed the mixing capacity.
• After calculating and selecting batch weights for batch-type asphalt concrete
plants, inspect scale settings. Follow this inspection with daily checks. The scale
settings control the amount of material from each bin; one erroneous scale setting
can throw the entire batch out of specification.
• To ensure the aggregate is stored in the specified sizes, compare the material
from each bin with the specifications. Order any necessary corrective action.
• Compare the gradings by plotting the actual grading curve against the design
curve. Plot the gradings periodically because plotting provides a better indication
than numbers alone.
• The contractor may adjust the proportions of primary sizes of aggregates.

However, any such adjustment must meet specified grading limits and should
result in a stable mix. When adjustments vary significantly from the initial
design’s grading, request a new asphalt content calculation from the district
materials laboratory based on the grading to be used.
• Sample and test aggregate and asphalt binder in accordance with the frequencies
shown in Section 6-1, of this manual.
• Obtain samples of the completed mix, and in accordance with California tests
310, “Determination of Asphalt and Moisture Contents of Bituminous Mixtures,”
or 370, “Determining Moisture Content of Asphalt Mixtures or Mineral
Aggregates,” for moisture. You may also quickly check moisture content (based
on your experience with a particular aggregate source) using the following method
for batch plants:
1. Take a shovelful of aggregate from the drier’s discharge chute.
2. Notice any steaming or dark spots on the aggregate.
3. Pass a cool, shiny, clean mirror, spatula, knife 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 of any necessary adjustments to dry the aggregate.
• Perform California Tests 310 or 370 “as necessary for control.” For the exact
frequency of the tests, refer to Section 6-1, “Sample Types and Frequencies,” of
this manual. Early in production, take sufficient tests to determine factors such
as the drier’s heat versus the production rate versus the aggregate’s moisture.
• Observe production at the batch plant to ensure the mixing time and sequence of
withdrawal from the bins produce the specified homogeneous mixture. For batch
mixing, do not approve a shorter mixing time than specified. The length of mixing
time in a continuous-flow mixer is a function of the length of the mixing area
and the rate of drop in the drier drum mixing. The most efficient pugmill mixing
results when the material level remains at the top of the paddles throughout the
length of the mixer. For best results, feeding must be continuous and uniform.
• Ensure that the temperature of the asphalt stays within the specified limits.
• When the contractor uses automatic batch mixing, ensure the automatic
equipment functions within specifications.
• When the contractor uses any continuous mixing plant (drier drum or drier drum
pugmill), ensure that the vibrating unit on the fine bins operates. Also, ensure
that the low-level and no-flow interlock systems for the aggregate feeder bins
and the asphalt storage function.
• Observe the operation of all weighing systems. Whenever scales and meters
seem inaccurate, contact the district weights and measures coordinator for further
assistance.
• In the batching process, consider the weight of the material falling from the bin
gates to the weighing hopper after the gates are closed. Ensure 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 does not occur, 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 scales frequently to ensure the following:
1. They can mark zero.
2. The scale levers and knife edges move freely.
3. No bind or drag exists on the lever system.
• When plants are used exclusively for one job, you can check the accuracy of
meter-driven devices that proportion asphalt. To do so, compare meter totalizer
readings with asphalt tank stabbings and also (in conjunction with an onsite
vehicle scale) with the combined aggregate totalizer readings.
• Some plants are equipped with storage silos for asphalt concrete. Ensure this
form of storage does the following:
1. Prevents obvious segregation
2. Maintains specified temperatures
3. Maintains the minimum silo level as specified
4. Does not exceed the maximum storage time
• Before the contractor loads the truck beds, ensure the absence of an excessive
amount of parting agent or other contaminating material. Such material is
excessive when it forms pools absorbed by the mix. Diesel or other petroleum-
based products are prohibited.
• Ensure that all continuous mixing plants have a functional automatic blending
computer. Prohibit the plant from producing material for Caltrans unless this
automatic aggregate-asphalt proportioning system operates in good working
condition.
4-3903B Street Operations
During the course of work, take the following steps related to street operations:
• For guidelines for inspecting prime coat and paint binder, refer to Sections 4-93,
“Liquid Asphalts,” and Section 4-94, “Asphaltic Emulsions.” of this manual.
• From the mat behind the paving machine, obtain a sample of the completed
mixture (using California Test 125, “Methods for Sampling Highway Materials
and Products Used in Roadway Structural Sections”). Test the sample for
extraction, moisture, and sieve analysis. Occasionally run stability tests. For the
frequency and location of such testing, refer to Section 6-1, “Sample Types and
Frequencies,” of this manual.
• Identify the samples to indicate both the stationing from which they were taken
and also the approximate area they represent. Mark all acceptance samples for
priority testing. Complete Form TL-0101, “Sample Identification Card,” adhering
to the instructions printed in the book containing the forms and information in
Section 6-105, “Field Tested Material Sample Identification,” of this manual. It
is essential that you record the type of mix, grade, and source of asphalt and also
the ordered percent of asphalt in the mixture. Remember to note whether the
sample is for acceptance or special testing.

• As early as possible, analyze the test data. The best results come from obtaining
test results on the day of sampling. If possible, samples representing drier-drum
or continuous mixing should be tested in the field so the contractor can
immediately correct any deviations.
• Ensure that placement occurs within the specified temperature range by taking
sufficient measurements of air and asphalt concrete temperatures. Record these
temperatures in the daily report, and on Form CEM-3501, “AC Production/
Placement Checklist.”
• Along with atmospheric conditions, closely observe the queuing of asphalt
concrete trucks. To prevent the cooling of the asphalt concrete mix to below the
specified windrow temperature, ensure that extensive windrowing does not occur.
To determine whether crusting has occurred and appropriate action should be
taken, check the surface of the asphalt concrete mix in the truck or windrow.
• Ensure the specified equipment performs the spreading at the required thickness
and with the required number of layers. Compare the spread rate against the
theoretical rate, and if necessary, order adjustments. Note such observations in
the daily report.
• Because of the high dollar value of the asphalt concrete and the necessity for an
assistant resident engineer to know the weight of loads for spread calculations,
load slips are required for asphalt concrete.
• For placing material, ensure the specified equipment performs the rolling in the
specified order, for the required number of coverages, with the mixture’s
temperature above specified minimums. If the contractor uses a vibratory roller
for compaction, ensure the use is in accordance with the operating conditions
for which the roller was qualified. For these conditions, refer to the Vibratory
Roller Qualification List. To check vibratory roller frequencies, use a vibratory
reed tachometer.
• When compaction specifications are in use, test all areas in accordance with
California tests 304, “Preparation of Bituminous Mixtures for Testing,” and 375,
“Determining the In-Place Density and Relative Compaction of AC Pavement.”
• Ensure that longitudinal joints are offset as specified and that the joints on top
courses correspond to the edges of traffic lanes.
• Before placing an adjacent top layer, ensure the contractor has trimmed the cold-
transverse construction joints to a vertical face and to a neat line.
• Before placing an adjacent lane, decide whether longitudinal joints should be
trimmed.
• Use a straightedge to determine whether the finished surface and transverse
joints comply with specified tolerances. Note such measurements in the daily
report.
• If using a tapered notch wedge device, ensure that the specical provisions allow
the contractor to use a tapered notched wedge device to install a tapered
logitudinal joint between traffic lanes.
• Ensure the contractor tests the notched wedge device for relative compaction.
• After acceptance of the contract, a compaction and core information spreadsheet
must be submitted to the Office of Flexible Pavement, Material Engineering
and Testing Services.

• Ensure the contractor surfaces miscellaneous areas as the plans and specifications
require.
• Examine asphalt surfaces, and decide whether fog seal should be applied to
shoulders. Fog seal must be applied to all asphalt concrete dikes and
miscellaneous areas. For details about seal coats, refer to Section 4-37,
“Bituminous Seals,” of this manual.
• Prohibit the contractor from applying fog seal to open-graded asphalt concrete
or any traveled way.

Measurement and For details of measurement and payment, review contract specifications. Make
Payment necessary measurements and counts.
For measuring asphalts, liquid asphalts, and asphaltic emulsions, refer to Section 4-
92, “Asphalts,” Section 4-93, “Liquid Asphalts,” and Section 4-94, “Asphaltic
Emulsions,” of this manual.
For asphalt concrete that is allowed to remain in place, yet the aggregate gradings
for this asphalt concrete do not meet contract compliance, make the appropriate
deductions as specified.
For guidelines on how to weigh asphalt concrete, refer to Section 3-9, “Measurement
and Payment,” of this manual.

Section 40 Portland Cement Concrete Pavement
4-4001 General

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) Adjustment When None of the Primary Cores Is Deficient in
Thickness by More Than 15 mm
4-4004B (2) Adjustment When One or More of the Primary Cores Is Deficient in
4-4004C Handling of Skips in the Original Day's Pour and Secondary Areas to Be
Removed and Replaced
4-4004D Handling Deficient Areas Not Cored
4-4004E Administration

Portland Cement Concrete Pavement 4-40.i
Section 40
Section 40 Portland Cement Concrete Pavement Portland Cement
Concrete
Pavement
4-4001 General 4-4001
This section covers portland cement concrete pavement. A concrete paving operation General
includes the following:
• The production of the portland cement concrete
• The placing, finishing, and curing of the concrete pavement
• The concrete pavement subgrade
• The specified equipment
• The construction of joints
• The protection of the pavement
Plant inspection specialists and acceptance testers not directly assigned to the resident
engineer usually perform inspection and testing duties at the concrete batch plant.
However, in addition to on-site inspection, mix design and plant inspection are part
of the resident engineer’s responsibility. Good communication is essential between
plant and inspection specialists and assistant resident engineers. The resident engineer
must be kept informed of test results in a timely manner.
This section will mostly cover on-site inspection duties. For information on producing
and transporting portland cement concrete, see Section 4-90, “Portland Cement
Concrete,” of the Construction Manual (manual).

Before work begins, do the following: Before work begins
• Review the plans and specifications to determine the requirements for portland
cement concrete pavement, including thickness requirements, joint and tie bar
details, and cement content requirements.
Materials to Be Used,” which lists materials for portland cement concrete
pavement.
• In accord with the State Contract Act, check to ensure the aggregate source is a
permitted site in compliance with the Surface Mining and Reclamation Act of
1975 (SMARA). Mining operations determined to be in compliance are listed
on the AB 3098 SMARA Eligible List. You can obtain this list from the Division
of Construction or the Department of Conservation’s web site at http://

Portland Cement Concrete Pavement 4-40.1
• The specified cement content is based on the best information available to the
project design engineer. The procedure to determine the actual cement content
that will be used is as follows:
1. To determine whether the cement content for the pavement is being
reviewed, contact the Office of Materials Engineering and Testing Services
(METS) at least 70 days before paving begins. The resident engineer must
ensure the process has started. The district materials engineer may be a
good initial contact.
2. METS may perform the required testing to determine cement content or
may establish cement content based on previous testing of aggregates from
the same source. If METS has received Form CEM 3101, “Notice of
Materials to Be Used,” action will probably have been initiated to
determine the cement content. If METS needs samples of aggregate for
testing, the resident engineer will be advised. Either district materials
laboratory personnel or project personnel may obtain the samples.
3. The resident engineer will be advised of the recommended cement content.
If the recommended cement content and the specified cement content are
different, prepare a contract change order to provide an adjustment in
compensation in accordance with Section 40-1.015, “Cement Content,” of
• Obtain initial samples and design the mix as covered in Section 4-90, “Portland
Cement Concrete,” of this manual. For assistance with the mix design process
when needed, contact the district materials engineer or responsible unit.
• Well before paving begins, contact the district materials engineer to make
arrangements for measuring pavement thickness. Personnel from the district
materials laboratory or METS may take core samples for thickness measurements
or you may need to initiate a service contract for taking core samples.
• Decide whether crossings will be necessary for the convenience of public traffic
and whether Type III portland cement should be used for such crossings. Advise
the contractor accordingly.
• Examine the equipment or tools to be used. When obvious inadequacies exist,
advise the contractor and enter the details in the daily report. More specifically,
do the following in examining equipment or tools:
1. For side-form construction:
a. Examine the forms to ensure the specified attributes, including those

for composition, weight, dimensions, and rigidity. Ensure the forms are
cleaned and oiled before each use.
b. Ensure that installation of the forms complies with the 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.
Require the specified demonstration of satisfactory operation and note
such activity in the daily report.

4-40.2 Portland Cement Concrete Pavement
3. To ensure compliance with the requirements for protecting pavement,
examine all equipment that will bear on previously completed pavement.
• 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 manner
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. (See the specifications for cement-treated
base, lean concrete base, and treated permeable bases.)
• 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.
• An acceptable general practice is to limit any such adjustment so that the planned
finished grade does not change more than 10 mm in 15 m longitudinally.
• When slip-form pavers are used, inspect the grade upon 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 the wire is tensioned
sufficiently to prevent any measurable sag between supporting stakes. Advise
the contractor if you anticipate any problems. Keep in mind that the contractor
is responsible for the thickness and smoothness of the pavement.
• For determining pavement thickness (not for providing a seal), require the
contractor to coat the surface of cement-treated permeable base with asphaltic
emulsion.
• Ensure the contractor correctly applies the bond breaker material to the surface
of lean concrete base.
• When pavement is to be placed during periods of low ambient temperatures,
require the contractor to submit a written outline of proposed methods for
protecting the concrete.
• Ascertain the curing method that the contractor proposes to use. When curing
compound will be used, discuss with the contractor the labeling and packaging
requirements for acceptance of the compound.
• Ensure the equipment for applying curing seal complies with the specifications.
• Before paving begins, ensure that the equipment for constructing joints is on-
site and that it conforms to specifications.
• Before paving begins, ensure that equipment that meets the requirements of
Section 90-7.01A, “Water Method,” of the Standard Specifications is on-site.
• If paving or finishing operations will extend beyond daylight hours, ensure that
adequate lighting facilities are on the project before paving begins.
• When required, ensure that tie bars and dowels are on hand and conform to
specifications.

• When long hauls are involved, review the contractor’s proposed placement
method to ensure adequate time will be available.
• Arrange for plant inspection and testing personnel to be present at the plant
before start up.
• For California Test 523, “Flexural Strength of Concrete (Using Simple Beam
with Center-point Loading),” select a location to store concrete beams. A good
location is one that is 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 to also supply labor for assistance with transporting
and burying the beams. Note the safety precautions in the test method.
• Before placing concrete, require that the subgrade be uniformly moist.

During the Course During work, do the following:
of Work • Before mixing, obtain samples of the aggregate, and test for the specified
attributes in accordance with the frequency shown in Section 6-1, “Sample Types
and Frequencies,” of this manual. Initially, and in the case of borderline material,
obtain and save additional samples so that if 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 tests, sand equivalent tests, or both are outside the
limits for contract compliance, you must determine whether the portland cement
concrete represented by the tests is structurally adequate. When concrete
pavement that does not meet contract compliance is left in place, the contractor’s
specified payment is to be made by administrative deduction. Ensure the reasons
for leaving the concrete in place are fully documented, and notify the contractor
of your decision and the deduction amount to be made.
• Before accepting lower limits for the cleanness value and sand equivalent value
in accordance with Section 90-2.02A, “Coarse Aggregate,” and Section 90-2.02B,
“Fine Aggregate,” of the Standard Specifications, ensure the contractor complies
fully with the requirements for certificates of compliance.
• See Section 4-90, “Portland Cement Concrete,” of this manual for a discussion
of transporting concrete and receiving load tickets at the delivery point. Decide
if delivery tickets should be required.
• Engineers inspecting the placing portion of the operation must maintain good
contact with engineers inspecting operations at the mixing plant, so that any
problems related to mixing or hauling may be addressed and corrected.
• Observe the concrete as it is placed for any improper proportions or inadequate
mixing. In the daily report, record the reasons for any concrete rejection and the
approximate amount involved.
• Ensure the contractor furnishes the required tachometer. Also, ensure the
contractor does the vibrating at the locations and in the frequencies and amplitudes
specified. Be alert for inoperative units, and have them replaced immediately.
• Obtain samples of the concrete, and perform tests in accordance with the
frequencies shown in Section 6-1 of this manual.

• Observe the operation of equipment that bears on existing pavements to ensure
that no cracking or other damage occurs. If damage does occur, 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, ensure the joint material is
placed as specified.
• At the start of each day’s work, ensure that the specified date stamp is used to
mark the new pavement.
• Ensure the contractor constructs a contact joint whenever a time interval is greater
than that allowed by the specifications between any two successive concrete
loads.
• Measure the pavement’s width at the beginning of paving and periodically
thereafter. While the required width applies to both upper and lower surfaces,
the bottom width can be greater than specified to reduce edge slump.
• Ensure the contractor performs the preliminary finishing according to
specifications and in a manner that will impart the desired surface characteristics.
• Encourage the contractor to construct the pavement so that before final finishing
it meets the requirements for profile index, straightedge, and edge slump.
• During your observations, consider the following information:
1. Pavement can be durable but have inadequate texture, or be well-textured
and not possess enough durability to retain the texture.
2. One of the things that reduces surface durability is mixing water with the
surface mortar during finishing. This mixture may “bleed” water that has
not evaporated water added to the surface to make finishing easier, or
water 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 unacceptable practice include the following:
a. Soupy mortar during finishing
b. Excess laitance
c. Small scallops in the slab’s edge
d. Areas in the finished surface that are still soft and wet 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, preliminary finishing should be completed before bleeding
progresses to this degree.

5. Water applied for the convenience of finishing, not otherwise necessary to
produce the product specified, is contrary to specifications regarding the
use of water for retempering. The engineer must control the amount of any
necessary fogging.
• Ensure the contractor performs the final finishing as specified and in a manner
that will result in a finished surface with the desired characteristics.
• When sufficient rain may fall to damage fresh pavement, as defined in the
specifications for protecting concrete, stop the placing or ensure other steps are
taken (such as placing a covering) to prevent damage.
• Before texturing, ensure the contractor rounds the pavement edges to the specified
radii. Observe texturing for compliance with requirements. Initial texturing is to
be done with a broom or burlap drag so as to produce striations parallel with the
centerline.
• Ensure burlap drags are used as specified and kept sufficiently clean to avoid
unsightly irregularities in the texture. Brooms used instead of burlap drags also
must be kept sufficiently clean to avoid significant irregularities. Final texturing
must be done with spring steel tines that produce grooves parallel with the
centerline. Grooves that are not straight and parallel to the centerline are
unacceptable. Ensure the cross section of the steel tines complies with the
specifications. Inspect the pavement surface to ensure the grooves meet the
specified depth.
• Both before and after the application of curing seal, ensure the contractor keeps
the pavement surface moist as specified.
• Ensure the contractor uses one of the curing methods specified in Section 90-
7.02, “Curing Pavement,” of the Standard Specifications. During your
observations, also do the following:
1. Waterproof Membrane:
a. Before placing the membrane, ensure the contractor sprays the concrete
with a mist of water until the concrete has set.
b. Examine waterproof paper or plastic sheeting to ensure it meets

specifications. If you need assistance, consult with the district materials
engineer.
c. Ensure that sheeting material is placed and secured and that any damaged
sheeting is repaired as required in the specifications. Ensure the contractor
adheres to the specified curing period.
2. Curing Compound:
a. Examine shipments of curing compound to ensure the compound is

labeled and packaged as specified. If the compound is shipped in tanks
or tank trucks, obtain a copy of the shipping invoice, and determine
whether it contains the specified information. Prohibit the use of
improperly identified curing compound until it has been sampled and
tested. See Section 6-2, “Acceptance of Material and Sampling
Methods,” of this manual for procedures.

b. For acceptance tests, obtain samples of the curing compound as required
under Section 6-1, “Sample Types and Frequencies,” of this manual.
c. Ensure the contractor uniformly applies the curing compound at the

specified time. See that sawed cuts, or any other areas that have been
disturbed, receive additional curing compound. Your inspection should
ensure the following attributes for the compound:
(1) It is not contaminated, diluted, or altered in any way 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.
d. Perform measurements and calculations for the curing seal’s application

rate. To determine the application rate, you may also use California Test
535, “Determining the Application Rates of Concrete Curing Compounds
in the Field”. Record such measurements in the daily report.
e. Decide whether fogging the concrete pavement will be necessary after

the curing seal has been applied, as described in Section 90-7.02, “Curing
Pavement,” of the Standard Specifications.
• Observe the sawing of weakened plane joints. Check the spacing and location
for conformance with the plans. Measure the cuts to determine whether they
meet the specified dimensions. Sawed-joint specifications regarding depth and
width apply to the completed joint. During your inspection of the sawing of
weakened plane joints, also do the following:
1. Since joint saws commonly employ multiple blades, ensure that each one
cuts to the specified width and depth. Frequently, portions of joints cut by
different blades do not meet. If so, you will need to order blade
realignment.
2. Although the contractor is responsible for controlling the exact time of
sawing weakened plane joints, ensure that sawing is completed within the
time limits specified. Control joints, because of their function to relieve
early drying and thermal shrinkage stresses, must be cut soon after the
concrete has hardened enough to support the saw.
3. When volunteer cracking starts, the slab is in tension and further sawing
will result in cracks ahead of the saw cut.
• With the district materials engineer, arrange to measure the coefficient of friction
(California Test 342, “Surface Skid Resistance with the California Portable Skid
Tester”). Also, note the following:
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 to delineate areas that must be
corrected.

2. Tests made at temperatures below 4.5°C 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 at temperatures below 4.5°C.
3. To determine whether the contractor’s 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 seven
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 any operation
that could reduce the friction factor from the one originally determined,
retest such areas before opening them to public traffic.
• Make arrangements with the district materials laboratory to make thickness
measurements of the completed concrete pavement. For more details about
pavement thickness measurements, see the information under the heading
“Measurement and Payment” below. In general, perform coring as soon as
practical, with due consideration for the reasonable employment of coring crews
and efficiency of operation. If the paving operation is going to last more than a
few days, make a reasonable effort to obtain the first cores at an early date for
the informational value to the resident engineer and contractor. Do not allow
coring machines on fresh concrete while any danger exists of damaging the
concrete. Seventy-two hours is considered the minimum period to wait.
• Measure the finished surface with a straightedge, especially at contact joints, to
determine compliance with the specifications. The pavement’s final surface must
comply with both the straightedge and profilograph requirements.
• Observe the contractor’s pavement profiling operation. Ensure that the
profilograph is calibrated and that the contractor operates the profilograph in
accordance with California Test 526, “Operation of California Profilograph and
Evaluation of Profiles”. The contractor is responsible for controlling and
performing all the intermediate steps necessary to produce final profilograms
that indicate the pavement surface is within the profile index specified. 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 contractor’s
profilograph operation, corrective measures, and final profilogram results in the
daily report.
• Ensure the concrete pavement is protected as specified. Make additional sets of
beams to determine acceptable flexural strength when pavement crossings are
to be opened to public traffic or to job traffic earlier than normally permitted.
• Before opening the pavement to public traffic, require the contractor to repair
spalls, raveling, and tearing in sawed joints, as specified.
• Ensure that end anchors are constructed at all required locations and to the
dimensions shown on the plans. Ensure 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.

Using the dimensions shown on the plans, calculate the quantity of portland cement Measurement and
concrete pavement to be paid for. Use curve corrections to ensure the calculations Payment
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 rate specified, and
additional cores in primary unit areas taken at the contractor’s request, are referred
to as primary cores.
Primary cores do not include cores taken for secondary thickness measurements.
Cores taken for secondary thickness measurements, and cores 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
• Any 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
other unauthorized deviations from planned pavement thickness occurred.
4-4004A (1) Location of Primary Cores

Do the following to locate primary cores:
• For each day of paving, determine the net length of pavement placed, excluding
the length of structures and other areas upon which pavement is not placed during
that day. The resulting measurement is the length of the primary unit. Multiply
the net length by the number of lanes in the primary unit. Divide that number by
300 m and take the next highest whole number. The resulting number is the
number of primary cores to be taken, unless the contractor requests additional
cores.
• Divide the net length of the primary unit by the number of primary cores to be
taken in that unit. The resulting distance will be referred to as 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 any lane at random.
Select any factor from the longitudinal factors shown in Table 4-40.1, “Calculation
Factors to Locate Cores.” Multiply the factor by the primary coring interval. The
result will be 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 (Meters)
0.6 1.8
0.1 3.0
0.2 0.6
0.9 2.7
0.5 1.5
0.7 2.1
0.4 1.2
0.8 2.4
0.3 0.9
• 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
in the manner 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 0.3 m
laterally.
4-4004A (2) Location of Secondary Cores

To determine the limits of secondary units, locate cores approximately in 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 the plus sign and deficient thickness using the minus sign.)
4-4004B Calculation of Deductions in Payment to the Contractor for Deficient
Thickness
The following covers the steps to take when calculating deductions in payment based
on deficient thickness:
4-4004B (1) Adjustment When None of the Primary Cores Is Deficient in
The following describes how to make an adjustment when none of the primary cores
are deficient in thickness by more than 15 mm:
• 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
2.5 mm. If the average thickness deficiency is less than 2.5 mm, do not make a
deficiency adjustment. If the average thickness deficiency is more than 2.5 mm,
continue with the steps in the bullets below.
• To obtain the deficiency adjustment in dollars per square meter, use the table in
Section 40-1.135A, “Thickness Deficiency of Not More Than 15 mm,” of the

• To obtain the total amount of payment to be deducted for the primary unit,
multiply the deficiency adjustment by the total area of the primary unit in square
meters.
4-4004B (2) Adjustment When One or More of the Primary Cores Is Deficient in
When one or more cores are deficient in thickness by more than 15 mm, determine
the total adjustment by using the following procedure:
• To determine the secondary unit adjustment, multiply the area of any panels
deficient in thickness by more than 15 mm that are allowed to remain in place
by the dollar figure specified in Section 40-1.135B, “Thickness Deficiency of
More Than 15 mm,” of the Standard Specifications.
• In the calculation to determine average thickness of the primary unit, use the
average thickness of all secondary cores outside each secondary unit to replace
the thickness of the initial 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 in Section 40-1.135A, “Thickness Deficiency of Not More Than 15 mm,”
• To determine the total deduction, add the deductions for the primary unit, any
secondary units, and the cost of all secondary cores, including those taken outside
secondary units.
The following 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 40-1.135, “Pavement Thickness” of the Standard
Specifications(1999 edition).
Assume the following:
The contractor paved three lanes (lanes 1, 2, and 3) from Station 10+00 to
Station 17+80. An equipment crossing and a bridge within the limits of the
day’s run caused “skips” in the length paved totaling 140 m. The actual length
paved was 640 m.
The engineer calculated the number of cores required for thickness
measurements in the primary unit and the core interval. To determine the location
of the first core, the engineer chose the center lane (Lane 2), at random, and
used the fifth set of numbers, at random, from Table 4-40.1 “Calculation Factors
to Locate Cores.” The first core was taken at a longitudinal distance from the
beginning of 45 m (approximately the core interval) and at a lateral distance of
1.5 m from the right edge of the lane. Figure 4-40.1, “Primary Core Locations”,
illustrates the primary unit and the location of all the primary cores.

Figure 4-40.1
Prim ary C ore Locations
BEG IN
EN D
Equipm entC rossing
Shoulder
2.1m Lane
0.9m 3
2.4m Lane
1.5m 3.0m
2
Lane
1.2m 1.8m 1
10+00
10+45
11+36
12+27
13+18
14+09
15+00
17+54
17+80
Bridge
M edian
45m 91m 91m 91m 91m 91m 91m (Net)
Prim ary C oring Intervals C enterline
Prim ary U nit
a. Length ofPrim ary U nit= 640 m

b. N um berofC ores
3 lanes x 640m
= 7 cores
300
640m
= 91.4 m eters/core,use 91m
7 cores
c. Location ofthe FirstPrim ary C ore
In this exam ple the centerlane is chosen (atrandom ),and the
fifth setofnum bers(atrandom )from the table above is used. The firstcore
is taken ata longitudinaldistance from the beginning of45.5m (0.5 x 91m ).
A distance rounded to 45m is used in the exam ple.
The firstcore is taken 1.5m from the rightedge ofthe lane.

The core thickness variations for the respective numbered cores were determined
as follows:
Core Number Thickness Variation

1. -7.5 mm
2. +5 mm
3. +7.5 mm (use +5 mm)
4. -7.5 mm
5. -10 mm
6. -0 mm
7. -20 mm
Core 3 is more than 5 mm greater than the specified thickness, so + 5 mm

was used in the calculation to determine thickness deficiency in the primary
unit in accordance with Section 40-1.135A, “Thickness Deficiency of Not
More Than 15 mm” of the Standard Specifications.
Core 7 was deficient by more than 15 mm. Because of this deficiency, the
next step was to determine, from secondary thickness measurements, the
dimensions of the secondary unit.
To determine the limits of the secondary unit, the resident engineer ordered secondary
thickness measurements to be made in the panels adjacent to the panel in which
Core 7 was taken. Subsequent thickness measurements were made in panels adjacent
to any of these panels that had thickness deficiencies of more than 15 mm. This
process continued until the secondary unit was bounded by panels in which the
secondary measurements were deficient in thickness by 15 mm, or less. The following
columns show the resulting thickness variations in the secondary cores:
7a-1 -20 mm
7a-2 -7.5 mm
7a-3 +5 mm
7a-4 -10 mm
7b-1 -2.5 mm
7b-2 -17.5 mm
7b-3 -12.5 mm
7c-1 -5 mm

Figure 4-40.2, “Location of Secondary Cores,” illustrates the secondary unit
and the location of the panels in which secondary measurements were made.
Figure
Figure4-40.2
6-40.2
Location ofSecondary C ores
7a-4 7b-3 Lane

-10 -12.5 3
7a-3 7 7a-1 7b-1 Lane
+5 -20 -20 -2.5 2
7a-2 7b-2 7c-1
Lane
-7.5 -17.5 -5 1
4.6m 3.6m 4.0m 4.3m
17+31
PanelLengths
C enterline
The panels in the secondary area, represented by cores 7, 7a-1, and 7b-2,
were measured and found to be 42 m.
The engineer averaged the thickness variations of the secondary thickness
measurements outside of the secondary unit area. The resulting value was
used, in lieu of the thickness variation for Core 7, in the calculation 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.

7a-2 -7.5
7a-3 +5 mm
7a-4 -10 mm
7b-1 -2.5 mm
7b-3 -12.5 mm
7c-1 -5 mm

The average of the thickness variations in the above table is –5.4 mm. This
average was rounded down to –5.0 mm, and that value was used for the thickness
variation for Core 7 in the primary unit.
Using –5 mm for the Core 7 thickness deficiency, the engineer calculated the
average thickness deficiency (cores 1 through7) for the primary area to be –2.8
mm. This average was rounded down, and –2.5 mm was 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:
640 x 3 x 3.6 – 42 = 6,870 m.
The deduction from payment to the contractor for thickness deficiency in the
primary area in accordance with Section 40-1.135A, “Thickness Deficiency of
Not More Than 15 mm,” of the Standard Specifications was calculated as follows:
6,870 m x $0.40 = $2,748.00
The engineer determined that the concrete in the secondary unit could be left in
place. The deduction from payment to the contractor for the secondary unit, in
accordance with Section 40-1.135B, “Thickness Deficiency of More Than 15
mm,” of the Standard Specifications, was calculated as follows:
42 m x $32.50 = $1365.00
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-4, 7b-1 through 7b-3, and
7c-1.
4-4004B (3) Contractor’s Requests for Additional Thickness Measurements

If, after the primary coring is performed, the contractor requests additional thickness
measurements within any primary unit, treat this 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 15 mm. Instead, include these cores with the original primary cores. If any
additional cores are deficient in thickness by more than 15 mm, determine the limits
of the secondary areas.
Do not grant permission to any 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 200 m of traffic lane rather than one core for each 300 m.
This request will have the effect of increasing, but not necessarily doubling, the
number of cores.
Deduct from the payment to the contractor the cost of all additional thickness
measurements that resulted from the contractor’s 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 Day’s 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) ultimately are
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 are of
sufficient size to 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 verbally, if necessary, to be certain that 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 the payment for the portland cement concrete pavement.
(Usually, final agreement is reached once the contractor returns the proposed final
estimate.)
The personnel who measure core thickness prepare the coring records, which include
information about the cores’ location and measured thickness. The original records
and one copy are given to the resident engineer, who will retain the original and
forward the copy to the contractor. Personnel from the district materials laboratory
will keep one copy and another copy is sent 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 assist in determining the cost to
the contractor for secondary coring and will provide a clear record of such secondary
areas. Follow the same distribution of copies as for primary unit reports (as described
in the previous paragraph).

Section 41
Section 41 Pavement Subsealing and Jacking Pavement
Subsealing
and Jacking
4-4101 General 4-4101

Pavement subsealing and jacking are techniques used in rehabilitating concrete General
pavement. The same equipment and materials are used in both operations. Subsealing
fills voids under the pavement without disturbing the elevation of the finished surface.
Jacking fills any voids that may be present under the pavement and also raises the
finished surface of the pavement to a desired elevation. In both operations, holes are
drilled to a specified depth below the pavement surface, and grout is pumped under
pressure into the holes.
The special provisions will indicate whether pavement subsealing or pavement
jacking is to be performed.

• 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.
• Verify that all materials to be used are included on Form CEM-3101, “Notice of
Materials To Be Used,” and that the form has been received and properly
distributed.
• Review the contractor’s proposal for materials to be used and for the required
data from an independent laboratory test.
• Verify that the materials the contractor plans to use comply with Section 41-
1.02, “Materials,” of the Standard Specifications. Ensure that the proposed brands
of fly ash and admixtures are on the current list of approved brands.
• Require certificates of compliance for fly ash, admixtures, and cement.
• 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 contractor’s equipment to determine that it meets specified
requirements.
• Discuss traffic handling with the contractor, and review the contractor’s plan for
lane closures. See sections 4-12, “Construction Area Traffic Control Devices”
and 2-2, “Traffic,” of the Construction Manual for a discussion of traffic handling
devices and lane closure procedures.

Pavement Subsealing and Jacking 4-41.1
• Check the existing condition of the pavement, and revise areas to be jacked or
grouted as needed.
• Check for the presence of traffic loop detectors.
• Check the plans for the pattern and location of holes.
• Check the contractor’s actual layout of hole locations to see that it conforms to
the planned pattern.
• Establish vertical control for pavement jacking.
• Verify that the atmospheric and subgrade temperatures are above the specified
minimums and that before beginning jacking or subsealing, weather conditions
are suitable.

During the During the work, do the following:
Course of Work • Verify that the 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
determine that the efflux time is within the required range during grouting
operations.
• Monitor the slab for movement during subsealing. Also, 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.

Measurement Count the number of holes drilled. Verify that the holes to be paid for are only those
and Payment holes shown on the plans or those ordered to be drilled.
Also, count bags of packaged fly ash and cement to determine pay quantities. 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.

4-41.2 Pavement Subsealing and Jacking
Section 42
Section 42 Groove and Grind Pavement Groove and Grind
Pavement
4-4201 General 4-4201
Grooving is generally performed to increase the coefficient of friction for new or General
existing portland cement concrete or asphalt concrete pavement. It is one of the
methods discussed in Section 611.8, “PCCP Rehabilitation Strategies,” of the
Highway Design Manual.
Grinding is generally performed to improve the riding quality of new or existing
portland cement concrete or asphalt concrete pavement. Grinding may also retard
structural damage at the joints of portland cement concrete pavement. Existing
pavements are ground as a rehabilitation strategy. New pavements may be ground to
meet smoothness requirements.

Review the contract plans and specifications. Also, take the following steps: Before Work Begins
• Discuss traffic handling with the contractor and review the contractor’s plan for
lane closures. For a discussion of traffic handling devices and lane closure
procedures, see Section 4-12, “Construction Area Traffic Control Devices,” and
Section 2-2, “Traffic,” of the Construction Manual (manual).
• 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.
• Before grinding, check adjacent pavement for proper drainage and smoothness.
• Verify that the required water pollution control plan is approved and in place.
• In areas to be grooved or ground, verify that yellow stripe and pavement markings
do not contain lead. For instructions regarding this issue, See Section 4-15,
“Existing Highway Facilities,” of this manual.
• Review the project to ascertain all the requirements for handling traffic. Before
permitting the contractor to begin work, require the submittal of the specified
documents for allowing residue disposal outside the right-of-way.
• Ensure the contractor’s equipment meets specified requirements.

Groove and Grind Pavement 4-42.1
During the Course 4-4203A The following applies to both grooving and grinding operations
of Work • 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.
4-4203B 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 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 3.6 m 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 portland cement concrete pavements
for a profile index.
• Ensure ground areas on structures, approach slabs, and 15 m of approach
pavement meet the smoothness and cover requirements in Section 51-1.17,
“Finishing Bridge Decks,” of the Standard Specifications.
• In accordance with California Test 342, “Surface Skid Resistance with the
California Portable Skid Test,” determine the coefficient of friction for surfaces
that have been ground.

Measurement Measure both grooving and grinding by the area grooved or ground. As the work
and Payment progresses, make transverse measurements to ensure the grooved or ground areas
meet 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.

4-42.2 Groove and Grind Pavement
Section 49
Section 49 Piling Piling
4-4901 General 4-4901

Section 49, “Piling,” of the Standard Specifications includes specifications for cast- General
in-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
Bridge Construction Records and Procedures Manual and in the Office of Structure
Construction’s (OSC) Foundation Manual.

Before work begins, take the following actions: Before Work Begins
• Review the project plans to determine the locations where piling will be installed
adjacent to traffic lanes opened to the public. Before any work begins, require
the contractor to submit for approval a pile-handling plan for work adjacent to
traffic.
• 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 delays to the project.
Materials to Be Used,” which lists piling materials.
• For instructions on preparing pile records to be kept during piling operations,
review Bridge Construction Memo 3-7.0, “Pile Records,” of the Bridge

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 of Work
Safe Practices, on the OSC web site, contains safety guidelines to follow for various
piling operations. Before the contractor’s operations begin, review both sources of
information, in addition to the contractor’s pile-handling plan if required, in a tailgate
safety meeting.
Record drilling and driving information as required in the Bridge Construction Memo
3-7.0, “Pile Records,” of the Bridge Construction Records and Procedures Manual.
At the completion of the piling operation, forward the piling information collected
to the OSC office in Sacramento.

For piling in place, measure by the meter, measuring the longest side from the tip of Measurement
the pile to the plane of pile cut-off. In addition, driven piles include an additional and Payment
item for driving each pile. Record information about drilling, driving, and
measurements in accordance with the Bridge Construction Memo 3-7.0, “Pile
Records,” of the Bridge Construction Records and Procedures Manual.
Piling 4-49.1
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 Section
160, “Prestressed Concrete,” of the Bridge Construction Records and Procedures
Manual and the Office of Structure Construction’s (OSC) Prestress Manual.

The contractor must submit for approval working drawings of the proposed Before Work Begins
prestressing system in accordance with Section 5-1.02, “Plans and Working
Drawings,” of the Standard Specifications. The working 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 approving
the working drawings.
Before work begins, the resident engineer must take the following steps:
Materials to Be Used,” which lists prestressing materials.
• Review the OSC Prestress Manual for instructions on prestressing records to be
kept during prestressing operations.

Prestressing operations are dangerous. The OSC Prestressing Manual contains safety During the Course
information for prestressing operations. In addition, the OSC Code of Safe Practices, of Work
found on the OSC web site, contains safety guidelines to follow for prestressing
operations. Before the contractor’s operations begin, review both sources of
information in a tailgate safety meeting.
After the completion of the work for each structure, the contractor must submit
corrected working 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 be made until the corrected working drawings have been
submitted.

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

Prestressing Concrete 4-50.1
Section 51 Concrete Structures
4-5101 General

4-5103A Placing Concrete
4-5103B Concrete Deposited 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, grade separations, 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 Bridge Construction Records and
Procedures Manual. Additional reference material can be found in the Office of
Structure Construction’s Concrete Technology Manual, Foundation Manual,
Prestress Manual, and Bridge Deck Construction Manual.
The Office of Structure Construction is responsible for reviewing and approving
falsework drawings and calculations. The Office of Structure Construction’s
Falsework Manual and the Bridge Construction Records and Procedures Manual
contain detailed procedures. The Office of Structure Construction’s project
representative has complete responsibility and authority to approve falsework plans
and enforce falsework specifications.
Section 3-705, “Public Safety,” of the Construction Manual (manual) contains
guidelines for work that temporarily impairs horizontal and vertical bridge clearance.

• Review the plans and specifications. Determine the class or compressive strength
of the concrete to be used. Review Section 4-90, “Portland Cement Concrete,”
of this manual, which covers the mix design review, approval, and production
of concrete.
• Review and discuss with the contractor plans for placing concrete in each of a
structure’s parts. Before allowing the work to commence, discuss any obvious
shortages of workers, equipment, or material that may prevent the completion
of the structure’s 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, see Chapter 6, “Sampling and
Testing,” of this manual.

Once work begins, take the steps listed for inspecting the following items: During the
• Placing of concrete Course of Work
• Concrete deposited under water

Concrete Structures 4-51.1
• Minor structures
• Forms
• 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 structure’s
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 Deposited Under Water
Ensure the contractor meets all specifications related to Section 51-1.10, “Concrete
Deposited 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.

4-51.2 Concrete Structures
• Ensure that all materials required to be embedded in concrete, such as
reinforcement and miscellaneous metal, are in place and secured properly. For
details, see 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 placing concrete, 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 according to the
contract’s 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 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 and places the grout 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 waterstops are installed as specified and where shown on the plans. During
concrete placement, make sufficient observations to ensure the waterstops 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, see Section
8-1.08, “Final Surface Finish,” of the Office of Structure Construction’s Concrete
Technology Manual.

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 meter 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
Section 52 Reinforcement Reinforcement
4-5201
4-5201 General General
Items used for reinforcement include bars, welded wire fabrics, and wires.

The Office of Materials Engineering and Testing Services (METS) is responsible Before Work Begins
for monitoring reinforcement materials at the source of supply. The fabricator will
provide a Certificate of Compliance with shipments or reinforcement delivered to
the job site.
Refer to the contract specifications and Section 3-605, “Certificates of Compliance,”
of the Construction Manual (manual) regarding Buy America requirements. Section
6-1.08 of the Standard Specifications covers the use of foreign materials.
During this preliminary inspection, also take the following steps:
Materials to Be Used,” which lists reinforcement materials.
• For each lot of material delivered to the project, require the contractor to conform
to Section 6-1.07 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 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 cleanliness, ensuring it does not have loose mill
scale, excessive rust, or other deleterious coatings. Decide whether such coatings
will destroy or reduce bonding, and 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 52-1.02B, “Epoxy-Coated Reinforcement,” of the
Standard Specifications, require repair or replacement of damaged epoxy-coated,
bar reinforcing steel.
• 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.

Reinforcement 4-52.1
• 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
52-1.03, “Steel Lists,” of the Standard Specifications.
• 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.
• Before using butt welding to splice bar reinforcing steel, refer to your contract
documents and the Bridge Construction Records and Procedures Manual, Volume
II, Section 180.
• Before mechanically splicing bar reinforcing steel, refer to your contract
documents and the Bridge Construction Records and Procedures Manual, Volume
II, Section 165.

During the During the course of work, take the following steps:
Course 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 the Caltrans reviews and approves.
Use the approved 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.
• 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 manufacturer’s
recommended patching material.
• Vibrators used to consolidate concrete containing epoxy-coated reinforcing steel
must have a resilient covering to prevent damage to the epoxy coating.

4-52.2 Reinforcement
• Prefabricated epoxy-coated reinforcing steel (purple or gray in color) is cut to
size and bent to shape before applying the coating. Prefabricated epoxy-coated
rebars must not be bent or rebent after the coating.
• Postfabricated 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. In
particular, notice 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.
• All mechanical butt splices, butt welds, and lap welds on epoxy-coated reinforcing
steel must be protected from corrosion with an approved mastic-lined shrink
tube protective cover. You can find the METS list of approved coverings to
protect against corrosion at:
http://svhqsgi4.dot.ca.gov:80/hq/esc/approved_products_list/SpliceCover.html
The mastic-lined shrink tubing must be used as specified in accordance with
manufacturer and Caltrans requirements. Ensure the shrink tubing is installed as
a continuous tube with sufficient diameter and length to achieve an adequate
seal and bond length. The tubing must not have any dirt, grease, sharp edges,
tears, or pinholes. After the tubing is heated as specified, ensure it extends a
minimum of 50 mm onto the epoxy-coated reinforcing steel.

Refer to appropriate sections of the special provisions and Standard Specifications Measurement and
for the basis of measurement and payment. If payment is on a unit basis, you may Payment
need to keep records of reinforcement that is actually in place in the structure. Also,
calculate any changes that result in increases or decreases in quantities of
reinforcement.

Reinforcement 4-52.3
Section 53
Section 53 Shotcrete Shotcrete
4-5301 General 4-5301

Shotcrete is concrete pneumatically projected onto a surface. Shotcrete may be used General
for lining ditches and channels, paving slopes, and constructing warped sections. If
allowed by the special provisions, shotcrete may also be used for structural
applications.

Take the following actions: Before Work 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 51-1.11, “Construction Methods,” Section
72-4.01, “Description,” or Section 72-6.01 “Description,” of the Standard
Specifications.
Materials to Be Used,” which lists shotcrete cement and aggregate.

The following instructions are for nonstructural and structural applications of During the Course
shotcrete: 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 portland cement and aggregate,
and test them for all specified attributes. Ship the cement samples to the district
materials unit for testing at the frequency shown in Section 6-1, “Sample Types
and Frequencies,” of the Construction 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 cement and aggregate.
• To support payment for the work, take measurements and keep records.
• Limit the placing of shotcrete to the specified lifts.
• Periodically check the working pressures of the equipment to ensure they meet
specifications.

Shotcrete 4-53.1
• 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 cement 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.
• For structural applications the following are some of the more important duties
of field personnel. For detailed procedures for using shotcrete, refer to the Office
of Structure Construction’s manual, Shotcrete, a Field Guide for OSC Employees.
• For locations where shotcrete can be used, refer to the contract’s special provisions
and plans.
• Only allow the use of a wet-mixed process if the specifications allow such use.
For the “finish coat,” the contractor may use a dry-mix process.
• Ensure the contractor abides by all the elements of the following prequalification
process:
1. Ensure the nozzleperson’s 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, demolish 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 nozzleperson and the blowpipe operator work together and that
the nozzleperson does not get ahead of the blowpipe operator.
• Ensure the finishers rake away any loose material the blowpipe could not remove
and they keep the surface at approximately a 45º angle.
• 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 nozzleperson 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.

4-53.2 Shotcrete
• 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
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 meter, 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
Section 54 Waterproofing 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 and dampproofing.
Other types of waterproofing may be specified in the special provisions.

Before work starts, do the following: Before Work Begins
Materials to Be Used,” which covers waterproofing materials.
• Upon delivery of the waterproofing materials, note whether they are identified
by marks or inspection tags.
• You may accept waterproofing fabric on the basis of a Certificate of Compliance.
For the fabric, complete Form CEM-4102, “Material Inspected and Released on
Job.”

During the work, do the following: During the Course
• Sample waterproofing materials in accordance with Section 6-1, “Sample Types of Work
and Frequencies,” of the Construction 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 and dampproofing as specified.

Field measure areas covered by asphalt membrane waterproofing and dampproofing. Measurement and
Payment

Waterproofing 4-54.1
Section 55
Section 55 Steel Structures 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 Bridge

The contractor must submit for approval working drawings for structural steel in Before Work Begins
accordance with Section 5-1.02, “Plans and Working Drawings,” of the Standard
Specifications. The working drawings are submitted directly to the Office of Structure
Design, documents unit. The review of the working drawings is a coordinated effort
between the Office of Structure Design, Office of Materials Engineering and Testing
Services (METS), and the Office of Structure Construction. The Office of Structure
Design has the primary responsibility for approving the working drawings.
If any welding must be performed, the contractor must submit a quality control plan
for the work. For guidelines in approving the submittal, refer to Section 180,
“Welding,” of the Bridge Construction Records and Procedures Manual.
The resident engineer must also verify the receipt and proper distribution of Form
CEM-3101, “Notice of Materials to Be Used,” which lists structural steel materials.

• Verify that METS has inspected and released structural steel and fastener of Work
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 just before their use. 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 contractor’s verification of minimum tension as required by the
specifications. Record the data in the project files.
• For guidelines for 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 working 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 made until the corrected drawings have been submitted.

Steel Structures 4-55.1
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
Section 56 Signs 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.

• Review the plans and specifications to determine the types of signs to be installed
and any special requirements included in the contract.
Materials to Be Used,” which covers signs.
• 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 6-1.08, “Foreign Materials,” of the Standard
Specifications, which covers the use of foreign materials.)
• Refer to the contract specifications and Section 3-605, “Certificates of
Compliance,” of the Construction Manual (manual) regarding provisions of the
Buy America requirements.
• Obtain working 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
working drawings and approve them if they comply with the contract. To review
the working drawings of changeable message signs, refer to Section 168-3.1,
“Shop Plan Review for Changeable Message Sign (CMS) Structures,” of Volume
II of the Bridge Construction Records and Procedures Manual. After review
(and correction if necessary), return one set of the working drawings to the
contractor with the following statement: “The plans are approved pursuant to
Section 5-1.02 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. Ensure adequate horizontal and vertical sight distance. Trees or other
landscape features may need to be trimmed to obtain adequate sight distance.
Advise the contractor of any changes, and if necessary, prepare contract 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.

Signs 4-56.1
• 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 75 mm 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, give 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
contract change order. However, allow sufficient lead time for the normal
distribution of contract change orders. If changes are under way based on a
“prior authorization,” the resident engineer may need to send the revised
specifications or drawings directly to METS in advance of the approved contract
change order. Resident engineers should call METS to confirm receipt of the
changes.
• Review the contract for any requirements for state-furnished material. Resident
engineers must ensure that state-furnished sign materials have been ordered and
will be ready for timely delivery. Make a physical inspection and inventory to
confirm that all state-furnished sign materials are delivered in good condition.
After delivery, the contractor is responsible for any damage to state-furnished
materials.

During the Course Inspect both overhead sign structures and roadside signs.
of Work 4-5603A Overhead Sign Structures
Sign structures often involve many details that are critical to the structures’
permanence. Although 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.” (See
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

4-56.2 Signs
use of the proper materials. For portable 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.
• 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.

Signs 4-56.3
• Report any temporary or permanent changes to horizontal and vertical clearances
to the Transportation Permits Branch in accordance with Section 3-705A,
“Clearance and Bridge Permit Rating Changes (Temporary),” of the 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.” (See Section
6-2, “Acceptance of Manufactured Material and Sampling Methods,” 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 specifications.
• 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 an actual in-the-field review of sign staking and also day and night
observation of completed signage. Include in the daily report notes on assistance
received and changes made.

Measurement and For details of measurement and payment, review contract specifications. Make
Payment necessary measurements and counts.

4-56.4 Signs
Section 57
Section 57 Timber Structures Timber Structures
4-5701 General 4-5701

Section 57, “Timber Structures,” of the Standard Specifications, includes General
specifications for constructing timber structures in conformance with the plans and
specifications.

Materials to Be Used,” which lists timber materials.
• Occasionally, lead times can be longer than a contractor anticipates to procure
hardware and timber requiring preservative treatment. Early in the project,
determine when materials will arrive at the job site.
• If the timber structure requires painting, review Section 4-59, “Painting,” and
Section 4-91, “Paint,” of the Construction Manual (manual).
• If the work requires treated materials, review Section 4-58, “Preservative
Treatment of Lumber, Timber, and Piling,” of this manual.

• To verify that the Office of Materials Engineering and Testing Services has of Work
inspected and released the materials to be used, retrieve Form TL-0624,
“Inspection Release Tag,” as the materials are delivered to the site, and match
the materials to Form TL-0029, “Report of Inspection of Material.”
• In accordance with Table 6-2.1, “Inspection of Fabricated and Manufactured
Materials,” of this manual, visually inspect the timber.
• Ensure the timber and hardware conform to the plans and specifications.

For the basis of measurement and payment, refer to appropriate sections of the special Measurement and
provisions and Standard Specifications. Payment

Timber Structures 4-57.1
Section 58
Section 58 Preservative Treatment of Lumber, Preservative
Timber, and Piling Treatment of
Lumber, Timber,
and Piling
4-5801 General 4-5801
The work covered in this section consists of treating wood products to prevent decay General
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, “Timber Structures”
• Section 80, “Fences”
• Section 83, “Railings and Barriers”
• Section 86, “Signals, Lighting and Electrical Systems”

Materials to Be Used,” for wood products requiring preservative treatment.
• Upon delivery of the materials, note whether they are identified by marks or
inspection tags. Inspection and release of treated wood products by the Office
of Materials Engineering and Testing Services will ensure that specified
preservative treatment meets specifications.
• Inspect the material in accordance with the Table 6-2.1, “Inspection of Fabricated
and Manufactured Materials,” in Section 6-2, “Acceptance of Manufactured
Material and Sampling Methods,” of the Construction Manual.

You do not need to further inspect preservative treatment other than ensuring that During the Course
any damage during handling and installation does not reduce the treatment’s of Work
effectiveness.

The payment for preservative treatment is included in the contract prices paid for Measurement and
the various wood products that are treated. Payment

Preservative Treatment of Lumber, Timber, and Piling 4-58.1
Section 59
Section 59 Painting 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 Bridge Construction Records and Procedures Manual.

Review Section 4-91, “Paint,” and Section 6-2, “Acceptance of Manufactured Before Work Begins
Material and Sampling Methods,” of the Construction Manual.

• To verify the Office of Materials Engineering and Testing Services has inspected of Work
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 the special provisions require.
• During painting, ensure the correct weather conditions exist, and during drying,
ensure conditions will remain favorable.
• 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
Section 61
Section 61 Culvert and Drainage Pipe Joints Culvert and
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, “Reinforced 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.

Materials to Be Used,” which covers all pipe joint materials.
• 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.

Various sections of the Construction Manual describe the procedures for inspecting During the Course
the types of culvert and drainage pipe affected by this section. Ensure that the correct of Work
types of joints or couplers are used and any required testing for watertightness is
performed as specified.

The payment for pipe joints and couplers is normally included in the contract prices Measurement and
paid for the various types and sizes of culvert and drainage pipe. Payment

Culvert and Drainage Pipe Joints 4-61.1
Section 62
Section 62 Alternative Culverts Alternative
Culverts
4-6201 General 4-6201
Section 62, “Alternative Culverts,” of the Standard Specifications provides the General
contractor the opportunity to choose between several different kinds of culverts to
be installed or constructed. Alternative culverts may include pipe, pipe arch,
reinforced concrete box, and reinforced concrete arch culverts. The contract plans
show the locations and alternative types of culverts. When alternative culverts are
specified, the engineer’s estimate will designate contract items as alternative culverts
for each size and type of culvert.

• 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.
• Ensure that Form CEM-3101, “Notice of Materials to Be Used,” lists the type of
pipe, pipe arch, or reinforced concrete box or arch the contractor chose for
alternative culverts.

For guidelines for inspecting each chosen type of culvert, refer to the appropriate During the Course
section in Chapter 4, “Construction Details,” of the Construction Manual (manual). of Work
Once a type of culvert has been selected, apply the specifications for pipe and pipe Measurement and
arches, including measurement and payment provisions, specific to that type of Payment
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.

Alternative Culverts 4-62.1
Section 63
Section 63 Cast-In-Place Concrete Pipe Cast-In-Place
Concrete Pipe
4-6301 General 4-6301
Cast-in-place concrete pipe is used for culverts operating under low head conditions General
and is generally not placed under a roadbed. For the design criteria for this type of
pipe, see Topic 854 of the Highway Design Manual. Also, note that special soil
conditions are necessary for installing cast-in-place concrete pipe.

Before work begins, the resident engineers and the assistant resident engineers should Before Work Begins
review the plans, specifications, and the “Materials Information,” and inspect the
sites of all planned installations. During the preliminary review and inspections, the
resident engineers and assistants should also do the following:
• If any existing conditions preclude successful installation of the pipe, make any
necessary contract changes by contract change order.
Materials To Be Used,” which would cover portland cement concrete.
• Arrange for preliminary testing and mix design. (Refer to Section 90 of the
Standard Specifications and to Section 4-90, “Portland Cement Concrete,” of
the Construction Manual (manual) for information on the production of portland
cement concrete.)
• Examine the proposed equipment for making the pipe.

During work operations, the resident engineers and assistant resident engineers should During the Course
do the following: of Work
• Ensure that the pipe will be placed to the planned flow line grade by spot checking
elevations using control stakes set by Caltrans.
• Determine that the bottom of the trench, as shown on the plans, is shaped to the
pipe’s external diameter.
• Require that the surface, against which the concrete will be placed, is moist but
free of standing water, mud, and debris.
• Order the discontinuance or alteration of any equipment or method that doesn’t
produce the desired result.
• Check the penetration of the concrete. Make enough sets of concrete cylinders
to ensure the minimum required strength prior to placing backfill material.

Cast-In-Place Concrete Pipe 4-63.1
• Inspect freshly placed concrete for consolidation. Rock pockets indicate
inadequately consolidated concrete. Sight along the pipe’s flow line to ensure
no irregularities exist outside the specified tolerance. Make measurements to
check required thickness. Make a rough check of thickness by comparing the
volume of concrete placed with the theoretical volume of the pipe in place.
Ensure construction joints meet specifications.
• Inspect the pipe periodically throughout the progress of work and order any
necessary repairs.
• Require that the pipe is cured, backfilled, and protected as specified.
• Before recommending contract acceptance or relief of maintenance, require the
pipe to be cleaned if necessary.

Measurement and Determine the quantity of pipe by using the slope length shown on the plans or
Payment calculated from staking notes or information on the plans, plus or minus any ordered
changes. Quantity calculations should reflect this method of measurement. Also, to
ensure the proper payment, review the payment clause in the specifications.

4-63.2 Cast-In-Place Concrete Pipe
Section 64
Section 64 Plastic Pipe Plastic Pipe
4-6401 General 4-6401

Plastic pipe is used for culverts and storm drains. Plastic pipe consists of either General
polyethelene or polyvinyl chloride pipe (PVC).

Well before work begins, review the plans and specifications and inspect the sites of Before Work Begins
all planned installations. Reviewing these items sufficiently in advance helps prevent
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 contract change
order.
• Verify that Form CEM-3101, “Notice of Materials To Be Used,” which would
cover plastic pipe, has been received and properly distributed.

During work operations, the resident engineers and assistant resident engineers should During the Course
• 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.
• After the pipe arrives at the job site, check identification tags or marks to ensure
an inspector from the Office of Materials Engineering and Test Services (METS)
has inspected the pipe at the source of the pipe’s origin.

Plastic Pipe 4-64.1
• Verify the final acceptability of the pipes following the guidelines in Section 6-
2, “Acceptance of Material and Sampling Methods,” of the Construction Manual
(manual). The following problems with pipe are unacceptable:
Type of Pipe Unacceptable Problems
High density polyethelene Cracks in ribs or inner wall
Polyvinyl chloride pipe (PVC) Cracks in wall or cracked

or missing ribs
• During the onsite storage of PVC pipes, verify their protection from long-term
exposure to sunlight. Without such protection, the pipes may become brittle. In
fact, ensure that pipes are protected from any kind of damage throughout all
operations.
• Verify that pipes of the specified size, type, and class are in the proper locations.
• Examine gaskets for cracks or splits.
• Verify pipe joints are installed as specified.
• Require methods of handling that will not damage the 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.
• After the backfill of pressure pipes or siphons to 0.6 m over the crown, witness
the specified hydrostatic tests. Require the repair of all obvious leaks and leak
reductions to the maximum permitted.
• Require that culvert construction loads (as shown in the Standard Plans) meet
the minimum fill conditions.
• 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 See Section 4-65, “Reinforced Concrete Pipe,” of this manual for a discussion on
Payment measuring pipe.

4-64.2 Plastic Pipe
Section 65 Reinforced Concrete Pipe
4-6501 General

Reinforced Concrete Pipe 4-65.i
Section 65
Section 65 Reinforced Concrete Pipe Reinforced
Concrete Pipe
4-6501 General 4-6501
Reinforced concrete pipe is used for culverts, siphons, drains, and conduits. Section General
65, “Reinforced Concrete Pipe,” of the Standard Specifications, includes
specifications for circular reinforced concrete pipe, oval-shaped reinforced concrete
pipe, and reinforced concrete pipe arch. 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 Before Work Begins
all planned installations. Reviewing these items sufficiently in advance helps prevent
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
• As soon as final locations and lengths are determined, give the contractor a
revised pipe list, including those pipes added or altered by contract change order.
Materials To Be Used,” which would cover reinforced concrete pipe of the type
and class specified. 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
• 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.

Reinforced Concrete Pipe 4-65.1
• Determine the final acceptability of the pipe using the guidelines in Section 6-2,
“Acceptance of Manufactured Material and Sampling Methods,” of this
Construction Manual (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
0.3 mm 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 3.0 mm 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 contractor’s 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 mortar, rubber gaskets, resilient materials,
or liquid sealing materials. Reject gaskets that have cracks or splits.
• Check the aggregate and the proportioning of portland 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 manufacturer’s
instructions.
• 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.

4-65.2 Reinforced Concrete Pipe
• Review backfill details on the contract plans, Standard Plans, or both. Determine
that the class of reinforced concrete pipeand 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 are used, observe carefully and ensure
the pipe is not displaced or floated by uneven or too rapid placement. For fast-
setting concrete or fast-setting slurry cement backfill, allow only nonchloride
admixtures to accelerate the setting time.
• After the backfill of pressure pipes or siphons to 0.6 m over the crown, witness
the specified hydrostatic tests. Require the repair of all obvious leaks and leak
reductions to the maximum permitted.
• 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 one-meter 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 one-meter

structures (inside face to increment equal to or longer
inside face of two drop than the pipe necessary
inlets). before cutting
Example 1:
The length along centerline between the two faces and additional length
required due to skew=18.9 m
Individual lengths of pipe placed total 18.3 m, 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 19 m
Example 2:
Centerline length between inside faces not on a skew=18.5 m
Lengths of pipe placed total 19.5 m
Therefore:
Pay for 19 m

4-65.4 Reinforced Concrete Pipe
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=44.4 m.
• Individual lengths of pipe placed total 44 m, plus additional length made up in
joints or forming out from one structure, or both.
Therefore:
Pay for 44.4 m
4-6504C Case III
Pipe placed from toe of Uncut Pay the slope length the
fill to toe of fill. engineer designates.
Example:
• Designated length=44 m.
• Laid pipe=44.4 m, 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 44 m
Under the following circumstances, you may use field measurements in lieu of
calculations or you may supplement calculations:
1. A culvert 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 culvert is properly staked, you may use field measurements
between stakes referenced to the ends of the culvert 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
Section 66 Corrugated Metal Pipe Corrugated
Metal Pipe
4-6601 General 4-6601
Corrugated metal pipe, designated by metal thickness and pipe diameter, includes General
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 contract 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 contract change order.
• After determining final locations and lengths, give the contractor a revised pipe
list, including those pipes added or altered by contract change order.
Materials to Be Used,” which lists all fabricated materials.

• Upon delivery of the pipe, note whether it is identified by marks or inspection of Work
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 the
Construction Manual (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 information about concrete backfill and slurry cement backfill, see Section
4-65, “Reinforced Concrete Pipe,” of this manual. The contractor must not use
slurry cement backfill with aluminum metal pipe or corrugated metal pipe coated
with aluminum.
• 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 hydrostatic
tests.
• When pipes are installed by jacking, note whether methods and equipment
damage the pipe. Heavier pipe may be necessary to withstand jacking pressure.
The contractor must bear any extra cost that exceeds the cost for the original
pipe of specified thickness.
• During and after jacking, ensure that both line and grade comply with specified
tolerances. If the void between the pipe and the periphery of the excavation
exceeds the permitted amount, require the contractor to fill the void with sand or
mortar. This filling may be accomplished by using special fittings placed through
the pipe wall or by using holes drilled from the surface to the void.
• 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 See Section 4-65, “Reinforced Concrete Pipe,” of this manual for information on
Payment measuring pipe.

4-66.2 Corrugated Metal Pipe
Section 67
Section 67 Structural Metal Plate Pipe Structural Metal
Plate Pipe
4-6701 General 4-6701
Structural metal plate pipe includes steel and aluminum pipes, arches, and pipe arches General
and is assembled in the field. The plans and specifications designate the number and
thickness of plates in each installation.

• Sufficiently in advance of the contractor’s 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.
Materials to Be Used,” which lists all fabricated materials.
• Before assembling the structural plates, ensure the receipt of the manufacturer’s
assembly instructions. Ensure the instructions conform to the plans and
specifications.

Once work begins, do the following: During the Course
• Upon delivery, determine whether Form TL-0624, “Inspection Tags,” identifies of Work
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 strength 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.
• 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.

Structural Metal Plate Pipe 4-67.1
• Require assembly according to the manufacturer’s 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 67-1.05, “Placing,” 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, be 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.
• Prohibit the use of slurry cement backfill with aluminum structural metal plate
pipe. Refer to Section 4-19, “Earthwork,” of the Construction Manual (manual)
for instructions on inspecting backfill. Refer to Section 4-65, “Reinforced
Concrete Pipe,” of the 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 See the discussion of measurement of pipe in Section 4-65, “Reinforced Concrete
and Payment Pipe,” of this manual.

4-67.2 Structural Metal Plate Pipe
Section 68 Subsurface Drains
4-6801 General
4-6801A Underdrains
4-6801B Horizontal Drains
4-6801C Edge Drains

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 three types of subsurface drains: underdrains, horizontal drains, General
and edge drains.
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 40-mm 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.
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

Subsurface Drains 4-68.1
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
These are installed beneath a paved shoulder, just out from the edge of the portland
cement 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.
4-6802 4-6802 Before Work Begins

Before Work Begins During this preliminary inspection, take the following steps:
• Ensure the contractor requests staking for control of line and grade.
Materials to Be Used,” which covers all fabricated materials. (See Section 6-2
“Acceptance of Manufactured Material and Sampling Methods” and Section 6-
3 “Field Tests,” of the Construction Manual (manual) for details.)
• Upon delivery of the materials, note whether Form TL-0624, “Inspection Release
Tag,” identifies the pipe. Note the condition of the pipe and, if applicable, either
require repair of minor damage or reject the pipe because of more serious damage.
• 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.
• 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.

4-68.2 Subsurface Drains
• Subsurface drains are hidden from view for the most part, so ensure complete of Work
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 68-1.03,
“Installing Underdrains,” in the Standard Specifications.
• Terminal cleanouts and intermediate risers are vulnerable to damage throughout
the contract’s 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, and 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 drain’s 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 enable efficient and more complete maintenance and repair.

Subsurface Drains 4-68.3
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
enable efficient and more complete maintenance and repair.

Measurement and Measurement and payment must conform to the special provisions, Standard
Payment Specifications, or both.
Underdrains, horizontal drains, and edge drains each have different measurement
and payment clauses.
For underdrains and edge drains, see Section 4-65, “Reinforced Concrete Pipe,” in
this manual for a discussion of slope length designated by the engineer. Note that in
sections, 68-1 “Underdrains,” and 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.

4-68.4 Subsurface Drains
Section 69
Section 69 Overside Drains Overside Drains
4-6901 General 4-6901

Overside drains consist of various types of pipes, flumes, and lined ditches installed General
to remove surface water from highways or from benches in cut or fill slopes.

• Review the project with the maintenance superintendent to assess any problem
drainage areas.
• Review sheets D78, D87A, D87B, D87C, and D87D in the Standard Plans for
information on downdrains and overside drains.
Materials to Be Used,” which covers all fabricated materials. See Section 6-2,
“Acceptance of Manufactured Material and Sampling Methods,” and Section 6-
3, ”Field Tests,” of the Construction Manual (manual) for details.
• Upon delivery of the materials, note whether they are identified by marks or
inspection tags, using Form TL-0624, “Inspection Release Tag.”
• Check the condition of the materials to discover any damage possibly sustained
during handling after the source inspection. Require the repair of minor damage
to coatings or galvanizing. (See Section 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 joint materials.
• Normally, the METS inspector will have obtained certificates of compliance
and mill test reports. Project personnel do not need these documents if materials
are properly identified as previously inspected.
• Review any planned installations of metal beam guard railing. If overside drains
are in a metal beam guard railing area, consider using long span nested guard
rail. (See the Traffic Manual, Chapter 7-03.5, “Design Considerations” and Figure
7.5, “Long Span Nested Guard Rail”.)
• 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.

Overside Drains 4-69.1
During the Course During work, take the following steps:
of 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.
• 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 then
by cutting the dike where the water ponds.

Measurement and Count entrance tapers, tapered inlets, reducers, slip joints, and anchor assemblies.
Payment The 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 deem 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,
“Reinforced Concrete Pipe,” of this manual.

4-69.2 Overside Drains
Section 70
Section 70 Miscellaneous Facilities Miscellaneous
Facilities
4-7001 General 4-7001

Items covered under this section are related to drainage facilities or transmission General
pipe lines. Section 70-1.01, “Description,” of the Standard Specifications lists the
various facilities included.
4-7002
Before Work Begins
Materials to Be Used,” which lists miscellaneous facilities.
• Before the contractor places orders, notify the contractor of any changes affecting
quantities of miscellaneous facilities.

Once work begins, take the following steps: During the Course
• Check all items as they are delivered to the job site to ensure that the Office of of Work
Materials Engineering and Testing Services has released the materials for
shipment. Also, inspect the materials in accordance with Section 6-2, “Acceptance
of Manufactured Material and Sampling Methods,” of the Construction Manual
(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 contractor’s operation.
• 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.

For examples of determining the slope length designated by the engineer in the Measurement and
measurement of welded steel pipe, see Section 4-65, “Reinforced Concrete Pipe,” Payment
of this manual. Note that no adjustment in length is specified when welded steel
pipe is cut to fit a structure.
To properly measure and pay for the various items covered in this section, carefully
read the measurement and payment clauses in the Standard Specifications. Payment
for some items, but not all, includes payment for structure excavation and backfill.
The measurement and payment clauses also refer to other sections of the Standard
Specifications for some of the work that must be measured and paid for in accordance
with those sections.

Miscellaneous Facilities 4-70.1
Section 72 Slope Protection
4-7201 General

4-7203A Rock Slope Protection
4-7203B Sacked-Concrete Slope Protection
4-7203C Gabion Basket Protection
4-7203D Concrete Slope Protection
4-7203E Concreted-Rock Slope Protection
4-7203F Slope Paving

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

Section 72, “Slope Protection,” of the Standard Specifications covers slope protection. General
The following (covered under the heading “During the Course of Work” below) are
some of the common types of slope protection used by Caltrans:
• Rock slope protection
• Gabion basket protection
• Concrete slope protection
• Concreted-rock slope protection
• Slope paving
Other protective devices are used in conjunction with highway construction, and
when used, they are included in the contract’s 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 Joint Bank 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 Protection—Erosion 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
• Type of adjacent soils capable of resisting 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.
Materials to Be Used,” which lists the materials for slope protection. Obtain
initial samples and have them tested for the specified attributes.

Slope Protection 4-72.1
During the Course Take the following steps when inspecting the work and materials for slope protection:
of 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 Material and Sampling Methods,” of the Construction Manual
(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. As a minimum, the plans indicate the depths of foundations.
When evidence exists that the depth is inadequate, the contractor should deepen
the foundation with concurrence from the design engineer and the hydraulics
engineer. Of the various types of instability problems, foundation failures are
the most serious and most common.
• Also 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 contractor’s selection of rocks for placing, we
suggest painting the 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.
• Protect existing shrubs and trees 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
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.

4-72.2 Slope Protection
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. See Section 4-88,
“Engineering Fabrics,” 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 Sacked-Concrete Slope Protection
This type of 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. See 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.
4-7203C Gabion Basket Protection
This method consists of placing wire mesh box-shaped baskets filled on-site 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 the minimum mass 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.
4-7203D Concrete Slope Protection
This 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, “Portland Cement 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.

Slope Protection 4-72.3
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 Concreted-Rock Slope Protection
This 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, “Portland Cement
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.
Before placing the concrete, inspect the rock to ensure it has been cleaned of any
adhering dirt and clay and then moistened.
For measurement purposes, perform California Test 518, “Unit Weight of Fresh
Concrete,” to determine the unit weight of the concrete.
Ensure the contractor brushes the surface, exposes the rocks as specified, and cures
the work by one of the specified methods.
4-7203F Slope Paving
For details about concrete production, review Section 4-90, “Portland Cement
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.

Measurement and For details of measurement and payment, review the contract specifications. Make
Payment necessary measurements.
For measuring concrete or shotcrete, refer to Section 4-90, “Portland Cement
Concrete,” or Section 4-53, “Shotcrete,” of this manual.

4-72.4 Slope Protection
Section 73 Concrete Curbs and Sidewalks
4-7301 General

Concrete Curbs and Sidewalks 4-73.i
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, “Portland Cement
Concrete,” of the Construction 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 Begins
• Review the contract for details about the project’s concrete curbs and sidewalks,
and compare these details with conditions in the field. As appropriate, review
sheets A87, 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 do the following:
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 public’s convenience, a consideration required by
Section 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 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 engineer’s 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.
• 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.

Concrete Curbs and Sidewalks 4-73.1
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 measures 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. The forms 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. The forms are coated with form oil as specified.
5. The forms have the specified full depth.
6. The forms 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 the contract’s “Order of
Work” in the special provisions.
• 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
pavement as specified and uses the required adhesive. Inspect the slipform
machine to ensure it meets specifications.
• Inspect the placement of weakened plane and expansion joints to ensure they
are constructed as specified.

4-73.2 Chapter 4 • Section 73 Concrete Curbs and Sidewalks
• 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 3m 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 does not place concrete on frozen or ice-coated material
and protects the concrete after placement according to the specifications.

Measure concrete curbs and sidewalks by the cubic meter from the dimensions shown Measurement
on the plans or by longitudinal field measurement. and Payment
To determine pay quantities for curb when minor concrete is paid for by the cubic
meter, you may use the table for curb quantity factors (cubic meter/meter) in the
Standard Plans.

Concrete Curbs and Sidewalks 4-73.3
Section 74
Section 74 Pumping Plant Equipment Pumping Plant
Equipment
4-7401 General 4-7401
Section 74, “Pumping Plant Equipment,” of the Standard Specifications includes General
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 5-1.02, “Plans and Working Drawings,” of the Standard Before Work Begins
Specifications, the contractor must submit for approval working drawings and a list
of proposed materials. The drawings and materials list must be submitted directly to
the Office of Structure Design, documents unit. The submittal is reviewed through a
coordinated effort between the Office of Structure Design and the Office of Structure
Construction. Within the Office of Structure Design, the Office of Electrical,
Mechanical, Water and Wastewater Engineering will review the submittal and has
the primary responsibility for approving the working drawings and materials list.

• Verify that the equipment and materials installed by the contractor are the same of Work
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 Plant Equipment 4-74.1
Section 75
Section 75 Miscellaneous Metal Miscellaneous
Metal
4-7501 General 4-7501

This section presents some steps assistant resident engineers should follow when General
inspecting the installation of any miscellaneous metals for a construction project.
Miscellaneous metals include miscellaneous iron and steel, miscellaneous metal
(bridge), miscellaneous metal (restrainer), and pumping plant metal work.

Well in advance before the start of work, review the contract plans and note all the Before Work Begins
miscellaneous metals to be installed on the project. Reviewing these items sufficiently
in advance helps prevent scheduling conflicts and errors in ordering materials. During
the preliminary review and inspections, the assistant resident engineer should also
do the following:
Materials to Be Used”, which covers miscellaneous metals.
• If required, obtain from the Office of Materials Engineering and Testing Services
(METS) approval of foreign manufacturers before the manufacturers furnish
the materials. (Refer to Section 6-1.08 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.” See Section
6-2, “Acceptance of Manufactured Material and Sampling Methods,” of the
Construction Manual (manual) for more explanation.
• Require the repair of any minor damage to galvanizing or coatings, as specified
in Section 75-1.05 of the Standard Specifications.
• Refer to the contract specifications and Section 3-605, “Certificates of
Compliance,” of this manual regarding Buy America requirements.

During work operations, the assistant resident engineer should do the following: During the Course
• Ensure that any welding of miscellaneous metals conforms to American Welding of Work
Society (AWS) D1.1 or as specified in the contract documents.
• Ensure that frames and grates or frames and covers are match marked.
• Ensure that deck drains and other grating openings are covered until final cleanup
of the deck.
• Require testing of deck drains as specified.

Miscellaneous Metal 4-75.1
Additional information about mechanical anchorage devices and high strength bolts
can be found in sections 135 and 170 of the Bridge Construction Records and
Procedures Manual, respectively.

Measurement and Require scale weights for miscellaneous metal unless quantities are designated as
Payment final pay quantities. Make the specified deductions when materials are remotely
manufactured, per Section 75-1.07, “Payment,” of the Standard Specifications.

4-75.2 Miscellaneous Metal
Section 80
Section 80 Fences Fences
4-8001 General 4-8001

This section describes the work for constructing barbed wire fence, wire mesh fence, General
and chain link fence.

Review the plans, special provisions, and right-of-way agreements for any special Before Work Begins
details. If it is necessary to revise, add, or delete fence on a contract, review the
Highway Design Manual for the general policy on such actions and consult with the
project engineer if necessary. You should 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 15-2.05B 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.
• It is also possible to construct fences 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, note whether they are identified
by marks or inspection tags (use Form TL-0624, “Inspection Release Tag”) and
match these marks or tags against Form TL-0029, “Report of Inspection of
Material.” Determine the final acceptability of the fence material as outlined in
the Table 6-2.1 entitled “Inspection of Fabricated and Manufactured Materials”
in Section 6-2, “Acceptance of Manufactured Material and Sampling Methods,”
• Arrange for necessary control staking when the contractor has submitted the
required survey request.

During work operations, take the following steps: During the Course
• Ensure the grading of areas in which fence is to be placed and the excavation of of Work
high points that interfere with the placing of wire or mesh. 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
sufficiently 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 in 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 owner’s 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
Payment both partial and final payment. Pay only for completed lengths except for incidental
work as covered in Section 3-9, “Measurement and Payment,” of this manual.
Consider using a tracking system to help prevent duplication or omissions of
quantities.
4-80.2 Fences
Section 81
Section 81 Monuments Monuments
4-8101 General 4-8101

This section describes the work for constructing survey monuments. General

• Upon delivery of the materials to the job site, note whether they are identified
by marks or inspection tags (use Form TL-0624, “Inspection Release Tag”) and
match the marks or tags against Form TL-0029, “Report of Inspection of
Material.” Determine the final acceptability of the frame and cover as outlined
in the Table 6-2.1, “Inspection of Fabricated and Manufactured Materials” in
of the Construction Manual.
• 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 of Work
or 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 contractor’s Measurement and
operation. See section 7-1.11, “Preservation of Property,” in the Standard Payment
Specifications.

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 General
at 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 mounted at the side of the roadway, in
a series, to indicate the roadway alignment.

• 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 Traffic Manual provides design details for
markers and delineators.)
• Determine the proper receipt and distribution of Form CEM-3101, “Notice of
Materials To Be Used,” which covers markers and delineators. All materials
listed should be from the lists of approved products contained in the materials
portion of the special provisions.
• Examine markers and delineators to ensure they are as specified. 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 kilometer values to be stenciled on kilopost
markers.
• Verify that state furnished material has been ordered and obtained as identified
in the special provisions.

Inspect the materials and method of installation as specified in the Standard During the Course
Specifications and special provisions. This inspection will include, but is not limited of Work
to, the following steps:
• Ensure the contractor’s layout work conforms with 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.
• Ensure the contractor follows the method of placement, as specified in the
Standard Specifications and the special provisions.

Markers and Delineators 4-82.1
• During the installations of target plates, check that washers are used and that
nuts and rivets are installed properly.
• After installation, check for any damage to the installed material and 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-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 discusses concepts and design
considerations for traffic safety systems, including railings and barriers.
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 660
mm to 685 mm is necessary to prevent errant vehicles from climbing over the
guardrail. Spacing posts 1905 mm apart provides resistance to guardrail deflection
on impact and also 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.
Also, the block allows the guardrail to rise slightly on initial impact, reducing a
vehicle’s 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, the specified washers prevent bolts from pulling through
when a vehicle strikes the guardrail. Also, during installation, the square hole in the
plate washer will keep the carriage bolt from rotating.
For anchoring guardrail, anchor cables should be drawn up tautly. Cable clips must
be installed correctly with the “U” on the short end of the cable and the saddle on the
working end. Chapter 7 of the Traffic Manual discusses guardrail anchorage.
The metal box spacer used at the “structure” end of an approach guardrail allows the
guardrail to approach the structure on a straight line and minimizes the possibility of
vehicles snagging on the end of the bridge railing.
Frequently, when lateral clearances are limited, a proprietary end terminal system
will be specified. When the plans and special provisions require end terminal systems,
ensure the systems are installed according to the manufacturers’ instructions.

Railings and Barriers 4-83.1
• 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 blocks for metal beam guard railing are toenailed to timber posts.
• 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 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 the markings on the bolts to ensure they also match specifications. When
necessary, consult with district laboratory personnel about the proper markings.
• Ensure that anchor assemblies are constructed as specified. Cable clips should
be installed in the proper direction and tightened to the required torque. The
METS inspector will normally have obtained, when required for testing, a sample
cable with swaged fitting. Therefore, 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, it may be
necessary to use longer posts or some design modifications to ensure a barrier
with adequate strength. Refer to Sheet A77FA 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.
• Direct the disposal of surplus material from excavation. When traffic is using an
adjacent lane, prohibit spoil piles or windrows of material to remain 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 that the nuts are threaded
completely onto the bolt. Ensure that no more than 13 mm of thread is exposed
on the traffic side of the guardrail as shown on the plans.
• Ensure the construction of flares conforms to the plans.
• Keep adequate records and make sufficient measurements to support both partial
and final payment.

Measure railings, barriers, and terminal systems as specified and, where appropriate, Measurement and
to the limits shown on the plans. Also, by counting, determine the number of cable Payment
anchor assemblies and connections to be paid for.

Section 84
Section 84 Traffic Stripes and Pavement Markings Traffic Stripes
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 engineer’s estimate 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 Begins
maintenance striping superintendent or supervisor. Ask if there are any particular
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.
Materials to Be Used,” which covers striping tape, paint, thermoplastic material,
and glass beads.
• 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 manufacturer’s 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 contractor’s equipment for specification compliance either in the
contractor’s or subcontractor’s yard or on another project. Examine the
contractor’s methods for checking spread rates of paint and glass beads,
application temperatures of thermoplastic material, and maximum temperatures
of paint.
• Ensure that the contractor’s stencils will produce correctly dimensioned pavement
markings.

Traffic Stripes and Pavement Markings 4-84.1
of Work • Check the contractor’s 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. Employees
working around thermoplastic material should wear suitable personal safety
equipment, long-sleeved shirts, and eye protection.
• Before applying thermoplastic material, check and document the pavement
temperature.
• Before applying paint, check and document the atmospheric temperature and
expected weather conditions. Never 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 applying striping or marking, 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.
• 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.

4-84.2 Traffic Stripes and Pavement Markings
Measure the striping and markings according to the units and manner specified in Measurement and
the Standard Specifications and the special provisions. Record such measurement in Payment
the daily reports and the calculation sheets to support partial and final payments.
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 the Construction Manual (manual), see the following documents for more
information:
• 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. Only bituminous adhesive is permitted when moving lane closures
are used. 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.

• Review plans, the Standard Specifications, and the special provisions.
• Review the contractor’s proposed method of controlling traffic and ensure that
all the specified components of any required traffic control system are in place.
Materials to Be Used,” which covers pavement markers and adhesive material.
Listed pavement markers should be from the lists of approved products contained
in the materials section of the special provisions.
• 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 contractor’s equipment, and determine the method to be used for
checking the bituminous adhesive temperature.

Pavement Markers 4-85.1
• Check the contractor’s 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.

of Work • Before the placing of pavement markers, ensure that pavement has cured for the
specified time.
• Before applying adhesives, ensure the pavement is clean and the surface dry.
• Check pavement and air temperatures.
• Permit moving lane closures only when markers are placed using bituminous
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
Section 86 Signals, Lighting and Electrical Systems Signals, Lighting
and 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, construction has transportation electrical engineers to act as resident
engineers on projects where electrical work is predominant. On projects where
electrical work is not predominant, then 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, the department 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 include the following:
• 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 consist 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.

Before work begins, do the following: Before Work 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.

Signals, Lighting and 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 engineer’s pending file and to discuss the
status of utilitity agreements and relocations. At the start of the project, review
the resident engineer’s pending file to become familiar with such agreements.
• 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, pile-driving equipment, 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.
• Determine the contractor’s schedule of operations so arrangements can be made
to maintain existing signals and street lighting.
• Section 86-1.03, “Cost Break-Down,” of the Standard Specifications provides
for a cost breakdown of each lump sum unit of electrical work. Check the
contractor’s breakdown for completeness and accuracy. Before approving the
submittal, call to the contractor’s attention any unbalanced unit costs and require
their correction. This breakdown can be used for progress payments and also as
a cost basis for contract change orders. Before making partial payments on lump
sum electrical items, approve the cost breakdown.
• Obtain a list of equipment and materials that the contractor proposes to install,
as required by Section 86-1.04, “Equipment List and Drawings,” of the Standard
Specifications. To prevent omissions or irregularities, the resident engineer must
check the required list of materials, and the electrical design unit must then
recheck the list. For compliance with the contract, ensure the materials are
identified with the manufacturers’ names, catalog numbers, and other appropriate
listings.
• Before any excavation near a known underground utility, ensure the contractor
has called the regional notification center. (Reference the “Obstruction” section
in your special provisions.) Caltrans is not affiliated with any utility notification
centers. Therefore, our facilities cannot be located in this manner. Contact the
local electrical maintenance region manager for help in locating Caltrans facilities.
For facilities within Caltrans right-of-way, such as irrigation systems, signal
and lighting systems, and traffic monitoring stations, you may obtain and verify
the lastest utility “as-built” from the electrical maintenance unit .
4-86.2 Signals, Lighting and Electrical Systems
• Promptly order state-furnished materials listed in the special provisions, such as
signs, lamps, light emitting diodes (LEDs), signal controllers, cabinets, and other
equipment. Also, to control the pickup and delivery of these materials to the
contractor, contact all the necessary parties.
4-8602A Materials
For materials, do the following:
Materials to Be Used,” which lists electrical materials.
• To determine which materials are assigned for release at the job site, review
Form TL-0028, “Notice of Material to Be Inspected.” Also, ensure the contractor
delivers with these materials the necessary certificates of compliance (including
compliance with Buy America requirements) and test results to the site. You
must release or reject the materials in accordance with Chapter 6, “Sampling
and Testing,” of the Construction Manual (manual).
• As stated in Section 6-1.05, “Trade Names and Alternatives,” 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 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 and give adequate weight to their
recommendations as to the acceptability of a proposed substitute.
• The resident engineer must recommend approval or denial of a substitute. Under
no circumstances must the supplier or contractor bypass the resident engineer
by negotiating with other functions for proposed substitutes on projects under
contract.
• Any substitution for a specified product is a change in specifications and must
be made by a contract change order.
• For any electrical materials that the plans indicate will be salvaged, checked the
condition of the materials before the contractor arrives on the job site. To
document the materials’ condition, take photographs. For more information on
salvage materials, see Section 3-403B (4), “Surplus and Salvaged Material,” of
this manual.

• During construction, ensure the use of adequate warnings and safeguards in the of Work
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 once
such 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 offramps is related directly to the gore on
offramps and to the lane width of on ramps. Keep this fact in mind if it is necessary
to revise the locations of the electroliers. For the location of freeway luminaires,
see Figure 9-25, “Freeway Lighting,” of the Traffic Manual. Also, pay particular
attention to the foundation locations shown on Sheet ES-11, “Signal, Lighting
and Electrical Systems-Foundation Installations,” of the Standard Plans.
• Concrete for electrolier and signal foundations is often placed without forms
against the excavation. 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. Determine that bar reinforcing steel, when required, 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.
• Before accepting a project, ensure that the grounding of standards complies
with specified methods.
• When laying out standards, ensure no obstructions exist that will prevent vehicular
or pedestrian traffic from seeing vehicular or pedestrian signal faces. Standards
with push buttons must be no more than 1.5 m from crosswalks, and the push
buttons must be on the side of the standard nearest the crosswalk.
• Upon setting the standards, ensure that washers are used on both sides of the
slip base plate and between the bottom and top slip base plates and that, before
erecting the standard, all leveling and top nuts are properly torqued. When using
slip base inserts, assemble the top and bottom plates and torque 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 contract 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 five feet from expansion joints. This practice prevents
extra stresses from the electrolier at these critical structural locations.
• A slight rake of the standard, about three degrees from the roadway, prevents
the impression that the standard is leaning toward the highway. The standard
can be raked by plumbing the side of the tapered standard from the road.
4-8603C Conduit
In general, do the following for conduit:
• 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 conduit’s 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 the proper type and placement of them.
• 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 millimeters 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 give 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, nonthreaded joints for plastic conduit, ensure the contractor takes
special care to clean the ends of the pipe and use 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 wheel chair 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 surface—never
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 about
30 mm 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 19 mm
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 a low of
milli-volts for pedestrian push button and detector loops to a high of 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.
• 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.
4-8603E Conductors
For conductors, do the following:
• One conductor is needed for each separate signal section, 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 right angle to
the other head on the same pole requires three more conductors, or a total of ten.

Arrow lenses generally need an additional conductor each. If questions arise
concerning conductor color coding, size, or installation method, consult with
the district traffic unit or the electrical maintenance unit.
• Despite the fact that 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 push button, and lighting conductors can be spliced.)
• On 9.1 m poles, the best job can often be obtained by installing the luminaire
conductors inside the pole before erection and then 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 overpulling,
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 manufacturer’s 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 be 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. During installation, the following are some of the duties to perform:
• 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 vacumned 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 wire’s 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 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. Also, before pouring concrete 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 then also 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 plan’s
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
• Grounds
• 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, which is 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 five-day continuous satisfactory operation test for
traffic signals and two consecutive nights for lighting systems. If the operation test
fails during the five days of operation, repairs will be made and the test will be
restarted. If state-furnished material fails, do not restart the test. Once the state-
furnished material has been repaired, the test can continue to completion.
4-8603J Completing the Project
To complete the project, do the following:
• 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 nearly 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 the
top of light standards, final painting and cleanup, and similar details.
• Give two 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.
4-8603K Forms
The resident engineer must ensure that all necessary forms are completed or placed
in the cabinet. These forms include but are not necessarily limited to the following:
• Notification to the appropriate district units of dates when electrical facilities
were placed in service 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.
4-8603L Guaranties
Resident engineers must take the following actions on contracts that include a
guaranty 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 guaranty.
The contractor referred to here is the one who signed the original guaranty.
2. Name, address, and phone number of the signal equipment vendor.
3. Date of the contract acceptance.
4. Date the guaranty 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 Payment
of one month through the 20th of the next month. For progress payment purposes,
keep records of the work completed in each period. One way of keeping track of
such work is to mark on a set of contract plans with a felt pen using a different color
for different periods. At the 20th of the month, total all the work units performed
during that period. Then, using the cost breakdown furnished at the beginning of the
project, calculate the value of work completed in this period. To make this a very
simple calculation, you can establish a spreadsheet.
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 contractor’s submittials for MOH, and verify
that materials incorporated into the work have been removed from the MOH
submittial.
Verify all the bid items and review the special provisions as to the method of payments
and the condition of the item payments.

Section 90
Section 90 Portland Cement Concrete
Portland Cement
Concrete
4-9001 General 4-9001

This section covers portland cement concrete. The Standard Specifications designates General
concrete with the following descriptions:
• Class
• Cement content
• Compressive strength
• Minor concrete
This section does not cover specialty concrete such as polyester concrete and fast-
setting hydraulic cement concrete. The resident engineer should contact the Division
of Construction, the Office of Materials Engineering and Testing Services (METS),
and the district materials engineer for guidance on specialty concrete.
For a complete discussion on various items using concrete, refer to Section 40,
“Portland Cement Concrete Pavement,” Section 50, “Prestressing Concrete,” Section
51, “Concrete Structures,” Section 72, “Slope Protection,” and Section 73, “Concrete
Curbs and Sidewalks,” among other sections of the Standard Specifications. Also
refer to the corresponding Section 4-40, Section 4-51, Section 4-72, and Section 4-
73 of the Construction Manual (manual). You can also obtain additional information
on portland cement concrete from the Office of Structure Construction’s Concrete
Technology Manual and the Bridge Construction Records and Procedures Manual.

The Standard Specifications requires the contractor to determine the mix proportions Before Work Begins
for all concrete except for pavement concrete. To determine the various types of
concrete that will be required, review the contract provisions. Pay particular attention
to concrete designations such as “class,” “cement content,” “compressive strength,”
or “minor concrete.” Also, note the type of cement to be used and any special
requirements for the aggregate and use of admixtures. 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. For your review, encourage the contractor to submit the mix
designs early in the project.
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 approved copy of the mix design for unit’s plant inspectors. If the
concrete is designated by compressive strength, obtain certified test data or trial
batch test results in advance of the concrete’s use to avoid delays. Review the data
and results for contract compliance.

Portland Cement Concrete 4-90.1
Review the current certifications of Caltrans field staff who will perform the
acceptance testing of the concrete. Staff must be certified in the following:
• California Test 125, “Sampling Highway Materials and Products Used in the
Roadway Structural Section”
• California Test 518, “Unit Weight of Fresh Concrete”
• California Test 523, “Flexural Strength of Concrete (Using Simple Beam with
Center-Point Loading)”
• California Test 533, “Test for Ball Penetration in Fresh Portland Cement
Concrete”
• California Test 540, “Making, Handling, and Storing Concrete Compressive Test
Specimens in the Field”
• American Society for Testing and Materials (ASTM) C172, “Standard Practice
for Sampling Freshly Mixed Concrete”
4-9002A Materials
Before work begins, do the following for materials:
Materials to Be Used,” which lists concrete materials such as cement, fly ash,
and aggregate.
• Cement is normally accepted on the basis of a Certificate of Compliance;
therefore, initial samples are not taken. If special requirements exist for the cement
or if it is obtained from an unusual source, consider initial testing. For more
details about cement sampling and testing, see Chapter 6, “Sampling and Testing,”
of this manual.
• In accord with the State Contract Act, verify that the aggregate source complies
with the Surface Mining and Reclamation Act of 1975 (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 Conservation’s web site at http://www.consrv.ca.gov/omr/
SMARA/3098-list. Also, see Section 7-103D to determine if the proposed
materials site is exempt from SMARA.
• 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 current tests have not been performed, 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. You can prevent unnecessary expense and
delay if you 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.

4-90.2 Portland Cement Concrete
4-9002B Aggregate Gradings
From the contractor, obtain in writing the primary aggregate nominal sizes to be
furnished. The Office of Structure Construction’s Concrete Technology Manual has
examples on how to check the contractor’s proposed gradings. In addition, the Office
of Structure Construction’s web site has a spreadsheet available to assist in this
review. When the requirement for furnishing the proposed gradation is unnecessary
for the type or amount of concrete work, advise the contractor and note such a decision
in the daily report.
4-9002C Admixtures
Before work begins, do the following for admixtures:
• Admixtures must be of a type allowed by the Standard Specifications or special
provisions. In addition, they must be on the approved list of admixtures
maintained by METS. You can access this list through the Engineering Service
Center web site at:
http://www.dot.ca.gov/hq/esc/approved_products_list/AdmixList.html
Admixtures do not require initial tests if they are currently approved and a
Certificate of Compliance is furnished.
• If you choose to test admixtures before using them, obtain samples of liquid
admixtures and place them in clean liter cans or plastic bottles. Sample powdered
admixtures in dry form (not after mixing with water on the job). Friction top
cans or plastic bags similar to those used to sample cement are satisfactory.
• Send a completed Form TL-0101, “Sample Identification Card,” with the sample.
Include the manufacturer’s lot number represented by the sample and the name
of the product, including any prefix or suffix. Also, show the class of work for
which the sample will be used, such as concrete pavement or prestressed concrete.
The laboratory needs this information to determine the suitability and amount
of admixture for use. For sampling admixtures, refer to California Test 125,
“Sampling Highway Materials and Products Used in the Roadway Structural
Sections.”
• Air-entraining agents need not be sampled initially if the contractor presents
evidence that the product meets specifications.
• Even when a contract specifically allows or requires admixtures, determine the
rate of such use through consultation with METS for each specific product other
than air-entraining 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 use of admixtures, review this data.
4-9002D 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:
• Ensure that storage is as specified in the aggregate storage areas. 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 90-5.01, “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 design was based.
• As a part of California Test 109, “Test for Weighing and Measuring Devices,”
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, “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 3-903E, “Weighing and Metering 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, “Test for Weighing
and Measuring Devices.”
• Ensure that cement can be kept separate from the aggregate until 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.
• In addition to the above, check the following when the concrete to be produced
is for portland cement concrete pavement:
1. If specified, ensure 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 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 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.
4-9002E Curing Concrete
Review the various methods of curing concrete contained in Section 90-7, “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 on-site. Such materials include rugs, a water supply, or a
properly inspected curing compound.
The curing compound must be of the type specified by the special provisions,
Standard Specifications, or both. Before the compound’s use, ensure METS inspects
and releases the curing compound. If more than one year has passed since the METS
inspection, ensure that before use the curing compound is sampled and tested again.
4-9002F Compressive Strength
When concrete is designated by compressive strength, the contractor must prequalify
the concrete before its use as a compressive strength concrete. For additional details,
see both Section 6-305D (2), “Trial Batches,” of this manual and also the Bridge
4-9002G Minor Concrete
When minor concrete is to be used, obtain from the contractor the proposed combined
aggregate grading. In general, for minor concrete, you may approve any gradation
that produces concrete that meets all other specified qualities.
4-9002H Design of Mix
Concrete mixes should 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
4-9002H (1) Selecting Proportions

The following are guidelines to design a workable mix of concrete:
4-9002H (1a) Cement Content
For concrete designated by class, the cement content is fixed, and the design
must be based on the specified amount. For concrete designated by cement
content, determine whether the amount of cement applies to the source the
contractor selected, and base the design on a cement content that will produce
the quality the designer anticipated. For more details about concrete used for
pavement, see Section 4-40, “Portland Cement Concrete Pavement,” of this
manual.
4-9002H (1b) Water Content
The quantity of water per unit of concrete required to produce a mix of the
desired consistency is influenced by the maximum size, particle shape, and
grading of the aggregate and by the admixtures used. The quantity of water
remains relatively unaffected by the quantity of cement.
The quantities of water shown in the Table 4-90.1, “Estimate of Free Water
Content for Initial Design” should apply with sufficient accuracy for preliminary
estimates or proportions. The values are near the maximal, which should be
expected for fairly well shaped but angular aggregate graded within the limits

of the specification. Without specific knowledge to the contrary for the materials
being considered, use the data in the table to determine the free water content of
the initial mix designs.
The following table shows estimated free water content for different ranges of
consistency (penetration) and maximum aggregate size. The free water content
for crushed aggregate can be estimated at the upper limit of the listed water
contents and rounded aggregates can be estimated at the lower limit of free
water content. Additional cementitious material must be ordered, if the free water
content exceeds the amount specified in Section 90-6.06 of the Standard
Specifications. Notify the contractor of any ordered increase in the cementitious
material. If the contractor elects to use a water-reducing agent, ensure that the
proposed admixture is on METS’ list of approved brands. Testing of the mix
desgin must include the proposed admixtures to ensure that the desired concrete
properties, such as strength, and air content are attained.
Table 4-90.1 Estimate of Free Water Content for Initial Design
Free Water, (kg/m3)

Penetration (mm) Max. Size Max. Size Max. Size
Aggregate Aggregate Aggregate
25 mm 37.5 mm 63 mm
12.5 mm to 25 mm 180 to 190 160 to 170 140 to 155
37 mm to 50 mm 190 to 200 170 to 185 160 to 170
75 mm to 90 mm 210 to 220 185 to 195 165 to 180
Approximate amount of
entrapped air in nonair-
entrained concrete, 2 1 0.4
percent
If the contractor elects to use a water-reducing agent, the admixture must be

tested to ensure that it meets the criteria specified for drying shrinkage and
strength. See Section 4-9002C, “Admixtures,” earlier in this section.
4-9002H (1c) Combined Grading of Aggregate

In considering the use of 37.5 mm maximum size aggregate, the recommended
procedure in selecting the fine aggregate content is to start with the median
value of the percent passing the 4.75 mm sieve (38 percent) and then adjust this
value in accordance with the following criteria:
If the fine aggregate is close to the fine side of the specification limits for the
various sieve sizes, use two percentage points less fine aggregate in the mix.
If the fine aggregate is close to the coarse side of the specification limits for the
various sieve sizes, use two percentage points more fine aggregate in the mix.
This was done in the following Example 4-90.1, “Sieve Analysis and Combined
Grading for Portland Cement Concrete, 37.5 mm Maximum.”

If the maximum size of aggregate is 63 mm, use two percentage points less fine
aggregate.
If the coarse aggregate is largely crushed or is naturally very angular in shape,

use two percentage points more fine aggregate.
If the cement content is 350 kg or more per cubic meter, use two percentage
points less fine aggregate.
These recommended adjustments may be compensating or cumulative

adjustments.
To select the percentage of aggregate of 25 mm x 4.75 mm primary size, start

with the percentage of aggregate necessary to meet approximately the middle of
the specifications for the 19 mm sieve (60 percent). The percentage of fine
aggregate is then subtracted (60 - 40 = 20), giving a figure of 20 percent for the
25 mm x 4.75 mm aggregate. The remainder of the mix is made up of 37.5 mm
x 19 mm aggregate (100 - 60 = 40).
If the maximum aggregate size is 63 mm, determine the percentages of both

primary coarse aggregate sizes, computing the percentage of aggregate necessary
to meet approximately the middle of the specification limits on the 37.5 mm
sieve. Make up the remainder of the mix with 63 mm x 37.5 mm aggregate.
Check the grading of the combined mix against the specification limits for the
various intermediate screens. Also analyze the grading of the combined mix
based on experience and judgment.
You may tabulate the gradations to be used as shown in columns (b), (d), and (f)
in Example 4-90.1, “Sieve Analysis and Combined Grading for Portland Cement
Concrete, 37.5 mm Maximum” in these instructions.
4-9002H (2) Computations for Mix Design

In designing a concrete mix, you need an understanding of the effect of varying
amounts of water from various sources to do the calculations. To aid in this
understanding, we have provided the following definitions:
• Batched Water: The water added by a batcher to a concrete or mortar mixture
before or during the initial stages of mixing.
• Free Water: The total water in the concrete mixture minus the water absorbed
by the aggregate in reaching a saturated, surface-dry condition. Also referred to
as “mixing water,” this water is considered in the computation of the net water
to cement ratio.
• Free or Surface Moisture: Free moisture retained on the surface of the aggregate
particles and considered to be part of the mixing water in concrete, as
distinguished from absorbed moisture. This moisture is water on the aggregate
over and above that required to produce a saturated, surface-dry condition.

• Saturated, Surface-Dry (SSD): The condition of an aggregate particle when all permeable voids are
filled with water and no water exists on the exposed surfaces of the aggregate (total absorption).
• Percent Moisture: The amount of moisture expressed as a percent of the dry weight of the aggregate.
• Percent Absorption: The amount of moisture required to produce a saturated, surface-dry condition in
the aggregate (all permeable voids filled with water) expressed as a percent of the dry weight.
Example 4-90.1 Sieve Analysis and Combined Grading for Portland Cement Concrete, 37.5 mm
Maximum
Given the following gradations and preliminary data:
Sieve 37.5 mm Portion of 25 mm x Portion of Fine Portion of Combined Specifi

Size x 19 mm Combined 4.75 mm Combined Combined Mix cation.
40% 20% 40%
(a) (b) (c) (d) (e) (f) (g) (h) (i)
50 mm 100 40 100 20 100 40 100 100
37.5 mm 95 38 100 20 100 40 98 90-100
25 mm 8 3 99 20 100 40 63 50-86
19 mm 3 1 95 19 100 40 60 45-75
9.5 mm 0 0 8 2 100 40 42 38-55
4.75 mm - - 3 1 95 38 39 30-45
2.36 mm - - 0 0 75 30 30 23-38
1.18 mm - - - - 50 20 20 17-33
600 Pm - - - - 27 11 11 10-22
300 Pm - - - - 12 5 5 4-10
150 Pm - - - - 5 2 2 1-6
75 Pm - - - - 2 1 1 0-3
4-9002H (2a) Preliminary Data and Source

The following known information is used in this section’s example calculations.
• 350 kg/m 3 cementitous material, 25 percent of which is fly ash [262 kg – cement, 88 kg – fly ash]
(Standard Specifications)
• Specific gravity of cement = 3.15 (known)
• Specific gravity of fly ash = 2.33 (known)
• 40 percent fine aggregate*
• 20 percent 25 mm x 4.75 mm aggregate*
• 40 percent 37.5 mm x 19 mm aggregate
• Nominal penetration – 50 mm*
• 180 kg/m 3 water *
• 1 percent entrapped air*
*From Section 4-9002H, “Design of Mix.”
SSD Percent
Specific Gravity Absorbed Moisture
Fine aggregate (from lab) 2.64 2.1
25 mm x 4.75 mm (from lab) 2.68 1.1
37.5 mm x 19 mm (from lab) 2.65 0.9
4-9002H (2b) Absolute Volumes

Determine the absolute volume of aggregate required per cubic meter of concrete mix. This is to be done
by calculating the volume remaining when the absolute volume of cement, fly ash, water, and entrapped
air (not entrained air) is subtracted from a cubic meter.

The absolute volume of a material is related to its weight and specific gravity as follows: (For aggregate,
specific gravity is based on a saturated, surface-dry condition of the particles.)
weight, kg
Absolute volume in m 3 = (1)
SSD,specific _ gravity *1000
and
3
Weight in kg. = Absolute volume in m x SSD specific gravity x 1000 (2)
Computation of the absolute volume of aggregate based on the proportions given in “Design of Mix,”
above, is as follows:
262
Absolute volume cement = 0.08m 3
3.15 * 1000
88
Absolute volume fly ash = 0.04m3
2.33 * 1000
180
Absolute volume water = 0.18m3
1.00 * 1000 3
Absolute volume air = 1 percent = 0.01 m
3
Total = 0.31 m
Subtract the absolute volume of the cement, fly ash, water, and air in the mix from 1 cubic meter; this
calculation will give you the K factor.
1 m 3 – 0.31 m 3 = 0.69 m 3
Aggregate = 0.40 x 0.69 m 3 = 0.28 m 3 (use 0.27 m 3)
25 mm x 4.75 mm = 0.20 x 0.69 m 3 = 0.14 m 3
37.5 mm x 19 mm = 0.40 x 0.69 m 3 = 0.28 m 3
Volume check:
Cement 0.08
Fly ash 0.04
Water 0.18
Air 0.01
37.5 mm 0.27
25 mm 0.14
Sand 0.28
1.00

4-9002H (2c) Quantities Per Cubic Meter
Compute the weights of the various aggregate sizes on the basis of a saturated, surface-dry condition.
This computation is illustrated by continuing the example as follows:
Weight of cement = 262 kg/ m 3

Weight of fly ash = 88 kg/ m 3
Weight of water (total free water) = 180 kg/ m 3
Weight of SSD fine aggregate:
0.27 x 2.64 X 1000 (Equation 2) = 713 kg/ m 3
Weight of SSD 25 mm x 4.75 mm:
0.14 x 2.68 x 1000 (Equation 2) = 375 kg/ m 3
Weight of SSD 37.5 mm x 19 mm
0.28 x 2.65 x 1000 = 742 kg/ m 3
Total = 2,360 kg/ m 3
4-9002H (2d) Batch Weights Per Cubic Meter

The above design for a cubic meter of concrete is based on aggregate in an SSD condition. As used on
the job, aggregate usually contains free moisture in excess of the moisture absorbed. In determining the
quantities of aggregate to be placed in the mixer, make allowances for this free moisture.
The free moisture in the aggregate is considered part of the mixing water and, therefore, must be subtracted
from the specified amount to be used in the mixture. Increase the weights of aggregate to compensate
for the moisture they contain. (Reverse this procedure if the aggregate as used is less than the SSD.)
You can determine the amount of moisture in aggregate by drying representative samples and weighing
the samples both before and after drying. If dried to a constant weight (oven-dry condition), you will
determine the total moisture. To obtain the free moisture present, make allowances for the absorbed
water.
To determine this total moisture in aggregate, you can use many methods. The aggregate can be dried in
an oven or in a pan over a hot plate or open fire. If facilities are available, you can use California
Test 223, “ Surface Moisture in Concrete Aggregates by the Displacement Method (Field Method),” to
determine free moisture directly.
Assume, for the example, the total moisture in the aggregate is 10.1 percent in the fine aggregate, 3.1
percent in the 25 mm x 4.75 mm aggregate, and 1.9 percent in the 37.5 mm x 19 mm aggregate.
Determine the free moisture as follows:
Percent free moisture in fine aggregate = 10.1 %

minus 2.1 = 8.0 %
Percent free moisture in 25 mm x 4.75 mm aggregate = 3.1 %
minus 1.1 = 2.0 %
Percent free moisture in 37.5 mm x 19 mm aggregate = 1.9 %
minus 0.9 = 1.0 %

The adjustment in the mix design to compensate for this moisture can now be made as follows:
0.08 * 713
Kg free moisture in fine aggregate = 56kg / m 3
1.021
Kg free moisture in
0.02 * 375
25 mm x 4.75 mm aggregate = 7kg / m3
1.011
Kg free moisture in
0.01* 742
37.5 mm x 19 mm aggregate = 7kg / m3
1.009 3
Total free moisture from aggregate = 70 kg/ m
Batch weights for a one cubic meter mix as follows:
Cement = 262 kg/ m 3

Fly ash = 88 kg/ m 3
Fine aggregate (713+56) = 769 kg/ m 3
25 mm x 4.75 mm aggregate (375+7) = 382 kg/ m 3
37.5 mm x 19 mm aggregate (742+7) = 749 kg/ m 3
Batched water at mixer (180-70) = 110 kg/ m 3
4-9002H (2e) Scale Weights for Batching Plants

Multiply the values obtained for the one cubic meter mix as determined above in “Batch
Weights Per Cubic Meter” by the number of cubic meters in the batch.
4-9002H (3) Reproportioning for Air Entrainment

When entrained air is introduced into a concrete mixture, the increased volume of air must be
compensated for by a reduction in the amount of water and sand.
If the percentage of entrapped air is higher than the example of 1 percent, then go back to “Absolute
Volumes,” under the heading “Computations for Design,” and reevaluate the volume proportions.
4-9002H (4) Adjustment of Initial Mix Design

You may adjust the initial mix design after it is used in the field to maintain the specified cement
content, improve workability, and stay within the specified penetration and water limits.
You must also make adjustments if California Test 518, “Unit Weight of Fresh Concrete,” indicates
that the proportions used in the initial design do not produce a cubic meter of plastic concrete. Keep
the actual cement content within prescribed limits (as determined by California Test 518) by making
adjustments in batch weights as necessary.

During the Course During the work, the resident engineer must do the following:
of Work • Sample the concrete within the requirements and frequencies of Section 90,
“Portland Cement Concrete,” 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. Also review concrete washout
procedures as they apply to the water pollution control plan.
4-9003A 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 Certificate of Compliance for cement is signed as
specified. Sample the cement in accordance with the details in Chapter 6,
“Sampling and Testing,” of this manual.
• Observe the cement storage facilities to ensure the cement is protected from
moisture.
• Obtain samples of the aggregate in accordance with California Test 125,
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 19 mm and the compressive strength as much as 2 Mpa.
You can use California Test 223, “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
order necessary corrective action. When class or cement content designates the
concrete, adjust the design to compensate for any significant differences within
the nominal sizes the contractor proposed. When the concrete is designated by
compressive strength, order 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 the agreed-upon products
and are dispensed in the specified manner.
• For air-entraining agents, obtain a Certificate of Compliance, when required,
for each shipment.

• 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 for an estimate of returned
concrete, for rebatching; must have that feature disabled. Check that deliverey
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, “Test
for Weighing and Measuring Devices.”
5. Check the mixer operation to ensure that the automatic timing device is
interlocked as specified and that the mixing time is as specified.
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, “Unit Weight of Fresh Concrete,” to verify the
unit weight, volume, and cement 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, “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. For air content of more than 4 percent, ensure that the cement
is added as specified.

• 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, order adjustments in the mixture.
Also, use the results of California Test 533, and California Test 529, “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 concrete’s 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
concrete’s uniformity or consistency. When test results so indicate, order
corrections in the production operation or provide the contractor with revisions
in the mix design, or do both. Reject (based on penetration) excessively wet
batches discharged from mixers and not used in the work. Prohibit indiscriminate
additions of water to the mixer solely to increase the flow of already workable
concrete.
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.
4-9003B Mixing and Transporting
During the work, do the following:
• Ensure concrete is transported in accordance with the applicable specifications.
• Ensure 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 a Certificate of Compliance for the cement and all mineral admixtures. The
weight certificate must also show the actual scale masses (kilograms) for the
ingredients batched. Prohibit theoretical or target batch masses as substitutes
for actual scale masses. 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 cement exists.
• Check truck agitators to determine whether they are being operated at the speed
designated by the manufacturer.
• Ensure that bodies on nonagitating hauling equipment do not leak and can self-
clean during discharge.
• Ensure that concrete hauled in open-top vehicles is protected (covered) 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.

• Additional mix water, when necessary, can be added when the resident engineer
or assistant resident engineers authorize. When additional mixing water is
authorized, ensure it is mixed as specified. Make corrections in the proportioning
if it is necessary to continuously order water at the discharge point.
• 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.
• When concrete is being hauled in truck mixers or agitators, ensure the discharge
is completed within one and one-half hours or 250 revolutions as specified. If
the concrete’s temperature is 30° C or above, determine the time (less than one
and one-half hours) that will be allowed. Advise the contractor accordingly.
• 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.
• The temperature requirements for specialty concrete will vary. Refer to the special
provisions.
• When nonagitating equipment is used, ensure the discharge is completed within
one hour as specified. If the concrete’s temperature is 30° C 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 concrete’s 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 rpm’s of the mixer 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,” in this manual.
• Do not allow trucks to exceed the weight limits, especially for bridges, given in
Section 7-1.02, “Load Limitations,” of the Standard Specifications.
4-9003C 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.

4-9003D 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.
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 Measurement and payment must comply with the applicable sections of this manual
Payment 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. Take appropriate remedial action or
deductions for failing results on acceptance tests.

Section 91
Section 91 Paint Paint
4-9101 General 4-9101

Section 91, “Paint,” of the Standard Specifications, covers material requirements General
for paint. Painting requirements and types of paint to be used in specific applications
are included in other Standard Specification sections that require surfaces to be
painted.

• Verify the receipt and proper distribution of Form CEM-3101, “Notice of Before Work Begins
Materials to Be Used,” which covers paint.

• Ensure the Office of Materials Engineering and Testing Services has inspected During the Course
the 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
Material and Sampling Methods,” in the Construction Manual (manual).
• Take samples of the paint in accordance with the tables in Section 6-1, “Sample
Types and Frequencies,” and with Section 6-2 in this manual.

Measurement and payment clauses are included in the various Standard Specification Measurement and
sections or special provisions that discuss the application of paint. Payment

Paint 4-91.1
Section 92
Section 92 Asphalts Asphalts
4-9201 General 4-9201

Asphalt, as defined in Section 92, “Asphalts,” of the Standard Specifications, is also General
referred to as paving asphalt. Asphalt is used in asphalt concrete, in asphalt-treated
permeable base, and when specified, for tack coat (paint binder). It is a solid at
normal ambient temperatures and must be heated before it is mixed with aggregates
or applied as tack coat (paint binder).
In addition to the specifications for asphalts in Section 92 of the Standard
Specifications, refer to the requirements for asphalts in other sections of the Standard
Specifications covering work in which asphalts are used.

Materials to Be Used,” which covers asphalt.
• When asphalt is used for tack coat (paint binder), examine the distributor truck
and 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 asphalt
volumes.

• If asphalt is used before sampling and testing, obtain a Certificate of Compliance of Work
containing the specified information.
• Check the temperature of the asphalt to ensure it is within the specified range
when applied as tack coat (paint binder) at job site or mixed with aggregate for
asphalt concrete or asphalt-treated permeable base at plant.
• Before paving asphalt is applied as tack coat (paint binder), ensure the pavement
is clean and dry.
• Check the application rate of asphalt used as tack coat (paint binder) to ensure
the designated rate. After the first few hundred meters 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.
• Ensure that asphalt is not sprayed outside designated areas and that bituminous
material does not drip from distribution equipment.

Asphalts 4-92.1
• Sample asphalt in accordance with the table in Section 6-1, “Sample Types and
Frequencies,” of the Construction Manual (manual) and with the manual’s
instructions in Section 6-202E, “Materials Accepted on the Basis of a Certificate
of Compliance.”

Measurement Section 92, ”Asphalts,” of the Standard Specifications, does not contain provisions
and Payment for payment. Payment clauses for asphalts are found in the various sections covering
work in which asphalts are used.
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.

4-92.2 Asphalts
Section 93
Section 93 Liquid Asphalts Liquid Asphalts
4-9301 General 4-9301

Liquid asphalt is used for penetration treatment and prime coat, both of which are General
covered in Section 608.3, “Asphalt Surface Treatments,” of the Highway Design
Manual. Liquid asphalts are also used in the manufacture of asphalt concrete “cold
mix” used in highway maintenance for temporary repairs.
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 other
sections of the Standard Specifications covering work in which liquid asphalts are
used.

Materials to Be Used,” which covers liquid asphalt.
• 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.

• If liquid asphalt is used before sampling and testing, obtain a Certificate of of Work
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.
• Check the application rate of liquid asphalt to ensure the designated rate. After
the first few hundred meters 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.

Liquid Asphalts 4-93.1
• Sample liquid asphalt in accordance with the table in Section 6-1, “Sample Types
and Frequencies,” of the Construction Manual (manual) and with the manual’s
of Compliance.”

Measurement and Section 93, ”Liquid Asphalts,” of the Standard Specifications, does not contain
Payment provisions for payment. Payment clauses for liquid asphalts are in the various sections
covering work in which liquid asphalts are used.
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

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 (paint
binder). 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 Specifications covering work in which asphaltic emulsions are used.

Materials to Be Used,” which covers asphaltic emulsion.
• 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.

• If asphaltic emulsion is used before sampling and testing, obtain a Certificate of of Work
Compliance containing the specified information.
• Check the temperature of the asphaltic emulsion to ensure it is within the specified
range when applied.
• Before applying asphaltic emulsion, ensure the surface to be treated is clean and
dry.
• 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 meters 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.

Asphaltic Emulsions 4-94.1
• Sample asphaltic emulsion in accordance with the table in Section 6-1, “Sample
Types and Frequencies,” of the Construction Manual (manual) and the manual’s
of Compliance.” 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. Payment clauses for asphaltic emulsions are in the various
sections covering work in which asphaltic emulsions are used.
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
In a partial load using volumetric measurements, the procedure for determining the
mass of asphaltic emulsion with added water is as follows:
1. 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 tonnes of added water in the original load to liters.
2. Based on the final temperature reading, calculate the ratio of the volume of
asphaltic emulsion to the total volume in the original load.
3. Calculate the volume, at 15°C, of emulsion in the partial load.
4. Determine the mass of emulsion remaining in the partial load.
Example:
Assume the following:
• Weight ticket shows 10.00 t of emulsion and 5.00 t of added water. (Total = 15
t.) Temperature at time of weighing was 75°C.
• 2020 L of emulsion and added water remain in the partial load. At the time of
measuring, the temperature of the mixture is 55°C.
Using these assumptions, calculate as follows:
1. Volume of emulsion (at 55°C) in the original load:
10.00 t X 1002 L/t @ 15°C ÷ 0.98225 (see the conversion table, Section 94-
1.07, “Measurement,” of the Standard Specifications) = 10201 L

4-94.2 Asphaltic Emulsions
2. Volume of added water in the original load:
5 X 1000 = 5000 L
3. Ratio of volume of emulsion @ 55°C to total volume in the original load:
10201/15201 = 0.671
4. Volume @ 15°C of emulsion in the partial load:
0.671 X 2020 X 0.98225 = 1331 L
5. Mass of emulsion in partial load:
1331 ÷ 1002 = 1.33 t
6. Emulsion used on the project:
10.00 – 1.33 = 8.67 t

Asphaltic Emulsions 4-94.3
Section 95
Section 95 Epoxy Epoxy
4-9501 General 4-9501

Epoxy is a two-component adhesive used for a number of applications, including General
the following:
• Bonding pavement markers to pavement
• Pressure grouting cracks in concrete
• Bonding new portland cement concrete to old portland cement concrete
• Manufacturing epoxy concrete and epoxy mortar
The Bridge Construction Records and Procedures Manual contains additional
information on epoxy.

Verify the receipt and proper distribution of Form CEM-3101, “Notice of Materials Before Work Begins
to Be Used,” which covers epoxy.

• Ensure the Office of Materials Engineering and Testing Services has inspected of Work
the epoxy.
• Ensure the epoxy is packaged and labeled as required in the specifications for
its intended use.
• Inspect the epoxy in accordance with Section 6-203, “Materials Manufactured
to Caltrans-specified Formulation,” of the Construction Manual.

Payment clauses are included in the various Standard Specification sections or special 4-9504
provisions that provide for the use of epoxy. When specified, payment for epoxy is Measurement and
normally included in the contract price for other items of work in which epoxy is Payment
used. There are no separate measurement clauses for epoxy.

Epoxy 4-95.1
Chapter 5 Contract Administration
Conduct of the Work
5-001 Resident Engineer’s Pending File
5-002 Preconstruction Conference with State Personnel
5-003 Preconstruction Conferences with the Contractor
5-004 Resident Engineer’s Daily Report
5-005 Assistant Resident Engineer’s Daily Report
5-006 Maintenance Reviews
5-007 Federal Highway Administration Involvement in Contract Administration

5-007A Events invoking Federal Highway Administration Involvement on Full Oversight projects

Conduct of the Work 5-0.i
Conduct of the Work Conduct of the

Work
5-001 Resident Engineer’s Pending File 5-001
For guidance and information, the project engineer assembles and forwards to Resident Engineer’s
the resident engineer a set of letters, memoranda, and other data entitled, “resident Pending File
engineer’s pending file.” This file must contain all pertinent information,
comments, and advice 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 engineer’s pending file is contained in Appendix GG,
“Project Data Checklists,” 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 project’s 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
Accounting’s web site at:
http://onramp.dot.ca.gov/hq/accounting/utility.
• 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 engineer’s quantity calculations.
• Copies of the project report, preliminary report, and materials reports.

Conduct of the Work 5-0.1
• 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.
The resident engineer must consult with the project engineer who forwarded the
file if the file has any of the following problems:
• Information appears to conflict.
• Information appears to be missing.
• 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
Conference With the following people:
Caltrans Personnel • Project manager
• Project engineer
• Right-of-way agent
• Hydraulics engineer
• Traffic engineer
• Materials engineer
• Maintenance superintendent
• Environmental - construction liaison
• Construction storm water 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

5-0.2 Conduct of the Work
• Foundation treatment
• Potential slides
• Environmental commitments
• 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 both
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 contractor’s schedule is available,
meeting participants must review the personnel required.
• Division of the work. The items should be categorized as roadwork 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 project’s Preconstruction
complexity, more than one conference may be desirable to limit the scope and Conferences with the
number of individuals attending. The conferences must include the resident Contractor
engineer and structure representative and may include principal assistants, the
construction engineer, the district construction deputy director, the contractor’s
superintendent, and other key personnel. Subject to district policy, specialists
such as the district labor compliance officer and the district safety coordinator,
among others, may be included. Alternatively, the resident engineer may cover
the respective responsibilities.

When environmental commitments have been made that affect or constrain the
contractor’s 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 contractor’s
“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 conference’s complexity, the record can be a relatively
complete set of minutes or a copy of the resident engineer’s 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.
In the list below, we present the guidelines for the preconstruction conference.
However, bear in mind that these are reminders only. Items will or will not be
included depending upon their applicability 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 listed
below, and therefore, these items need not be included at the conference.
• Introduce all participants, including in your introduction statements about
each person’s 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 5-1.06, “Superintendence,” of the Standard
Specifications.
• Discuss the subcontracting requirements covered in Section 8-1.01,
“Subcontracting,” of the Standard Specifications.
• When required by the special provisions, discuss railroad insurance.

• If not yet received, request evidence of insurance, as required by Section 7-
1.12, “Indemnification and Insurance,” of the Standard Specifications.
• 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 state-furnished forms and posters.
• Review the contract’s 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 contractor’s 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. See Section 3-803, “Progress Schedule,”
of this manual.
• Discuss weighing procedures, weight limitations, and the Caltrans policy on
overloads. For more information, see Section 3-702, “Load Limitations,” 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’s provisions about water pollution control. Discuss the
contractor’s water pollution control plan.
• Review the contract’s provisions and the environmental commitments record
for environmental permits and agreements. Discuss the contractor’s 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
Form CEM-6201, “Notice of Potential Claim.”
• Discuss the scheduling of utility work. For a discussion of utility
preconstruction conferences, see Section 3-809,“Utility and Non-Highway
Facilities,” of this manual.

5-004 5-004 Resident Engineer’s Daily Report
Resident Engineer’s The following instructions are directed to the resident engineer who must do
Daily Report the following:
• For each contract day during the project’s life, make a daily report on Form
CEM-4501, “Resident Engineer’s Daily Report/Assistant Resident Engineer’s
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 import-ant verbal instructions. (Also,
see Section 5-403, “Response to Disputes,” of this manual.)
2. A general statement about the type of work done. Include the
controlling operation and any facts concerning the work’s 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 project’s completion, in accordance with
district policy. Retain the original copy with the project records.
5-005 5-005 Assistant Resident Engineer’s Daily Report

Assistant Resident To report the activity for a contract item, assistant resident engineers must submit
Engineer’s Daily a report for each contract day. Complete the report on Form CEM-4601,
Report “Assistant Resident Engineer’s 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 engineer’s report should include
statements about the contractor’s operation and the activities of the individual
preparing the report. The description of the contractor’s 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 engineer’s 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, see Section 3-904D, “Extra Work Records,” of this
manual.
• Hours worked by labor and equipment. Provide sufficient detail to permit a
review of the contractor’s costs in a manner similar to a 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 equipment’s 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 name of the contractor or subcontractor performing the work. When
the report will be used to determine compliance with the contract’s labor
provisions, you must include the names or identification numbers of the
contractor’s personnel or report these separately. However, if the report is
not for determining compliance with the contract’s 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 engineer’s 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 3-
01, “Organization of Project Documents,” of this manual.
• Distribute all other copies in accordance with district policy.
See Section 5-102, “Organization of Project Documents,” of this manual for
details to consider when establishing a system for handling assistant resident
engineer’s reports on a specific project.
5-006 Maintenance Reviews 5-006

Keep maintenance superintendents and supervisors informed of the start of Maintenance
work and job progress for all construction projects within the superintendents’ Reviews
and supervisors’ maintenance areas. Before the start of construction, send a
copy of Form CEM-0101, “Resident Engineer’s 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 two 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 3-704E,
“Highway Maintenance,” 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 can be obtained from the State Water Resources Control
Board via the following web address:
http://www.swrcb.ca.gov/stormwtr/docs/finalconstpermit.pdf
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 Federal 5-007 Federal Highway Administration Involvement in Contract

Highway Administration
Administration
Involvement Federally funded projects are classified as either full oversight or state-authorized
to indicate the Federal Highway Administration (FHWA) oversight requirements
in Contract as stated in the stewardship agreement between FHWA and Caltrans. The
Administration stewardship agreement between FHWA and Caltrans can be found by visiting
the budgets web site:
http://onramp/hq/budgets/

Caltrans assigns project numbers to federally funded projects, and upon FHWA
classification, adds a suffix “N” or “E” to the project number. Projects with the
suffix “N” are subject to full FHWA oversight requirements. Projects with the
suffix “E” are state-authorized.
Caltrans has been delegated oversight approval authority for all federally funded
projects except those activities not covered by Title 23 of the United States
Code (National Environmental Policy Act [NEPA], right-of-way, and civil rights
among other activities). Consequently, there are several issues or events that
require the resident engineer to seek FHWA approval or request FHWA
involvement in a project.
Projects with the suffix “N” are subject to full FHWA oversight requirements,
so early and frequent communication with the FHWA engineer is essential to
ensure full compliance with all federal requirements. Project with the suffix
“E” are exempt from full FHWA oversight requirements. Resident engineers
are not formally required to communicate with the FHWA engineer except for
a few instances. Informal discussions for technical guidance are encouraged.
5-007A Events invoking Federal Highway Administration Involvement on Full Oversight
projects
There are several events during the construction phase of an “N” project that
may make FHWA involvement necessary. The resident engineer should meet
with their FHWA engineer immediately following award of the contract to
determine when FHWA involvement, if any, is necessary. The FHWA engineer
is contacted sufficiently in advance of any project event deemed necessary to
allow their participation. In all other cases, contact the FHWA engineer as soon
as practical to ensure federal concurrence and participation.
Events invoking FHWA involvement may include:
• Preconstruction conferences.
• Partnering workshops.
• Value analysis studies.
• Notices of potential claim (NOPC):
1. Submission and updates to the list of NOPCs to the NOPC log to
FHWA engineer.
2. Resident engineer’s determination of NOPC merit.
3. Notice of potential claim resolution.
4. Updates to items 1 through 3 above.
• Dispute review boards:
1. Formation.
2. Meeting invitations.

3. Recommendation of dispute review board.
4. Copies of Caltrans and contractor acceptance or rejection of DRB
recommendations.
• Proposed final estimate: Submit a copy of the final acceptance checklist to
FHWA engineer (see Example 5-0.1 at the end of this section) with a copy
of the proposed final estimate.
• Claims:
1. Exceptions to the proposed final estimate payments.
2. FHWA agreement to amount of settlement.
• Director days.
• Boards of review:
1. Meetings.
2. Recommendations.
• District Director Determinations.
• Arbitration - Division of Construction coordinators will be responsible for
keeping the FHWA area engineer informed of:
1. Filings.
2. Hearings.
3. Settlements.
4. Decisions.
• Other major milestones, events, or occurrences as deemed necessary by the
resident engineer and the FHWA engineer.

Example 5-0.1 Final Acceptance Checklist for Federal-Aid “N” Projects
FHWA
FINAL ACCEPTANCE CHECKLIST
FOR FEDERAL-AID “N” PROJECTS
Project Information:
EA No. ___________________________ Federal-aid No. ________________________________
Project Description: ___________________________________________________________________
District/County/Route/KP: ______________________________________________________________
Date Awarded: _____________________ Approval Date: ________________________________
Time Started: ______________________ Work Started: _________________________________
Contract Days: _____________________ Final No. Working Days:_________________________
Original Completion Date: ____________ State Acceptance Date: __________________________
Liquidated Damages (No. of days and total $ amount): ________________________________________
Submittals:
Submitted? Date:
Material Certification (CM 6-1.1) Yes/No – N/A _________________
Form FHWA-47M Yes/No – N/A _________________
Proposed Final Estimate Yes/No – N/A _________________
Last Statement of Working Days Yes/No – N/A _________________
Contractor’s Written Statement

Of Claims (Submitted Separately) Yes/No – N/A _________________
List of contract change orders Yes/No – N/A _________________

(Approved and Pending)
(Participating/Non-Participating)
List of Time Extensions Yes/No – N/A _________________

(FHWA Approved/Not Approved)
Form CEM-2402 (F) Final Report Yes/No – N/A _________________

Utilization of DBE
Mitigation Monitoring Reporting Record Yes/No – N/A _________________

(If available, status of environmental commitments if not completed)
Additional Information:
Labor Compliance Problems: ____________________________________________________________
____________________________________________________________________________________
Any other changes: ____________________________________________________________________
____________________________________________________________________________________
(Original – Project File cc – FHWA – with Proposed Final Estimate)

Section 1 Project Records and Reports
5-101 Forms Used For Contract Administration

5-101A General
5-101B Construction Forms
Form CEM-0101, Resident Engineer's Report of Assignment
Form CEM-0501, Relief from Maintenance
Form CEM-0601, Construction Safety Report
Form CEM-0602, Project Safety Program Statement
Form CEM-0603, Major Construction Incident Notification
Form CEM-1101, Documents Bond of State Highway Oversight Projects
Form CEM-1201, Subcontracting Request
Form CEM-1202, Contractor Action Request – Change of Name/Address-
Assignment of Contract Monies
Form CEM-1203, Contractor Action Request – Assignment of Contract
Performance
Form CEM-2001, National Pollution Discharge Elimination System Annual
Certification
Form CEM-2002, Notification of Construction (NOC)
Form CEM-2003, Notification of Completion of Construction (NCC)
Form CEM-2025, Solid Waste Disposal and Recycling Report
Form CEM-2101, COZEEP Daily Report
Form CEM-2102, COZEEP/MAZEEP Task Order
Form CEM-2103, COZEEP/MAZEEP Cancellation Form
Form CEM-2401, Substitution Report for Disadvantaged Business
Enterprise/Disabled Veteran Business Enterprise
Form CEM-2402(F), Final Report- Utilization of Disadvantaged Business
Enterprises (DBE), First - Tier Subcontractors (Federally Funded Projects)
Form CEM-2402(S), Final Report - Utilization of Disabled Veteran Business
Enterprises (DVBE) State Funded Projects
Form CEM-2403(F), Disadvantaged Business Enterprises (DBE)
Certification Status Change
Form CEM-2404(F), Monthly DBE Trucking Verification
Form CEM-2501, Fringe Benefit Statement
Form CEM-2502, Contractor/Subcontractor Payroll
Form CEM-2503, Statement of Compliance
Form CEM-2504, Employee Interview: Labor Compliance/EEO
Form CEM-2504 (Spanish), Entrevista de Empleado: Labor Compliance/EEO
Form CEM-2505, Owner - Operator Listing Statement of Compliance
Form CEM-2506, Labor Compliance - Wage Violation
Form CEM-2507, Labor Violation: Case Summary

Project Records and Reports 5-1.i
Form CEM-2508, Contractor 's Payroll Source Document Review
Form CEM-2509, Checklist - Source Document Review
Form CEM-2601, Construction Progress Chart
Form CEM-2701, Weekly Statement of Working Days
Form CEM-2702, Overrun in Contract Time
Form CEM-3101, Notice of Materials to be Used
Form CEM-3501, AC Production/Placement Checklist
Form CEM-3701, Test Result Summary
Form CEM-3702, Relative Compaction Summary
Form CEM-4101, Materials Release Summary
Form CEM-4102, Material Inspected and Released on Job
Form CEM-4202, Material Plant Safety Checklist
Form CEM-4204, California Test 109 Sticker
Form CEM-4501, Resident Engineer 's Daily Report/Assistant Resident Engineer's
Daily Report
Form CEM-4601, Assistant Resident Engineer's Daily Report
Form CEM-4701, Drainage System Summary
Form CEM-4801, Quantity Calculations
Form CEM-4900, Contract Change Order
Form CEM-4901, Contract Change Order Input
Form CEM-4902, Extra Work Bill (Short Form)
Form CEM 4902A, Extra Work Bill - Title Page
Form CEM-4902B, Extra Work Bill - Labor Charges
Form CEM-4902C, Extra Work Bill - Equipment Charges
Form CEM-4902D, Extra Work Bill - Material Charges
Form CEM-4903, Contract Change Order Memorandum
Form CEM-5101, Request for Payment for Materials on Hand
Form CEM-6001, Project Record - Estimate Request
Form CEM-6002, Contract Administration System (CAS) Report Requests
Form CEM-6003, Progress Pay - Estimate Project Initiation or Update
Form CEM-6004, Contract Transactions Input
Form CEM-6201, Notice of Potential Claim
Form CEM-6201 A, Initial Notice of Potential Claim
Form CEM-6201B, Supplemental Notice of Potential Claim
Form CEM-6201C, Full and Final Documentation of Potential Claim
Form CEM-6202, Disputes Review Board (DRB) Establishment
Form CEM-6203, Dispute Review Board (DRB) Update Report
Form CEM-6204, Dispute Review Board (DRB) Issue Report
Form CEM-6205, Dispute Review Board (DRB) Completion Report
Form CEM-6301, Contract Acceptance
Form CEM-9001, Construction Manual Proposed Change

5-1.ii Project Records and Reports
5-101C Division of Materials Engineering and Testing Services Forms
Form TL-0028, Notice of Materials to be Inspected Form TL-0029,
Report of Inspection of Material Form TL-0101, Sample Identification
Card
Form TL-0502, Field Sample of Portland Cement Concrete Sample Card
Form MR-0518, Job Cement Samples Record Form TL-0608, Notice of
Materials to be Furnished Form TL-0624, Inspection Release Tag Form
TL-0649, Inspector's Report of Material on Hand Form TL-3096,
Pavement Core Record Form TL-6037, Fabrication Progress Report
5-101D Other State Forms

Form DAS-1, Apprentice Agreement
Form H-ESP-16, Request for Construction Staking
Form LA-16, Product, Material, or Method Report (For Highway Planting or
Erosion Control)
Form LA-17, Report of Chemical Spray Operations Form TR-0019, Notice of
Change in Clearance or Bridge Weight Rating Form TR-0020, Notice of
Change in Vertical or Horizontal Clearance Form TR-0029, Notice of Change
in Clearance or Bridge Weight Rating 5-101E Federal Forms
Form FHWA-47M Statement of Materials and Labor Used By Contractors On
Highway Construction Involving Federal Funds Form FHWA-1022 United
States Department of Transportation Notice Form FHWA-1391 Federal-Aid
Highway Construction Contractors Annual EEO
Report Form DOL SF-308 Request for Wage Determination and Response to
Request
Equal Employment Opportunity Is The Law Poster Form FHWA-
1495 Wage Rate Information Federal-Aid Highway Project
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

Project Records and Reports 5-1.iii
5-103 The Contract Administration System, CAS
5-103 A General
Table 3-2.1 The Contract Administration System 5-
103B Project Initiation and Update
5-103B (1) Completing Form CEM-6003, "Project Pay-Estimate Project
Initiation or Update "
5-103B (1a) Project Key
5-103B (1b) Card type C05 (each field is independent and can be updated
separately)
5-103B (1c) Card type C06 to C08
5-103B (1d) Card type C09 to C14
5-103B (1e) Card type C15 5-
103B (2) Processing 5-103C
Contract Transactions 5-103C (1)
Transaction Types
5-103C (1a) Contract Item Transactions
5-103C (1b) Miscellaneous Transactions
5-103C (1c) Contract Change Order Transactions 5-103C (2)
Completing Form CEM-6005, "Contract Transaction Input"
5-103C (2a) Contract Item Entries
5-103C (2c) Contract Change Order Transactions
5-103C (2d) General
5-103C (2e) Audit Trail 5-103C (3)
Computer Processing 5-103D Contract
Change Orders
5-10 3D (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 Extra
Work Billing
5-103E (1) Preparing Form CEM-4902, Daily Extra Work Report
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 Contractor's Representative
5-103E (2) Processing Form CEM-4902 5-103E (3) Corrections
to Extra Work Bills

5-1.iv Project Records and Reports
5-103F Generating Estimates
5-103F (1) Procedure
5-103F (1a) Preparing Form CEM-6001, "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 5-103 G
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 CAS 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 (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
Contract Change Orders 5-103H (9) CCO 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

Project Records and Reports 5-1.v
Section 1
Section 1 Project Records and Reports Project Records
and Reports
5-101 Forms Used For Contract Administration 5-101
Forms Used
5-101A General
One of the duties of the resident engineer is to keep accurate and complete records For Contract
of the work. This section includes a list of forms used in administering a construction Administration
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 and a number that is related to the
form’s uniform filing system category. If an existing form no longer meets the need
that it was designed for, use the following procedure to implement a change:
• Complete Form CEM-9001, “Construction Manual Proposed Change”, and send
it to the Division of Construction forms coordinator. 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 Division of Structure Construction is shown in Volume
I, Section 16 of the Bridge Construction Records and Procedures Manual.
5-101B Construction Forms
Order construction forms by stock number from district warehouses or stockrooms.
Forms without stock numbers may be found on the Caltrans Electronic Form System’s
(CEFS) Intranet web site: http://adsc.caltrans.ca.gov/CEFS/. The appendix to the
Construction Manual (manual) contains samples of the construction forms.
Following is a list and descriptions of the Division of Construction forms:
Form CEM-0101, Resident Engineer’s Report of Assignment

When assigned to a new project, the resident engineer must use Form CEM-0101,
“Resident Engineer’s Report of Assignment.” This provides 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 Form CEM-0501, “Relief from Maintenance,” to
recommend that the contractor be relieved from maintenance and responsibility in
accordance with Section 7-1.15, “Relief from Maintenance and Responsibility,” of
the Standard Specifications. For more information see Section 3-709, “Relief from
Maintenance and Responsibility,” of this manual.
Form CEM-0601, Construction Safety Report

The resident engineer or the project safety coordinator uses Form CEM-0601,
“Construction Safety Report,” to document monthly project safety reviews.
Form CEM-0602, Project Safety Program Statement

The resident engineer uses Form CEM-0602, “Project Safety Program Statement,”
to list the Code of Safe Practices which 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 Form CEM-0603, “Major Construction Incident
Notification,” to report major construction incidents. Instructions for use are included
on the back of the form.
Form CEM-1101, Documents Bond of State Highway Oversight Projects

The local agency and Caltrans project manager complete Form CEM -1101,
“Documents Bond of State Highway Oversight Projects.” The project manager
submits the form to the encroachment permits unit as part of the local agencies
encroachment application approval process. For details on the use of this form,
see Section 4-101, “Projects with Documents Bond,” of the Caltrans Oversight
Engineer Field Guidelines.
Form CEM-1201, Subcontracting Request (Stock # 7541-3514-7)

The contractor submits Form CEM-1201, “Subcontracting Request.” The
resident engineer uses the form to calculate the percentage of work to be
performed by the contractor. Section 2-08, “Prosecution and Progress,” of this
manual describes the procedures. The resident engineer must approve this form
before the contractor can begin on the applicable subcontracted work. Before
approval, verify that subcontractors are not on the Debarred Contractors list on
the Division of Construction’s web site.
Form CEM-1202, Contractor Action Request - Change of Name/Address -
Asssignment of Contract Monies
The contractor submits Form CEM-1202, “Change of Name/Address -Assignment
of Contract Monies,” to the resident engineer to request a change in the
contractors name, address or assignment of monies due or to become due the
contractor under the contract in accordance with Section 8-1.02, “Assignment,”
Form CEM-1203, Contractor Action Request - Assignment of Contract
Performance
The original contractor or the contractor’s surety submits Form CEM-1203,
“Assignment of Contract Performance,” to the resident engineers in accordance
with Section 8-1.02, “Assignment,” of the Standard Specifications.

5-1.2 Project Records and Reports
Certification
The resident engineer uses Form CEM-2001, “National Pollution Discharge Elimination
System Annual Certification,” to file the annual storm water permit certification by
July 1 of each year. See Chapter 7, “Environmental,” for details on the storm water
permit certification.
Form CEM-2002, Notification of Construction (NOC)

The resident engineer, with the assistance of the district construction storm water
coordinator, fills out Form CEM-2002, “Notification of Construction (NOC)”. The
Caltrans National Pollutant Discharge Elimination System Permit requires Caltrans
to submit the notification to the Regional Water Control Board. Instructions are
included on the back of the form.
Form CEM-2003, Notification of Completion of Construction (NCC)

Submits Form CEM-2003,” Notification of Completion of Construction (NCC),” for projects
requiring a storm water pollution prevention plan to the Regional Water Quality Control
Board upon completion of construction. Usually, the resident engineer submits the
notification. However, districts may elect to have the storm water coordinator, project
manager, construction engineer, or other responsible staff submit this form. This form is
not required for water pollution control plan projects. Directions are on the back of the
form.
Form CEM-2025, Solid Waste Disposal and Recycling Report

The contractor completes and certifies the information reported on Form CEM-
2025, “Solid Waste Disposal and Recycling Report.” The resident engineer reviews
all reports submitted by the contractor for accuracy. The resident engineer submits
the approved form directly to the district recycling coordinator and a copy of the
statewide recycle coordinator in headquarters Division of Design. The use of this
form is described in Section 5-008, “Solid Waste Disposal and Recycling Reporting,”
of this manual.
Form CEM-2101, COZEEP Daily Report

Jointly, The California Highway Patrol and Caltrans use Form CEM-2101, “COZEEP
Daily Report,” to report highway patrol resources used for the Construction Zone
Enhanced Enforcement Program. Chapter 2, “Safety and Traffic,” of this manual
describes the use of Form CEM-2101.
Form CEM-2102, COZEEP/MAZEEP Task Order

The resident engineer uses Form CEM-2102, “COZEEP/MAZEEP Task Order,” to
request highway patrol support for the Construction Zone Enhanced Enforcement
Program. The use of this form is described in Section 2, “Safety and Traffic,” of this
manual.
Form CEM-2103, COZEEP/MAZEEP Cancellation Form

The resident engineer uses Form CEM-2103, “COZEEP/MAZEEP Cancellation
Form,” to cancel any previously requested highway patrol support for the
Construction Zone Enhanced Enforcement Program. The use of this form is
described in Section 2, “Safety and Traffic,” of this manual.

Form CEM-2401, Substitution Report for Disadvantaged Business Enterprise/
Disabled Veteran Business Enterprise
The contractor fills out Form CEM-2401, “Substitution Report for Disadvantaged
Business Enterprise/Disabled Veteran Business Enterprise.” The resident engineer
uses the form to approve disadvantaged business enterprise (DBE) subcontractor
substitutions. For more information on substituting subcontractors refer to Sections
3-8, “Prosecution and Progress,” and 8-3, “Disadvantaged Business,” of this manual.
Enterprises (DBE), First - Tier Subcontractors (Federally
Funded Projects)
The contractor fills out and certifies Form CEM-2402(F), “Final Report- Utilization
of Disadvantaged Business Enterprises (DBE), First - Tier Subcontractors (Federally
Funded Projects).” The resident engineer verifies the form. It describes work
performed and materials provided by disadvantaged business enterprise subcontractors.
See Section 8-3, “Disadvantaged Business,” of this manual for details.
Enterprises (DVBE) State Funded Projects
The contractor fills out and certifies Form CEM-2402(S), “Final Report -
Utilization of Disabled Veteran Business Enterprises (DVBE) State Funded
Projects.” The resident engineer verifies the form. It describes work performed
and materials provided by disabled veteran business enterprise subcontractors
on state funded projects. See Section 8-3, “Disadvantaged Business,” of this
manual for details.
Form CEM-2403(F), Disadvantaged Business Enterprises (DBE) Certification
Status Change
The contractor fills out and certifies Form CEM-2403(F), “Disadvantaged
Business Enterprises (DBE) Certification Status Change.” The resident engineer
uses this 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. See Section 8-3, “Disadvantaged Business,” of this manual
for details.
Form CEM-2404(F), Monthly DBE Trucking Verification

The contractor must submit Form CEM-2404(F), “Monthly DBE Trucking
Verification,” 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 utilized each month on
the project. Instructions for filling out this form are on the back of the form.
Form CEM-2501, Fringe Benefit Statement

The contractor completes Form CEM-2501, “Fringe Benefit Statement,” for labor
compliance purposes. See Section 8-1, “Labor Compliance,” of this manual for more
information.
Form CEM-2502, Contractor/Subcontractor Payroll

When it is requested, furnish “Form CEM-2502, Contractor/Subcontractor
Payroll,” to the contractor. It is used to fulfill the payroll submittal requirements
of the contract. See Section 8-1, “Labor Compliance,” of this manual for more
information.

Form CEM-2503, Statement of Compliance
The contractor may use Form CEM-2503, “Statement of Compliance,” for the
required statement of compliance with payroll submittals. See Section 8-1,
“Labor Compliance,” of this manual for more information.
Form CEM-2504, Employee Interview: Labor Compliance/EEO
(Stock # 7541-3512-3)
Use Form CEM-2504, “Employee Interview: Labor Compliance/EEO,” to record
information from interviews of contractors’ employees. Directions to interviewer
are on the back of the form. See Section 8-1, “Labor Compliance,” of this
manual for more information.
Form CEM-2504 (Spanish), Entrevista de Empleado: Labor Compliance/EEO
Same as above. 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 Form
CEM-2505, “Owner - Operator Listing Statement of Compliance,” for reporting
payments made to owner-operators. See Section 8-1, “Labor Compliance,” of this
manual for more information.
Form CEM-2506, Labor Compliance – Wage Violation

The district labor compliance officer uses Form CEM-2506, “Labor Compliance –
Wage Violation,” to document labor compliance wage violations. See Section 8-1,
“Labor Compliance,” of this manual for more information.
Form CEM-2507, Labor Violation: Case Summary

The district labor compliance officer uses Form CEM-2507, “Labor Violation: Case
Summary,” in conjunction with Form CEM-2506 to summarize labor violation
cases. See Section 8-1, “Labor Compliance,” of this manual for more information.
Form CEM-2508, Contractor’s Payroll Source Document Review

The district labor compliance officer uses Form CEM-2508, “Contractor’s Payroll
Source Document Review” to document the verification of the contractors’ payroll
source document review. See Section 8-1, “Labor Compliance,” of this manual for
more information.
Form CEM-2509, Checklist – Source Document Review

The district labor compliance officer uses Form CEM-2509, “Checklist – Source
Document Review,” during the contractor’s payroll source document review. See
Section 8-1, “Labor Compliance,” of this manual for more information.
Form CEM-2601, Construction Progress Chart

The resident engineer maintains Form CEM-2601, “Construction Progress Chart,”
for each project. See 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 Form CEM-2701, “Weekly Statement of Working Days,”
to track contract time on construction contracts. The back 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 uses Form CEM-2702, “Overrun in Contract Time,”
to approve “director days.” For more information see 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 Form CEM-3101, “Notice of Materials to Be Used,” to
list all materials to be used on the project. See Section 6-2, “Acceptance of
Manufactured Material and Sampling Methods,” of this manual for details on
the use of this form. Instructions to the contractor are on the back of the form.
Form CEM-3501, AC Production/Placement Checklist

Resident engineers and assistant resident engineers may use Form CEM-3501, “AC
Production/Placement Checklist,” to identify asphalt concrete paving problems.
Form CEM-3701, Test Result Summary

Resident engineers may use Form CEM-3701, “Test Result Summary” to summarize
acceptance tests on each material. See 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

Resident engineers may use Form CEM-3702, “Relative Compaction Summary,”
to summarize compaction test results in the same manner that Form CEM-3701
is used for other tests.
Form CEM-4101, Materials Release Summary

Resident engineers use Form CEM-4101, “Materials Release Summary,” to summarize
the materials released by METS and materials inspected at the job site.
Form CEM-4102, Material Inspected and Released on Job

Resident engineers use Form CEM-4102, “Material Inspected and Released on
Job,” to list certain materials that may arrive on the job site without a Form TL-
0029, “Report of Inspection of Material.” See Section 6-3, “Field Tests,” of this
manual for details.
Form CEM-4202, Material Plant Safety Checklist

The materials plant inspector uses Form CEM-4202, “Material Plant Safety Checklist,”
when checking a materials plant for safety.
Form CEM-4204, California Test 109 Sticker

The district weights and measures coordinator affixes Form CEM-4204, “California
Test 109 Sticker” to each scale tested in accordance with California Test 109. Obtain
the form from the Division of Construction weights and measures coordinator.
Sample form not in appendix. See Section 3-903E, “Weighing and Metering
Procedures,” of this manual for details.
Form CEM-4501, Resident Engineer’s Daily Report/Assistant Resident
Engineer’s Daily Report (Stock # 7541-3506-1)
The resident engineer and the assistant resident engineers use Form CEM-4501,
“Resident Engineer’s Daily Report/Assistant Resident Engineer’s Daily Report,” to
record project activities daily. For more information see Section 5-0, “Conduct
of the Work,” of this manual.

Form CEM-4601, Assistant Resident Engineer’s Daily Report
(Stock # 7541-3504-6)
Assistant resident engineers use Form CEM-4601, “Assistant Resident Engineer’s
Daily Report,” 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 see Section 5-0, “Conduct of the Work,” of this manual.
Form CEM-4701, Drainage System Summary (Stock # 7541-3521-2)

Resident engineers and assistant resident engineers use Form CEM-4701, “Drainage
System Summary,” to record progress and summarize activity on drainage contract
items. See 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)

Resident engineers and assistant resident engineers use Form CEM-4801, “Quantity
Calculations,” for the basic source document for most contract item quantity
calculations.
Form CEM-4900, Contract Change Order (Stock # 7541-3501-0)

Resident engineers use Form CEM-4900, “Contract Change Order,” for contract
change orders. See Section 5-3, “Contract Change Orders,” of this manual for
information about contract change orders.
Form CEM-4901, Contract Change Order Input (Stock # 7541-3516-2)

Resident engineers and assistant resident engineers use Form CEM-4901, “Contract
Change Order Input,” to input contract change orders for the project record and
estimate data. See Section 5-103D, “Contract Change Orders,” of this manual for
details.
Form CEM-4902, Extra Work Bill (Short Form) (Stock # 7541-3500-8)

Contractors use Form CEM-4902, “Extra Work Bill (Short Form),” for billing extra
work. Details for use are on the back of the form and are also included in Section 5-
103E, “Extra Work Billing,” of this manual. The resident engineer may approve
contractor-designed forms. With prior approval from the Division of Construction,
the contractor may submit extra work bill data on a computer report identical to
Form CEM-4902 for all Caltrans projects.
Form CEM 4902A, Extra Work Bill - Title Page (Stock # 7541-3496-7)
Contractors use Form CEM 4902A, “Extra Work Bill - Title Page,” for billing extra
work. It is the first page of the 4-part extra work bill. It identifies the project, contract
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 back of the form
and are also included in Section 5-103E, “Extra Work Billing,” of this manual. The
resident engineer may approve contractor-designed forms. With prior approval from
the Division of Construction, the contractor may submit extra work bill data on a
computer report identical to Form CEM-4902A for all Caltrans projects.
Form CEM-4902B, Extra Work Bill - Labor Charges (Stock # 7541-3497-9)

Contractors use Form CEM-4902B, “Extra Work Bill - Labor Charges,” for billing
extra work. It is used to enter labor charges and other expense subject to labor
markup. This form is used with CEM-4902A, “Extra Work Bill Title Page.”
Details for use are on the back of the form and are also included in Section 5-

103E, “Extra Work Billing,” of this manual. The resident engineer may approve
contractor-designed forms. With prior approval from the Division of
Construction, the contractor may submit extra work bill data on a computer
report identical to Form CEM-4902B for all Caltrans projects.
Form CEM-4902C, Extra Work Bill - Equipment Charges (Stock # 7541-3498-1)
Contractors use Form CEM-4902C, “Extra Work Bill - Equipment Charges,”
for billing extra work. It is used to enter equipment charges to the extra work
bill. This form is used with CEM-4902A, “Extra Work Bill - Title Page.” Details
for use are on the back of the form and are also included in Section 5-103E,
“Extra Work Billing,” of this manual. The resident engineer may approve
contractor-designed forms. With prior approval from the Division of
Construction, the contractor may submit extra work bill data on a computer
report identical to Form CEM-4902C for all Caltrans projects.
Form CEM-4902D, Extra Work Bill - Material Charges (Stock # 7541-3499-3)

Contractors use Form CEM-4902D, “Extra Work Bill - Material Charges,” for billing
extra work. It is used to enter material charges to the extra work bill. This form is
used with CEM-4902A, “Extra Work Bill - Title Page.” Details for use are on the
back of the form and are also included in Section 5-103E, “Extra Work Billing,” of
this manual. The resident engineer may approve contractor-designed forms. With
prior approval from the Division of Construction, the contractor may submit extra
work bill data on a computer report identical to Form CEM-4902D for all Caltrans
projects.
Form CEM-4903, Contract Change Order Memorandum (Stock # 7541-3544-0)

Resident engineers use Form CEM-4903, “Contract Change Order
Memorandum” in conjunction with Form CEM-4900, “Contract Change Order,”
to report the necessary engineering and administrative data relative to the change.
See Section 5-3, “Contract Change Orders,” of this manual for details.
Form CEM-5101, Request for Payment for Materials on Hand
(Stock # 7541-3522-4)
Contractors use Form CEM-5101, “Request for Payment for Materials on Hand,”
to request payment for materials on hand. Instructions for the form and
administrative procedures are covered in Section 3-9, “Measurement and
Payment,” of this manual.
Form CEM-6001, Project Record - Estimate Request

The resident engineer uses Form CEM-6001, “Project Record - Estimate Request,”
to request that an estimate be run. See Section 5-103F (1), “Procedure,” of this
manual for details.
Form CEM-6002, Contract Administration System (CAS) - Report Requests

Use Form CEM-6002, “Contract Administration System (CAS) - Report Requests,”
to obtain reports available from the contract administration system. See Section 5-
103, “The Contract Administration System (CAS),” of this manual for details.
Form CEM-6003, Progress Pay - Estimate Project Initiation or Update

Use Form CEM-6003, “Progress Pay - Estimate Project Initiation or Update,” to add
new information or to change information in the contract administration system.
For details see Section 5-103B, “Project Initiation and Update,” of this manual.

Form CEM-6004, Contract Transactions Input (Stock # 7541-3515-0)
Use Form CEM-6004, “Contract Transactions Input,” to input estimate data
into the contract administration system for the project record and estimate. See
Section 5-103C, “Contract Transactions,” of this manual for details.
Form CEM-6201, Notice of Potential Claim

Contractors use Form CEM-6201, “Notice of Potential Claim,” 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 Form CEM-6201A , “Initial Notice of Potential Claim,” 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 Form CEM-6201B, “Supplemental Notice of Potential Claim,” 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 CEM-
6201A, “Initial Notice of Potential Claim.”
Form CEM-6201C, Full and Final Documentation of Potential Claim

Contractors use Form CEM-6201C, “Full and Final Documentation of Potential
Claim,” to submit a complete documentation of a potential claim after completeion
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-6202, Disputes Review Board (DRB) Establishment

Resident engineers complete and submit Form CEM-6202, “Disputes Review Board
(DRB) Establishment Report,” to the Division of Construction after the initial DRB
meeting has been held. For details on the use of this form, see Section 5-4, “Disputes,”
of this manual.
Form CEM-6203, Dispute Review Board (DRB) Update Report

Resident engineers complete and submit Form CEM-6203, “Disputes Review
Board (DRB) Update Report,” to the Division of Construction yearly beginning
on the anniversary of the contract first working day. For details on the use of
this form, see Section 5-4, “Disputes,” of this manual.
Form CEM-6204, Dispute Review Board (DRB) Issue Report

(DRB) Issue Report,” to the Division of Construction when Caltrans has sent a
response to DRB recommendation and the contractor’s response has been received
or has been accepted by default. For details on the use of this form see Section 5-4,
“Disputes,” of this manual.
Form CEM-6205, Dispute Review Board (DRB) Completion Report

(DRB) Completion Report,” to the Division of Construction 30 days after receipt of
the contractor’s exceptions to the proposed final estimate. For details on the use of
this form see Section 5-4, “Disputes,” of this manual.
Form CEM-6301, Contract Acceptance
Resident engineers use Form CEM-6301, “Contract Acceptance,” 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 see Section 3-710, “Acceptance
of Contract,” of this manual.
Form CEM-9001 Construction Manual Proposed Change

Caltrans personnel may use Form CEM-9001 “Construction Manual Proposed
Change,” to submit a proposed change to the Construction Manual. Forms should
be sent to the Division of Construction.
5-101C Office of Materials Engineering and Testing Services Forms (METS)
Order METS forms by stock number from district warehouses or stockrooms. Find
forms without stock numbers on the Caltrans Electronic Form System’s (CEFS)
Intranet web site: http://adsc.caltrans.ca.gov/CEFS/. The appendix of this manual
contains samples the forms that are generated in construction. Forms without stock
numbers can also be obtained by contacting METS.
Form TL-0028, Notice of Materials to be Inspected

METS uses Form TL-0028, “Notice of Materials to be Inspected,” to assign inspection
duties. METS sends copies of these assignment forms to the resident engineer. Sample
form not in appendix.
Form TL-0029, Report of Inspection of Material (Stock # 7541-6001-2)

METS will complete Form TL-0029, “Report of Inspection of Material,” to confirm
the inspection of material to which the inspector has attached inspection release tags
or other means of identification. METS mails the report to the resident engineer, who
will compare it with inspection tags or markings on delivered materials. Sample form
not in appendix.
Form TL-0101, Sample Identification Card

Use Form TL-0101, “Sample Identification Card,” 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 Form TL-0502, “Field Sample of Portland Cement Concrete Sample Card,” to
submit compressive strength samples of concrete. Refer to Section 6-3, “Field Tests,”
for details on marking of samples.
Form MR-0518, Job Cement Samples Record (Stock # 7541-6019-0)

Use Form MR-0518, “Job Cement Samples Record,” to submit cement samples for
testing. Instructions for the use of this form are found in Section 6-2, “Acceptance of
Manufactured Material and Sampling Methods,” of this manual.
Form TL-0608, Notice of Materials to be Furnished

METS uses Form TL-0608, “Notice of Materials to be Furnished,” to notify the
manufacturer that a METS inspector has been assigned to inspect a specific item.
See Section 6-2, “Acceptance of Manufactured Material and Sampling Methods,”
of this manual for more details. Sample form not in appendix.

Form TL-0624, Inspection Release Tag
When a METS Inspector has inspected material, the inspector will attach Form TL-
0624, “Inspection Release Tag,” with lot numbers, inspector’s 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. Sample form not in
appendix.
Form TL-0649, Inspector’s Report of Material on Hand

METS uses Form TL-0649, “Inspector’s Report of Material on Hand,” to verify that
material has been inspected and is in acceptable condition. See Section 3-9,
“Measurement and Payment,” of this manual for details. Sample form not in appendix.
Form TL-3096, Pavement Core Record

The district materials unit uses Form TL-3096, “Pavement Core Record,” to record
the data on cores that are taken to determine pavement thickness. See Section 4-40,
“Portland Cement Concrete Pavement,” of this manual for details. Sample form not
in appendix.
Form TL-6037, Fabrication Progress Report

DMETS uses Form TL-6037, “Fabrication Progress Report,” to notify resident
engineers of progress being made on fabrication of various items. See Section 3-9,
“Measurement and Payment,” for details. Sample form not in appendix.
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.
Form DAS-1, Apprentice Agreement

Form DAS-1, “Apprentice Agreement,” provides evidence of registration of the
contractor’s apprenticeship program (Sample form not in appendix). Contractors
obtain Form DAS-1 from the California Department of Industrial Relations, Division
of Apprenticeship Standards.
Form H-ESP-16, Request for Construction Staking (Stock #7541-4542-7)

The contractor uses Form H-ESP-16, “Request for Construction Staking,” 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 re-staking. For information on construction surveys
and use of Form H-ESP-16, see Chapter 12, “Construction Surveys,” of the Caltrans
Surveys Manual.
Erosion Control)
Use Form LA-16, “Product, Material, or Method Report (For Highway Planting or
Erosion Control),” to report new products, materials, or methods for erosion control
and highway planting. Send the completed report to the district landscape architect
and to the Landscape Architecture Program. See section 4-2001, “General,” of this
manual for details.
Form LA-17, Report of Chemical Spray Operations

The contractor uses Form LA-17, “Report of Chemical Spray Operations,” to
submit the required weekly pesticide application report. See Section 4-2003C
(2), “Pesticides,” of this manual for details.

Form TR-0019, Notice of Change in Clearance or Bridge Weight Rating
Use Form TR-0019, “Notice of Change in Clearance or Bridge Weight Rating,” to
report permanent changes to vertical or horizontal clearance for vehicular traffic or
permanent changes in bridge permit ratings on divided roadways. See Section 3-
705B, “Clearance and Bridge Permit Rating Changes (Permanent),” of this manual
for details.
Form TR-0020, Notice of Change in Vertical or Horizontal Clearance

Use Form TR-0020, “Notice of Change in Vertical or Horizontal Clearance,” to
report permanent changes to vertical or horizontal clearance for vehicular traffic.
See Section 3-705B, “Clearance and Bridge Permit Rating Changes (Permanent),”
of this manual for details.
Form TR-0029, Notice of Change in Clearance or Bridge Weight Rating

Use Form TR-0029, “Notice of Change in Clearance or Bridge Weight Rating,” to
report permanent changes to vertical or horizontal clearance for vehicular traffic or
permanent changes in bridge permit ratings on undivided roadways. See Section 3-
705B, “Clearance and Bridge Permit Rating Changes (Permanent),” of this manual
for details.
5-101E Federal Forms
Following is a list of some federal forms that are used in contract administration.
Form FHWA-47M Statement of Materials and Labor Used By Contractors On
Highway Construction Involving Federal Funds
The contractor must submit Form FHWA-47M “Statement of Materials and Labor
Used By Contractors On Highway Construction Involving Federal Funds,” on federal-
aid contracts when the amount paid to the contractor is in excess of $1,000,000.
Instructions are on the back of the form. Sample form not in appendix. Obtain the
form from the United States Department of Transportation, Federal Highway
Administration’s web site: http://www.fhwa.dot.gov/
Form FHWA-1022 United States Department of Transportation Notice

The contractor must post Form FHWA-1022 “United States Department of
Transportation Notice,” on each federal-aid highway project in one or more places
where it is readily available to all personnel associated with the project. The resident
engineer must also post the notice at the Caltrans field office. (Sample form not in
appendix). Obtain the form from the United States Department of Transportation,
Federal Highway Administration’s web site: http://www.fhwa.dot.gov/
Form FHWA-1391 Federal-Aid Highway Construction Contractors Annual EEO
Report
The contractor must submit Form FHWA-1391 “Federal-Aid Highway
Construction Contractors Annual EEO Report,” on all federal aid contracts over
$10,000. All subcontractors on federal aid projects whose subcontracts exceed
$10,000 must also submit the report. Contractors and subcontractors include
project employment data for the last full week of July on the report. Sample
form not in appendix. Obtain the form from the United States Department of
Transportation, Federal Highway Administration’s web site: http://
www.fhwa.dot.gov/

Form DOL SF-308 Request for Wage Determination and Response to Request
On federal-aid contracts, request wage rate determinations on the United States
Department of Labor Form SF-308, “Request For Wage Determination and Response
to Request.” Sample form not in appendix. Obtain the form from the United States
Department of Transportation, Federal Highway Administration’s web site:
http://www.fhwa.dot.gov/
Equal Employment Opportunity Is The Law Poster

The contractor must post the “Equal Employment Opportunity Is The Law Poster”
on each federal-aid highway project in one or more places where it is readily available
to all personnel associated with the project. The resident engineer must also display
the poster at the Caltrans field office. Sample form not in appendix. Obtain the
poster from the United States Department of Transportation, Federal Highway
Administration’s web site or the district labor compliance officer:
http://www.fhwa.dot.gov/
Form FHWA-1495 Wage Rate Information Federal-Aid Highway Project

The contractor must post Form FHWA-1495 “Wage Rate Information Federal-Aid
Highway Project,” with the Secretary of Labor minimum wage rate schedule attached,
at the jobsite where the workers can easily see it. Sample form not in appendix.
Obtain the form from the Federal Highway Administration or the district labor
compliance officer: http://www.fhwa.dot.gov/
5-102 Organization of Project Documents 5-102

5-102A General Organization of
This section describes the uniform filing system for organizing project records and Project Documents
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 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 Engineer’s 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 project’s construction operations. Category 4 includes
only those transactions connected with the resident engineer’s 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 contract change order in the contract change order category file.
File correspondence filed 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 contract change order to solve the problem. At this point, the resident
engineer should transfer all of the correspondence related to the contract change
order to the contract 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 contractor’s 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 H-ESP-16, “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 due to 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:
• Contractor’s organization including the designation of the contractor’s authorized
representative as required by Section 5-1.06, “Superintendence,” of the Standard
Specifications
• Contractor’s equipment list
• Contractor’s 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 7-1.12, “Indemnification and
Insurance,” of the Standard Specifications
Category 13, Signs and Striping

In this category, file all documents relayed 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 the 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 just daily reports
and receiving records of 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 may be 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 Agreements—Without Obligations
• Right-of-Way Agreement—With 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 contract change order number if the required work is being done by contract
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 Storm Water Pollution Prevention
Plan
File all correspondence regarding water pollution control plans (WPCP) or storm
water pollution prevention plans (SWPPP) in this category. A list of suggested
subcategories follows:
• Approved WPCP or SWPPP
• Amendments to WPCP or SWPPP
• Notification of Construction
• Correspondence
• Inspections by Contractor
• Inspections by Caltrans
• Inspections by Task Force Team
• Notices of Noncompliance
• Annual Certification of Compliance
• Notice of Termination

Category 21, Construction 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
• Approved lane closures
• Contractor contingency plans
• Traffic count data

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 contractor’s DBE/DVBE utilization plan.
• DBE and DVBE substitution requests and approvals.
• DBE and DVBE monthly reports.
• Certified rosters.
• Form CEM-2402(S), “Final Report-Utilization of Disabled Veterans Business
Enterprises (DVBE).
• Form CEM-2402(F) “Final Report-Utilization of Disadvantaged Business
Enterprises (DBE), First-Tier Subcontractors.”
• 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. See 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
• Asphalt concrete aggregate (preliminary tests)
• 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-3101’s that contain information for structure items available for
use by the structure representative. Consider filing the Form CEM-3101’s listing
structure items in a separate subcategory of this category.
Category 32, Notice of Materials to be Inspected

In this category, file Form TL-0028, “Notice of Materials to be Inspected.”
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
also identifies the subcategory, and the 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, Asphalt Concrete

In this category, file documents related to asphalt concrete, except those to be filed
in other specific categories such as in 37 and 48. Following are suggested
subcategories:
• Mix designs and related project documents
• Plant records (other than acceptance tests)
• Spread records
• Certificates of Compliance for materials used in asphalt concrete
Category 36, Portland Cement Concrete (other than structure items)

In this category, file documents related to portland cement 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. See 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
also identifies the subcategory, and the 3 is the second level subcategory identifying
the particular test result.
• 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)
• Asphalt Concrete
37.31.1 Gradings and sand equivalent (file both in a single subcategory when
both results appear on one test report)
37.31.2 Extraction and Moisture
• 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
Use Form CEM-3701, “Test Result Summary” for each item of testing, and file it in
the appropriate subcategory of this category.
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
Category 38, Quality Control, Quality Assurance

In this category, include all documents relating to quality control, quality assurance.
Create a subcategory system to include the following:
• The contractor’s quality control plan
• Mix designs
• The contractor’s quality control tests
• Caltrans verification tests
• Pay factor calculations
• Copies of related correspondence
Category 39, Materials Testing Certification 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 project’s 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 Form TL-0029, “Report of Inspection of Material.” Create a
subcategory for each contract item requiring inspection at the source by a Office of
Materials Engineering and Testing Services inspector.
Place a summary sheet containing the date of inspection, quantity inspected,
accumulated quantity, and lot numbers in each subcategory. Use form similar to that
used by the Office of Structure Construction (Form DH-OS-C52, “Materials Release
Summary”). The primary purpose of this form is to check that materials used in the
work have been inspected.
Staple Form TL-0624, “Inspection Release Tag,” removed from materials received
on the project, to the report of inspection on a letter-size sheet of paper and file it in
the appropriate subcategory of this category. The sheet should contain 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.
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.

established categories. When using an extra category, enter the category number
and title in the index.
Category 45, Resident Engineer’s Daily Reports

In this category, file Form CEM-4501, “Resident Engineer’s Daily Report/Assistant
Resident Engineer’s Report” and the structure representative’s daily report.

Category 46, Assistant Resident Engineer’s Daily Reports
In this category, file Form CEM-4601, “Assistant Resident Engineer’s 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:
Category
and Contract items
Subcategory Involved in the
Number Operations Operation
46.2 Clearing and Grubbing 5

46.3 Rdwy. Exc., Ditch Exc. 8,13,11,15,22
Aggregate Subbase
46.4 Salvage Fence, New Fence 2,78,79,80
Gates
46.5 Guard Railing, Markers, Barricades 1,4,82,83,87
46.6 AB,CTB 23,24
46.7 AC 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
46.2 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

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 above example, set up a separate subcategory for each
structure.
2. Reports Covering Extra Work
Pending receipt of the contractor’s billing, file chronologically the original
and one copy of Form CEM-4601, “Assistant Resident Engineer’s Daily
Report,” covering extra work in a subcategory of this category. After receiving
the extra work bill report and approving payment, record the extra work 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.
Extra work 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 engineer’s and assistant resident
engineer’s 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

In order 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 the 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.”

In order 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, Contract 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, “Contract Item Quantity Documents.”
Some drainage item quantity documents may be filed in Category 47.

Category 49, Contract Change Orders
In this category, file contract 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, “Contract Change Order,” Form CEM-4903, “Contract
Change Order Memorandum,” and any accompanying correspondence.
• Form CEM-4901, “Contract Change Order Input.”
• Daily extra work bills and reports matched with assistant resident engineer’s
daily reports
Two additional subcategories may be:
• The Labor Surcharge and Equipment Rental Rates (Cost of Equipment
Ownership) book(s) 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 contract change order is written, the supporting project documents may be
transferred to the contract 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:
• State Furnished Material And Expenses.
In this subcategory, file the contractor’s letters requesting delivery of state
furnished materials. Also, file the receiving records or other records of material
furnished by Caltrans. When state 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 (see “Reports of Damage to
State Highway Property” in the Caltrans Safety 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 (see Section 2.01, “General,” of the
Standard Specifications).
• Engineering and inspection charged to the contractor (see Section 3-506, “Lines
and Grades,” 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 (See Section 3-908, “Deductions,” of this manual.
• Any other deductions. (See Section 3-9, “Measurement and Payment” of this
manual.)
Categories 55 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
Category 60, Project Status Sheets
In this category, file the “Project Record Item Sheets.” Subcategories of this
category are estimate numbers in numerical order. The subcategories contain
documents resulting from the computerized contract administration system. Only
the most current results need to be retained. Possible subcategories are:
• Project Record Item Sheets
• Form CEM-6003, “ Progress Pay - Estimate Project Initiation or Update”
• Estimate Verification Form.
• Form CEM-6001, “Project Record - Estimate Request”
• Form CEM-6004, “Contract Transactions Input”

• Status of Contract Items
• Status of Contract Change Orders
• Contract Change Order Master Listing
• Daily Extra Work Report Edit Messages
• Form CEM-6002, “Contract Administration System (CAS) - Report Requests”
If desired, some of the above project documents (other than the “Project Record
Item Sheets”) may be filed in extra category numbers.
Category 61, Project Record-Estimate and Project Status

In this category, file monthly estimate output documents.
The suggested subcategories of this category are:
• Progress Payment Voucher
• Project Record-Estimate and Project Status
• Estimate Processing Results
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 contractor’s dispute
• Disputes Review Board Agreement
• Contractor’s claim for a time extension (cross-reference to Category 27)
• Acknowledgment of the contractor’s 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 FHWA-47M, “Statement of Materials and Labor Used by Contractors On
Highway Construction Involving Federal Funds”
• 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 Storm Water 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
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 Asphalt Concrete
36 Portland Cement Concrete (other than structure items)
37 Initial Tests and Acceptance Tests
38 Quality Control Quality Assurance
39 Materials Testing Certification 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 (Extra category number)
45 Resident Engineer’s Daily Reports
46 Assistant Resident Engineer’s Daily Reports
47 Drainage Systems
48 Contract Item Quantity Documents
49 Contract 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
55-58 (Extra category numbers)
59 Bridge Estimate Data
60 Project Status Sheets
61 Project Record-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
Asphalt Concrete 35
Assistant Resident Engineer’s Daily Reports 46
Basement Soil Test Results 30
Bridge Estimate Data 59
Treated Base 34
Charges to Total Contract Allotment 52
Concrete and Reinforcing Steel 43
Construction Surveys 8
Construction Zone Enhanced Enforcement Program 21
Contract Change Orders 49
Contract Item Quantity Documents 48
Contractor 12
Credit to Contract 53
Daily Reports, Assistant Resident Engineer’s 46
Daily Reports, Resident Engineer’s 45
Deductions from Payment to Contractor 54
Disadvantaged Business Enterprises and Disabled
Veterans Business Enterprises 24
Disputes 62
Drainage Systems 47
Equipment and Personnel Cost Reports 3
Extra Categories 10, 23, 38, 56, 57, 58
Field Laboratory Assistant Reports to Resident Engineer 40
General Correspondence 5
Hazardous Waste and Hazardous Materials 19
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 Certification of Employees 39
Notice of Materials to be Furnished (Form TL-0608) 33
Notice of Materials to be Inspected (Form TL-0028) 32
Notice of Materials to Be Used (Form CEM-3101) 31
Photograph Records 14
Portland Cement Concrete (other than structure items) 36
Progress Schedule 26
Project Completion Documents 63
Project Office Equipment and Supplies 2
Project Personnel 1
Project Record Estimate and Project Status 61
Project Status Sheets 60
Public Relations 7
Quality Control Quality Assurance 38
Report of Inspection of Material (TL-0029) 41
Resident Engineer’s Daily Reports 45
Safety 6
Service Contracts 4
Signs and Striping 13
Traffic Management Information 22
Utility Agreements 16
Utility Work Performed 17
Water Pollution Control Plan or Storm Water Pollution
Prevention Plan 20
Weekly Newsletter 28
Weekly Statement of Working Days (Form CEM-2701) 27
Welding 9

5-103 5-103 The Contract Administration System (CAS)
The Contract 5-103A General
Administration This section describes the Contract Administration System (CAS), sometimes referred
System (CAS) to as “the progress pay system.” The primary purpose of this computer system is to
help administer Caltrans construction projects. Various functional units within
construction update and maintain records on individual contracts in CAS from the
award and approval of the contract through to the completion and final payment.
CAS is one of three subsystems of the Project Information System and Analysis
(PISA). The three subsystems of PISA make up the primary computer system that
Caltrans uses for tracking contract capital costs. These subsystems 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. See Table 5-1, “Contract Administration System,
Systems Interface,” for a general overview of how CAS relates to the other
components of the Caltrans computer system used for tracking and paying contract
capital costs.
CAS is also composed of separate modules, each of which accomplishes a distinct
function. The following are the most common of CAS’s many modules:
• Project initiation and update
• Contract transactions
• Contract 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

Table 5-1.1 Contract Administration System, Systems Interface
BID OPENING SYSTEM (BID) PROJECT MANAGEMENT

CONTROL SYSTEM (PMCS)
The BID system passes contract item
information and the winning bidders The PMCS system passes contract
name and address when the project is location, Federal Aid number, Project
initiated into CAS. Type and Project descriptions to the CAS
System. Project cost information is
passed to the PMCS System from the
CONTRACT Contract Summary Record.
ADMINISTRATION
SYSTEM
(CAS)
PRELIMINARY ESTIMATE
DISTRICT CONSTRUCTION
AND COST REVIEW (PCR)
The CAS system files are updated
daily from all 12 Caltrans districts with Project cost information is passed to
contract payment information. CAS the PCR System from the Contract
returns input transaction edit and Summary Record.
verification reports to the district users.
CONSTRUCTION
UNIT COST
SYSTEM (CUC)
BRIDGE DATA
MANAGEMENT (BDM)
Contract item prices are
collected quarterly from
Report of any structure work done on the CAS files by the CUC
highway contracts. INTERNET system.
CONTRACT
ADMINISTRATION
SYSTEM
(iCAS) Enters information in
Milestone and Extra
Work Bill (EWB) now,
in the future Contract
Change Order (CCO),
STATE CONTROLLER CAS Progress Pay,
ACCOUNTING SUBSYSTEM Daily Diary, Contract
CAS passes a claim tape to Transaction Input (CTI),
State Controller containing etc.
Issues payment vouchers to State
contractor payment Controller and payment transaction
information. State Controller information to TRAMS
creates pay vouchers and
sends them back to us. Approves
payments to the
TRANSPORTATION contractors.
ACCOUNTING MANAGEMENT
SYSTEM
(TRAMS)
DISBURSING
CAS places all contract payment DISTRICT OR
Distributes the warrants and transactions on a collector to be picked up HEADQUARTERS
payment vouchers to the by TRAMS. Payment information is used to CONSTRUCTION
contractors. make up the Federal Bill.

5-103B Project Initiation and Update
When Caltrans has determined the lowest responsible bidder, the Office of Office
Engineer will transfer project data from the Bid Opening System to CAS. 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 engineer’s name and address, the bridge representative’s name,
and the project’s password. To perform the update, the district uses Form CEM-
6003, “Project Pay—Estimate Project Initiation or Update” which is explained
in more detail under the heading “Filling Out Form CEM-6003,” below.
The result of the district’s file update will be a dummy Form CEM-6001, “Project
Record-Estimate 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 contract’s 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 CAS using Form CEM-6003, “Project Pay-Estimate
Project Initiation or Update.” The State Controller mails progress payment checks
to the legal name style address. Only the Division of Construction’s progress
pay coordinator is authorized to make changes to the legal name style address
from Form CEM-1202, “Contractor Action Request - Change of Name/Address-
Assignment of Contract Monies,” verified by the resident engineer with the
Division of Construction field coordinators concurrence.
5-103B (1) Completing Form CEM-6003, “Project Pay-Estimate 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 (1a) Project Key
Enter the letter “U” under “FB,” and in the remaining spaces, enter the
district and contract number.
5-103B (1b) 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 engineer’s phone number.

• Responsible unit: 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: For projects requiring retentions be held at 5 percent
for the contract’s life, enter an “X” in the “PE” column.
• Begin construction date: 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 (1c) Card type C06 to C08
Resident engineer’s mailing address: On the first line, enter the resident
engineer’s 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 (1d) Card type C09 to C14

Only the Division of Construction progress pay coordinator can change
the legal name style address in CAS.
To change the contractor’s local address: Enter the contractor’s name on line
C09, and as necessary, continue the name on lines C10 through C12. Leave
unused lines blank.
Enter the contractor’s local address on lines C13 and C14. Also enter the
contractor’s 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 (1e) Card type C15
For the following data fields under card type C15, do the following:
• Structure representative’s name: If the contract requires structure work,

enter the structure representative’s name even if it is the same name as
the resident engineer’s. Enter only the last name and first initial (SMITH,
J.)
• Structure responsible unit: This unit is the source unit that the Office of
Structure Construction uses to code its time sheet. The unit may range
from 550 to 599.
• Original authorized amount for structure work: At the contract’s 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 (2) Processing
CAS analyzes the changes made to the computer file and does the following:
• CAS notes whether the district is updating the “Responsible Unit” field for
the first time. If so, CAS prints a dummy Project Record-Estimate form and
a Contract Contents Report.
• If this update is not the first update, CAS prints only the first page of the
Contract Contents Report. CAS prints the dummy Project Record-Estimate
form only if the contractor’s name and address field has been changed.
• CAS 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 CAS 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.
• Contract change order transactions: These consist of three types of
transactions that refer to contract 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
CAS 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 contract change order. This will cause the approved quantity to
be adjusted automatically. Thus, you do not have to account for status
changes due to contract 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 entitled 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
• 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
engineer’s 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 we will show in our later discussion of
progress pay estimates.
• Contract item anticipated change: This transaction’s purpose is to give
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 contract change order,
a reversing entry is necessary.
• 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.
• 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.

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 contract change order. These
transactions are not cumulative and will affect the project’s estimated final
cost only on the next progress pay estimate to be generated.
• Material on hand payments: These transactions are placed in the computer
file, and their sum will appear on the next progress pay estimate that generates
payment. For more information about materials on hand, see Section 3-9,
“Measurement and Payment,” of this manual.
• State-furnished materials allotment transfer: Use this transaction to increase
or decrease the value of the state-furnished materials allotment for your
contract. The construction allotment will automatically adjust. To increase
the state-furnished materials allotment, enter a positive number. (This type
of entry will decrease the contingency balance.)
• Total allotment changes: Use this transaction to enter into the system any
supplemental allotment that increases (or decreases) your contract’s 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 state-furnished materials allotment.
The three transaction types listed below comprise “contract change order
transactions,” the final category of contract transactions:
• Contract change order anticipated change: This transaction has the same
effect as does the contract item anticipated change except that a contract
change order is being changed.
• Contract change order final balance: This transaction has the same effect as
does a contract item balance. When work on a contract change order is
finished, mark it “Complete” by entering this transaction. As with contract
items, additional extra work bills may be paid, and the system will continue
to balance the contract change order.
• Contract change order final balance (“Reopen”): This transaction allows
you to reverse the status of the contract change order from “Complete” to
“Active.”
5-103C (2) Completing Form CEM-6004, “Contract Transactions Input”
The engineer will use Form CEM-6004 more often than any other form in CAS.
Page 2 of the form provides instructions for completing it, and this section contains a
complted sample of the form. See 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 form’s 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. See 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.
• Mark the structure field with the character “B” if this transaction concerns
“structure work.” Otherwise, leave the space blank. If you use the report
entitled 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 Construction Records and Procedures Manual.
The form’s 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 project’s
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.
• State-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 state-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 contract change order transactions:
• For the contract change order anticipated change, the new estimated
final cost is computed for the contract change order and reported. The
system does not do any checking.
• Contract change order final balance and final balance (“Reopen”):
1. The contract change order status is set to “Complete,” or “Active,”
respectively. The system does not do any checking.
2. For a contract 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 entitled “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. Contract change orders and daily extra work reports
carry unique identifying numbers that CAS 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.
CAS 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


8 Temp. Railing (Type K) 48-8-2
LOCATION SEGREGATION
07-1381U4 Ramp 3
YES
NO
07-LA-210-47.5/57.3 CALC. BY DATE
Fed. No.: None I.M. Engineer

CHK. BY DATE
U.R. Wright
Field Measurement: Estimated Quantity: 450

Field Counted: Unit of Measure: meter
Final Pay Item: Unit Price: $20.00
75%= 337.5
125%= 562.5
Remarks Or Other Calculations:
152.4 meters placed on 5-03-01 at Maple St. onramp
Material Inspection/Release: Certificates of compliance obtained on 4-29-01
PAY THIS ESTIMATE: 152.4

PREVIOUS PAID: 140.2
TOTAL TO DATE: 292.6

Office Engineer 05/19/01 CEM-6005, page 4, line 5
CEM4801

STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION 1
1 0 1 2 3 4 5 4 I 5 # 2 CAS0A PAGE NO. 0 4
1 3 9 15 17
CONTRACT TRANSACTIONS INPUT DIST CONTRACT NO. PASSWORD
5-1.48
CEM-6004 (Rev. 10/1983) CT#7541-3515-0
DATE CONTRACT ITEM ENTRIES ALL OTHER ENTRIES
LINE ENT
SOURCE DOCUMENT DESCRIPTION
NO. MO. DAY ITEM + CCO + BY BY
QUANTITY (UNITS) NO. AMOUNT($) TYPE
- -
CODE
18 20 22 24 43 45 NO. 48 49 60 62 64 65 66 74
BRIDGE
01 0 5 1 9 4 8 - 1 4 - 1 7 b 0 1 4 , 1,2 7 3 0 0 0 , IME URW
02 0 5 1 9 M A I L B O X E S O N E L M S T 0 2 8 , , 15000Q , IME URW
03 0 5 1 9 A N T . E L I M . A C O N F L Z , 1,5 0 0 0 0 0 A , IME URW
04 0 5 1 9 B A L . C O M P L . I T E M 6 0 0 6 , , F , IME URW
05 0 5 1 9 4 8 - 8 - 2 0 0 8 , ,1 5 2 4 0 0 F , IME URW
06 0 5 1 9 R E S T O R E S T A T U S 0 3 9 R E O,P E N, F , IME URW
07 0 5 1 9 R E V G R A D E F R 2 L I N E , , 1 5 ,0 0 0 0 0 A N T IME URW
08 0 5 1 9 5 1 - 4 - 2 , , 2 ,1 7 4 3 7 M H S IME URW
09 0 5 1 9 5 2 - 4 - 1 , , 2 ,0 0 0 0 0 S F M IME URW
10 0 5 1 9 5 3 - 4 - 1 , , 3 1 5 ,0 0 0 0 0 T A C IME URW
11 0 5 1 9 D E L E T D R A I N A G E , , 0 2 9 - 1 0 ,0 0 0 0 0 A C C IME URW
12 0 5 1 9 B A L . C O M P L . C C O 1 8 , , 0 1 8 , B A L IME URW
13 0 5 1 9 R E S T O R E S T A T U S , , 0 0 5 R E O,P EN B A L IME URW
14 , , ,
15 , , ,
Example 5-1.2 Contract Transaction Input
16 , , ,
17 , , ,
18 , , ,
19 , , ,
20 , , ,
21 , , ,
22 , , ,
23 , , ,
24 , , ,
IN CASE OF QUESTION CONTACT: NAME I. M. Engineer
VERIFY
93 95682 (123) 345-6789
Project Records and Reports

PHONE
5103C (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.
• Approved quantity: This item is the total of the bid quantity and the algebraic
sum of the quantity changes due to contract change orders that have been
filed.
• Authorized quantity: This item is the total of the approved 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 Contract Change Orders
The CAS maintains separate records for each approved contract change order on a
project. As each contract change order is approved, it must be entered into CAS
through the use of Form CEM-4901, “Contract Change Order Input.”
The method of entering each contract change order into the system may vary from
district to district, but can be done as follows:
• The resident engineer writes a contract change order and completes Form CEM-
4901. For approval procedures, see Section 5-3, “Contract 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 CAS.
• The result of entering the form data for each contract change order will consist
of a contract change order report and a disposition report.
• The resident engineer should review the contract change order report and correct
any errors. CAS 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 approved quantity adjusted to reflect
the change.
• Immediately after Form CEM-4901 has been processed, CAS will accept extra
work bills and anticipated changes that refer to the contract change order.
• When CAS processes a supplemental contract change order, the daily extra
work reports in the holding file (due to insufficient funds in the original contract
change order) will be made available for payment.

5-103D (1) Completing Form CEM-4901, “Contract Change Order Input”
Use Form CEM-4901 to perform the following functions:
• File a new contract change order in the computer file.
• Update (change existing information) a contract change order in the computer
file.
• Replace a filed contract change order with another contract change order.
• Delete a contract 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 contract change order numbers at the top of the
form. The original contract 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 contract
change order was written with a deferred time adjustment clause. Enter a category
code on every contract change order. Left-justify this code.
Card Type 2: If extra work or adjustment of compensation is not part of your

contract 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 contract 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 contract change
order is structure work, enter the net dollar amount involved. This amount will contribute
to the contract 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 contract 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 contract 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 contract 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 contract 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 contract change orders will replace the data
stored in the computer file with the new contract 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
contract 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 extra work 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
extra work bills to reduce payments below the authorized amount.
• Submit the replace request.
• After the contract change order has been replaced, reenter the extra work
bills that were reversed.

When possible, use the update function instead of the replace function.
5-103D (1d) Delete

You can eliminate a contract change order from the computer file as follows:
• Enter the contract and contract change order numbers.

• Place the letter “D,” in the function box at the top right of the form.
As with the replace function, a contract 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 contract change order must pass
through before the system will accept it:
• The contract change order number and the change order supplement number
must be filled in or the change order will be rejected.
• The contract change order description cannot be blank, or the contract
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 contract change order.
• The approval date must be after the bid opening date and less than or equal
to “today’s” date; otherwise, the contract 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 contract
change order.
• If any payment method appears more than once on the input cards, the
contract change order will be rejected.
• If you enter any contract item change for a void item, the system will reject
the contract change order.
• Lump sum items may appear on contract 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 contract change order as an increase and
also as a decrease. If the item appears a third time, the system will reject the
• If the contract item “mobilization” appears on a contract change order, the
contract 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 contract change order
must be greater than the sum of the negative changes and less than the sum
of the positive changes, or the contract change order will be rejected.
• The net dollar change for the contract 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 contract change order will be rejected.

• If the contract change order is already on file, the system will reject this duplicate
entry. Additionally, if this contract change order’s number exceeds by five the
largest contract change order number on file, or if the supplement’s number is
more than two above the latest supplement on file for this contract change order,
the system will reject the contract 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 contract change order is entered for extra work at force account and accepted
by the system.
• Subsequently, extra work bill payments are recorded against the contract change
order.
• A request is entered to delete the contract 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 contract change
order. The system requires that entries to correct extra work 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 contract change
order exist, the system makes similar demands.
At this point, the processing of the contract change order is complete. However,
when a supplemental contract change order is processed, the daily extra work
reports in the holding file (due to insufficient funds in the original contract
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 Extra Work Billing
This module’s purpose is to compute the amount of payment for extra work
performed under a contract change order. This includes the following:
• Editing input information
• Retrieving and updating the contract change order
• Performing logic edits
• Conducting audit checks
• Performing computations
• Filing the extra work 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
extra work bills. Extra work bills or corrections to filed extra work bills will not be
rejected because of insufficient funds (subject to the limitations in Section 3-904,
“Payment for Extra Work,” of this manual). Instead, the system will place the extra
work bills or the corrections to filed extra work bills in a holding file to await the

resident engineer’s further action. Usually, the resident engineer must write a
supplemental contract change order to provide additional funds; the supplemental
contract change order will make the appropriate extra work bills available for payment.
Use Form CEM-4902, “Extra Work Bill (Short Form),” to enter basic information
related to extra work performed under a contract 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 extra work 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 contract change order number: Right-hand justify this number; for
instance, contract change order 1 is 001, contract 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 extra work 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 extra work 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 contract 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 extra work 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 extra work 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 &
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 extra
work bill is for an invoice only, enter the name of the organization to which
the invoice was addressed. Submit a separate daily extra work bill for each
organization’s 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 & 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
Construction’s web site a listing of miscellaneous equipment, for equipment
not shown in the Labor Surcharge & Equipment Rental Rates (Cost of
Equipment Ownership) book.
• For equipment that is neither in Labor Surcharge & Equipment Rental Rates
(Cost of Equipment Ownership) book nor available from the web site’s
miscellaneous listing, the contractor must request a rate from the resident
engineer. The resident engineer will obtain an approved rate from the
Division of Construction’s rental rate engineer.
• Equipment for which a contract 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 24–33 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 & 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, don’t 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 contract 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 contract change order.
5-103E (1e) Signature of Prime Contractor’s Representative
For all force account payments, the contractor or contractor’s authorized
representative must sign the extra work 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 extra work
bill and approves it for entry into CAS. When reviewing the submitted extra work
bill, the resident engineer must be guided by the policy contained in Section 3-9,
“Measurement and Payment,” of this manual. The following explains how the system
will process Form CEM-4902:
• You must request CAS to print a copy of the extra work 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, contract 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 extra work 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 extra work 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 contract 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 extra work 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 Extra Work Bills
You can make corrections to the extra work bill after it has been entered into the
system, but there is a limit of four corrections per extra work bill. See 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, CAS 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 Pay-Estimate 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-6001, “Project Record-Estimate Request,” and
verifying the estimate. Transmit these to the district office.
• Computer processing your estimate and printing 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-6001, “Project Record-Estimate Request”
To request an estimate, prepare Form CEM-6001, “Project Record-Estimate
Request.” 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’s ending date in the estimate for the form’s “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
engineer’s 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, approved time extension days
(contract change order), and approved time extension days (other) in
the four matching fields of the form. 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 system’s
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 system’s 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-6001. 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 form’s 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.
• 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-6001, 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-6001 and transferred them to the
computer, the system edits the estimates and then produces reports showing the
results of the system’s processing.
5-103F (2a) Estimate Edits
Once Form CEM-6001 has been entered into CAS, CAS will do the following:
• Edit Form CEM-6001 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 contract 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 contractor’s progress is
satisfactory.
• Edit any deduction submitted for processing on Form CEM-6001. Special
attention is given to three of the deductions as follows:
1. If the resident engineer has submitted an EEO deduction, CAS 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 for 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 formula’s value unless it is exactly
reversed by a positive deduction entry on Form CEM-6001.
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 contract’s 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.
• Makes calculations for the progress payment voucher, including retentions
and payments to escrow accounts.
• Determining the success of the estimate’s processing.
• If processing is successful, CAS 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,
CAS 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, CAS 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 your
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. You must 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.
• Contract change order processing: This lists any balancing of contract
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 contract
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 system’s standards.

Processing the estimate is done by a series of computer programs that perform the
following functions:
• Input edit of the CEM-6001, “Project-Record Estimate Request.”
• Select from the computer file the extra work 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 contract change orders.
• Process contract items.
• Process deductions.
• Conduct miscellaneous computations.
• Generate reports.
5-103G Approval of Estimates
The authority to approve 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 approve it before the
process of payment is continued. To expedite payment, the resident engineer can
approve 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 and approved.
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 district’s flagging.
5-103H Reports Available Through CAS
CAS provides many 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.
A sample of Form CEM-6002 is included in the appendix.
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 approved
• Resident engineer’s 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 computer’s
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
• Contractor’s name and county-route-kilopost
• 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, see 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 estimate’s 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, “Progress Status Sheets.”
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 approved quantity differs from
the bid quantity, the project record item sheets describe, under the item number, any
changes due to contract change orders.

When applicable, take particular care to flag an item “COMPLETE” (using the item
final balance transaction on Form CEM-6001) 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

The 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 contract 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.
Do not retain previous issues of this report in the project’s files. However, one issue,
usually the one requested immediately after all final quantities have been paid, must
be retained in the project’s files.
5-103H (8) Status of Contract Change Orders

The report must be filed in Category 60, “Progress Status Sheets.”
This report is similar to the status of contract items, which allows the engineer to
review each contract change order.
Use the report to determine when supplemental contract change orders will be
necessary to complete the work. The report also facilitates a review of those contract
change orders where a credit is due Caltrans.
When applicable, flag contract change orders “COMPLETE” (using the contract
change order final balance transaction) so that an accurate project status can be
produced. Similar to flagging a contract item, flagging a contract change order
“COMPLETE” means only that you have commanded the system to keep the
contract change order in balance at all times.
5-103H (9) CCO Master Listing

The report must be filed in Category 60.
This report summarizes all contract change orders stored in the computer file. It also
contains the contract change order time extension and contract change order category
code. The report lists each individual supplement with all the information the system
contains. Do not retain previous issues in the project’s files. However, one issue,
usually the one requested immediately after final payment has been made on all
contract change orders, must be retained in the project’s 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
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 extra work bills that are in the holding file for all contracts in the
district. If there are reports in the holding file, process supplemental contract 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 “Extra Work 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, CAS provides reports for the Office of
Structure Construction. For details, see Volume I, Section 6, of the Bridge Construction
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 report’s recommendations. If the district’s 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, the district construction office, or the Division of 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. For information about this history
project file, see Chapter 7, “Uniform File System,” of the Project Development
Procedures Manual.

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 public’s 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, see Section 7-1.01A(3), “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 meet Caltrans record keeping policy 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 three years after submission of the final voucher.
2. For projects that do not involve federal participation, retain the records for a
minimum of three 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 three 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 engineer’s office are sent to the district construction
office, eliminate duplicate records.
Copies of Form CEM-6301, “Contract Acceptance,” and the final Form CEM-2701,
“Weekly Statement of Working Days,” are sent to the progress pay coordinator in
the Division of Construction.
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 Division of Construction also retains project records to ensure that adequate
records are available to defend Caltrans in civil suits, especially those related to
contractor’s claims. After projects have been completed, the Division of Construction
transfers files listed in the current “records retention schedule” for the Division of
Construction to the State Records Center.
The Bridge Construction Records and Procedures Manual should be referenced for
bridge and structure’s 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:
• Contract change order number.
• Revisions in alignment and right of way.
• Grade revisions in excess of 30 mm.

• 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, see 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, see 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
5-204 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)
Example 5-2.1 Request for Additional Funds

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 General
time, 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 adopted resolutions G-11 and G-12 in
1978 to allocate funds for emergency contracts and to delegate authority for Caltrans
to adjust project allocations and modify project descriptions. Those resolutions have
been amended and superseded over the years. The processes are still referred to as
G-11 and G-12.
5-202 Managing Funds 5-202

The resident engineer is responsible for managing the project construction costs Managing Funds
within the current allotment, which includes item payments, state-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 these early discussions the district maintenance major damage coordinator
or the district maintenance engineer respectively, and the funding program adviser.

Funds 5-2.1
The construction engineer must then write the 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, state-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 Division of Construction contract reviewer and the appropriate funding
program adviser. For an example of the memorandum, “Request for Additional
Funds,” see Example 5-2.1 at the end of this section.
The project manager must manage the project G-12 funding capacity. The project
manager prepares a 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.
The request for additional funds must have signatures from the district construction
deputy director, the project manager, and the district program/project management
deputy director recommending approval. The Division of Budgets processes the
request.
If the California Transportation Commission must provide a supplemental vote, the
construction field coordinator, and the Division of Construction chief will also review
the request for additional funds before it is forwarded in the approval process.
5-204 5-204 Segregation of Quantities for Fund Apportionment

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, “Local Assistance Projects and Projects
Funded by Others,” and Section 5-309, “Fund Segregation Determination,” in the
Construction projects may be funded from many different fund sources. These include
the following state administered sources:
• The Interregional Transportation Improvement Program (ITIP)
• The Regional Transportation Improvement Program (RTIP)

5-2.2 Funds
• 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 project’s 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

Here 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”), maintenance
work, and work financed by others. See Section 5-3, “Contract 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 contract 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 contract change orders or other items that altered
the work.

Funds 5-2.3
Example 5-2.1 Request for Additional Funds
State of California Business, Transportation and Housing Agency

Memorandum
To : ____________________ Date:
Project Manager
(Dist – Co – Rte – PM/KP) File:
(Dist – EA)
(Project Description)
(Prog Code / Elem / Proj Type)
From : DEPARTMENT OF TRANSPORTATION

District/Region - Division of Construction
Subject: Request for Additional Funds
Supplemental funds in the amount of $•••••••••• are requested for the above-
referenced project. As previously discussed, following are the details supporting this
request:
Financial Status of Contract
Present
Contract Estimated Probable
Allotments Final Expenditures
Contract Items $ 00 $ 00
Supplemental Work . 00 . 00
Contingency Fund . 00 . 00
State-Furnished Materials & Expense 00 . 00
Previously Approved G-12 Funds 00 00
Totals $ 00 $ 00
Estimated Deficit 00
Call (G-12 Funds Request) $ . 00
Justification for Request
⇑ Why:
⇑ What:
⇑ Alternatives:
If you need additional information, please contact me at______________.

5-2.4 Funds
Original Signed By
______________________
Construction Engineer
cc: Division of Construction Chief (e-mail, only for

California Transportation Commission Vote)
Contract Specialist (Scope of Work) (e-mail)
Construction Field Coordinator (e-mail)
Contract Reviewer (e-mail)
Program Adviser (e-mail)
District Construction Deputy Director
Construction Manager (if applicable)
Resident Engineer
Project Engineer

Funds 5-2.5
Section 3 Contract Change Orders
5-301 General
5-302 Contract Change Order Policy
5-303 Purpose of Contract Change Orders
5-304 Initiation of Contract Change Orders
5-305 Preliminary Considerations
5-306 Contract Change Order Content

5-306A Specifications
5-306B Description of Work
5-306C Methods of Payment
5-306C (1) Increases and Decreases in Contract Items at Contract Prices
5-306C (2) Extra Work
5-306C (2a) Extra work at agreed prices
5-306C (2b) Extra work at force account
5-306C (3) Adjustment in Compensation
5-306C (3a) Adjustments for increased or decreased quantities
5-306C (3b) Adjustment calculations involving asphalt concrete dikes and
miscellaneous areas
5-306C (3c) Deferred contract item adjustments
5-305C (3d) Exemption from adjustment
5-305C (3e) Adjustments for changes in character of work
5-306D Adjustments to Time of Completion
5-306E Contract Change Order Standard Clauses
5-306F Work Designated as Extra Work in the Specifications
5-306G Contract Change Order Format

Contract Change Orders 5-3.i
5-307 Contract Change Order Memorandum
5-307A Contents of the Memorandum
5-307B Contract Change Order Category Codes
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
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 Contract Change Order Requirements

5-308A Full Oversight Projects
5-308A (1) Federal Highway Administration Approval Requirements - Major Contract
Change Orders
5-308A (2) Federal Highway Administration Approval Requirements - Minor Contract
Change Orders
5-308B State-Authorized Projects
5-308B (1) Federal Highway Administration Involvement Requirements- Major Contract
Change Orders
5-308C All Federally Funded Projects
5-309 Fund Segregation Determination
5-310 Locally Funded State Highway Projects
5-311 Contract Change Order Approval

5-311A Division of Construction Approval
5-311B District Approval
5-311C Division of Construction Prior Authorization
5-311D District Prior Authorization
5-312 Copy Distribution
5-313 Cost Reduction Proposals
5-314 Examples of Contract Change Orders

5-3.ii Contract Change Orders
Section 3
Section 3 Contract Change Orders Contract Change
Orders
5-301 General 5-301
A contract change order is a legally binding document used to make changes to the General
contract. Form CEM-4900, “Contract Change Order,” is used for contract change
orders. Form CEM-4903, “Contract Change Order Memorandum,” must be prepared
for each contract change order. This section describes the use of forms CEM-4900
and CEM-4903, describes Caltrans policies for contract change orders, and provides
guidelines for writing contract change orders and memorandums.
5-302 Contract Change Order Policy 5-302

For Caltrans policy limiting the scope of changes to the contract, refer to Section 3- Contract Change
403, “Changes” of the Construction Manual (manual). To add work that is outside Order Policy
the intent of the original contract, the district director must request approval from
the Division of Construction chief. The Division of Construction chief will determine
if the change is in the best interests of Caltrans.
The following are examples of changes that are not required to complete the work as
it was contemplated when the plans and specifications were approved:
• Directing acceleration of the work
• Adding a sound wall on a landscape project
• Adding a portion of a future project to the current project
When writing a contract change order, the resident engineer often can choose the
payment method for added or changed work. However, Caltrans has a policy of
preference for the payment method. Always attempt to use the most preferred method.
The following lists, in order of preference, the payment methods:
• Contract items at contract unit prices
• Contract items at contract prices with an adjustment in compensation
• Extra work at agreed unit price or lump sum
• Extra work at force account
When a contract item is changed in character, the resident engineer may delete the
entire contract item, or the portion of it affected by the change, and pay for the entire
work as extra work. A much better choice, though, is to determine a correct and
equitable adjustment in compensation to the contract item unit price. An adjustment
in compensation providing for increased or decreased costs due to the change in
character allows the contract price to remain unchanged. Before resorting to force
account payment, resident engineers must make every effort to make adjustments in
compensation or negotiate agreed prices.

Contract Change Orders 5-3.1
See Section 3-902, “Payment Methods,” of this manual for methods of payment.
Section 3-904, “Payment for Extra Work,” describes how the various methods of
payment are used in contract change orders.
Section 3-4, “Scope of work,” of this manual contains guidelines for applying the
provisions in Section 4-1.03, “Changes,” of the Standard Specifications. Included
in Section 3-4 are descriptions and guidelines for increased or decreased quantities,
eliminated items, changes in character of work, and extra work.
5-303 5-303 Purpose of Contract Change Orders

Purpose of Contract Use contract change orders to change any part of the original contract. In addition,
Change Orders contract change orders are used for administrative and other purposes. The following
are some of the reasons for writing contract 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 adjustments in compensation.
• To implement a cost reduction proposal or a construction evaluated research
proposal. See Section 3-5, “Control of Work,” of this manual for a discussion of
cost reduction proposals and Section 3-4, “Scope of Work,” of this manual for a
discussion of construction evaluated research.
• To clarify terms of the contract.
• To resolve disputes, potential claims, exceptions during the contract, after the
proposed final estimate, and to pay for contract claim determinations. For the
use of contract change orders in the dispute resolution process, see Section 5-4,
“Disputes,” of this manual.
5-304 5-304 Initiation of Contract Change Orders

Initiation of The resident engineer usually determines the need for and initiates a contract change
Contract Change order. However, the contractor, other Caltrans units, or outside agencies or individuals
Orders may request changes. Other Caltrans units requesting a contract change order must
clearly document the need for the change. They must 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, “Contract Change Order.”
5-305 5-305 Preliminary Considerations

Preliminary When preparing to write a contract change order, consider the following:
Considerations • Is the proposed contract 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? See Section 5-2,
“Funds,” of this manual for the procedure for obtaining additional funds.

5-3.2 Contract Change Orders
• Will the contract time be affected?
• What are the impacts of extending 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 are more apt to extend the time of completion than changes made earlier.
Late changes may adversely affect the contractor’s 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 contract change order affect or change the contractor’s planned
method of performing the work?
• Is the proposed work already covered in the contract?
• Will the ordered change cause a change in character of the work?
• If an adjustment in compensation resulting from a change in character of the
work 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 the extra
work at the agreed price and cost information for adjustments in compensation?
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 effect on
time. Failure to identify elements requiring consideration may lead to protest.
5-306 Contract Change Order Content 5-306

The contract change order must be clear, concise, and explicit. When appropriate, it Contract Change
must include the following: Order Content
• What is to be done
• Location and limits of proposed work
• Any applicable specification changes and references to specifications
• The proposed contract change order’s effect on time of completion
• Method and amount of compensation
5-306A Specifications
The specifications for contract item work already included in the contract will apply
to added contract item work. You do not need to repeat or reference specifications
for added work that is clearly shown to be contract item work.

In the contract 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 contract change order.
Included in the contract will be some work specifically designated as extra work.
For an example of this situation, see Section 12-2.01, “Flaggers,” and Section 12-
2.02, “Flagging Costs,” of the Standard Specifications.
The contractor normally chooses the method of performing extra work, subject to
the resident engineer’s 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 contract change order.
5-306B Description of Work
The contract 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 if a written statement clearly defines the
proposed change or if plans or drawings need to be included.
On plans attached to a contract 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 of Plans and Other Documents,” of the Business and
Professions Code, requires that a registered civil engineer signs and stamps or seals
all civil engineering plans and specifications. Plans or specifications attached to a
proposed contract change order must meet this requirement. A registered 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 registered engineer.
Show the Caltrans contract number, sheet number, and contract change order number
on plans or other documents made a part of a contract change order. Include all
attachments to each distributed copy of a contract change order.
5-306C Methods of Payment
This section provides guidelines for using the various methods of payment in contract
change orders.
5-306C (1) Increases and Decreases in Contract Items at Contract Prices
Changes in planned work or adding or decreasing work will often result in increases
or decreases in contract item quantities. Except for contract items designated in the
engineer’s estimate as final pay quantities, show changes in contract item quantities
as estimates on a contract change order. Calculate the estimated increases or decreases
that will result from the work as changed by the contract change order. The actual
quantity paid for each contract item will be determined by the method specified for
measuring each contract item quantity. For guidelines on measuring contract item
quantities, see Section 3-9, “Measurement and Payment” of this manual.

Show changes in the quantity of contract items that are designated as final pay
quantities as fixed amounts added to the quantity shown in the engineer’s estimate.
Calculate the increase or decrease in the final pay quantity by the method specified
in Section 9-1.015, “Final Pay Items,” of the Standard Specifications. For a standard
clause for revised final pay quantities, see “Contract Change Order Standard Clauses”
later in this section.
For the method of indicating changes in contract item quantities, refer to “Contract
Change Order Format” later in this section and see the example contract change
orders, Example 5-3.7, Example 5-3.9, and Example 5-3.10, at the end of this section.
5-306C (2) Extra Work
For the definition of extra work and guidelines for using extra work in contract
change orders, see Section 2-04, “Scope of Work,” of this manual. Before designating
additional work as extra work, ensure that it cannot be paid for as a contract item, a
combination of contract items, or a contract item with an adjustment in compensation.
5-306C (2a) Extra work at agreed prices
For guidelines for determining and paying for extra work at agreed price, see Section
3-9, “Measurement and 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 can include a statement that such calculations are on file in
the project records.
When a subcontractor is to perform extra work paid for by agreed price, include the
subcontractor markup in the agreed price calculations. For subcontractor markup
guidelines, see Section 3-9, “Measurement and 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 contract 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 contractor’s 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 an
agreement, process the contract 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 contract change order. Although the unit price remains fixed, the number
of units paid for 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 “specialty work,” and the contractor may obtain three bids
for the extra work. Determine the agreed price by taking the lowest bid
and adding the markup, as described in Section 9-1.03B, “Work
Performed by Special Forces or Other Special Services,“ 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 contract 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 contractor’s or
subcontractor’s bid will be acceptable only if the analysis can justify it.
For examples of contract change orders with extra work at agreed price, see
Example 5-3.2 and Example 5-3.10 at the end of this section.
5-306C (2b) 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.
For guidelines for paying for extra work at force account, see Section 3-9,
“Measurement and Payment,” of this manual. For examples of contract change
orders with extra work paid for on a force account basis, see Example 5-3.1 and
Example 5-3.7 at the end of this section.
5-306C (3) Adjustment in Compensation
For definitions of adjustments in compensation, see Section 3-9 of this manual.
Section 3-4, “Scope of Work,” of this manual discusses adjustments in compensation
for increased or decreased quantities and for changes in character of work.
Adjustments in compensation 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 contractor’s 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 9-1.03B, “Work Performed by Special Forces or Other Special
Services,” of the Standard Specifications, you may calculate the adjustment on this
basis. Ensure the specialist rate or billing is in line with the firm’s usual charges.
For contract item overrun and underrun adjustments, when the contractor does not
furnish sufficient and timely cost information, issue a unilaterally approved contract
change order adjusting the item. Base the adjustment on your cost determination.
This approved contract change order establishes the time allowed for protest and
helps avoid problems and delays after contract completion.
Even though the contractor may have agreed to pay a fixed price to others for an
element 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 element of work was performed by special forces, as defined
in Section 9-1.03B, “Work Performed by Special Forces or Other Special Services,”
For large and complex adjustments, request auditing assistance from the Division of
Accounting Services through the Division of Construction.

5-306C (3a)Adjustments for increased or decreased quantities
As soon as it is known that a contract item quantity will vary from the engineer’s
estimate 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 adjustments in compensation for increased or
decreased quantities as soon as the contractor completes work on a contract
item.
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 contractor’s records by comparing them with Caltrans records.
Where more extensive auditing is required, request the assistance of the Division
of Accounting Services. When examining the contractor’s 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 contractor’s records, eliminate supervision and
overhead costs and any items of costs properly chargeable to other work.
When making adjustments, use Caltrans records to determine the amounts of
labor, equipment, and materials. The verified contractor’s records may
supplement the Caltrans records, or in some instances, you may need to use
only the verified contractor’s records. The resident engineer must use good
judgement when reconciling differences between the contractor’s and the
engineer’s records to arrive at a reasonable and equitable adjustment.
An item that has been adjusted under the provisions of Section 4-1.03C, “Changes
in Character of Work,” of the Standard Specifications, may later become eligible
for further adjustment under Section 4-1.03B, “Increased or Decreased
Quantities,” of the Standard Specifications.” In making the quantity adjustment,
deduct or add payments made in making the change in character adjustment to
determine the contractor’s total cost of the work.
5-306C (3b) Adjustment calculations involving asphalt concrete dikes and
miscellaneous areas
The contract item “asphalt concrete dike” is paid for by the tonne of asphalt concrete
and by the meter for asphalt concrete dike. The contract item “asphalt concrete
(miscellaneous areas)” is paid for by the tonne of asphalt concrete and by the square
meter for asphalt concrete (miscellaneous areas). The specifications do not exactly
separate the work covered under each contract item. This lack of separation causes a
problem when it is necessary to adjust either the asphalt concrete dike contract item
or the asphalt concrete (miscellaneous areas) contract item.
Although a change in character is not actually involved, the procedure is considered
the most equitable to compute the adjustment somewhat in conformance with change
in character methods.
The following is the recommended procedure to determine the proper costs for
computing adjustments of asphalt concrete dike and asphalt concrete
(miscellaneous areas):
• Subtract the estimated normal haul and laydown unit cost for asphalt concrete
used in paving from the contract unit price to determine the cost of producing
asphalt concrete. For commercial plants, you may use published price lists
to determine the cost of producing asphalt concrete.

• To obtain the total cost of producing asphalt concrete used in dikes or
miscellaneous areas, multiply the actual mass of asphalt concrete used for
dikes or miscellaneous areas by the unit cost of asphalt concrete as determined
above.
• To obtain the total force account cost of dikes or miscellaneous areas, add
to the total cost of producing asphalt concrete the total force account haul
and placing costs for asphalt concrete used in dikes or miscellaneous areas.
• Calculate the force account unit cost of the dike or miscellaneous area item
and proceed as with any contract item increase or decrease adjustment.
To some extent, this procedure constitutes an adjustment in the asphalt concrete
item as well as in the placing item. However, this statement is true only for the
asphalt concrete used on that portion of the dike or miscellaneous areas in excess
of 125 percent of the engineer’s estimate. Also, an overrun or underrun in asphalt
concrete dike or asphalt concrete (miscellaneous areas) will usually have little
effect on the overall quantity of asphalt concrete.
5-306C (3c) Deferred contract item adjustments:
If adjustment was deferred on the original contract change order, you may write
a supplemental contract change order to resolve the adjustment.
To simply indicate an item adjustment will not be made, you do not need to
write a supplemental contract change order. In this case, a letter from the
contractor is sufficient. File a copy of the contractor’s letter with the original
contract change order that deferred the adjustment.
Upon completion of the changed work, promptly resolve all deferred item
adjustments.
5-306C (3d) Exemption from adjustment:
Unless requested in writing by the contractor, do not adjust a contract item when
the total pay quantity is less than 75 percent of the engineer’s estimate. 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 an amount shown in Section 4-1.03B(1), “Increases of More Than 25
percent,” of the Standard Specifications. As soon as a final contract item quantity
is known, decide whether to make the adjustment. Unless an obvious imbalance
exists between the contract unit price and actual cost, do not make the adjustment.
Inform the contractor in writing whether or not Caltrans will adjust the contract item
price.
5-306C (3e) Adjustments for changes in character of work:
Section 3-403, “Changes in Character of Work,” of this manual defines changes in
character of work.
Adjustments in compensation for changes in character may be unit or lump sum
adjustments. A lump sum adjustment is normally only applied to a lump sum
contract item.
A change in character adjustment may require 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 the changed portion of the work can be separated from the unchanged
portion, only a force account determination of the cost of the changed portion is
necessary. You can make payment at the contract price plus a separate payment
for the added work or credit for any deleted work. When added work is clearly

separable from the planned item work, pay for it as a lump sum or unit adjustment
in compensation. You may also pay clearly separable added work as extra work
at agreed price or force account. For work deleted from the original item work,
make an adjustment in compensation (credit) for the deleted portion.
Do not eliminate a contract 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.
If at all possible, never change a contract bid price. Instead, make an adjustment
to the contract bid price.
Changes in character always result from an approved contract change order. At
times, it will not be possible to come to an immediate agreement with the
contractor regarding adjustment of compensation. You may need to complete
the entire item before costs can be determined. In such cases, provide for payment
at contract prices, and defer adjustment in the initial contract change order.
Include an appropriate deferment clause.
5-306D Adjustments to Time of Completion
For a discussion of time of completion and extensions of contract time, see Section
3-805, “Time of Completion,” of this manual.
A contract change order may specify a positive, negative, or zero adjustment to
time of completion.
Whenever you can estimate an adjustment in contract time with reasonable accuracy,
try to reach agreement with the contractor. Enter the amount of the adjustment on
the change order (including zero adjustments). Regardless of the amount of time
actually required, the agreed adjustment becomes binding on both parties. File with
the contract records the calculations and other data used to determine adjustments of
contract time.
If you cannot determine or agree on an adjustment of contract time in the initial
contract 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
As soon as the contract change order work is completed, determine the appropriate
contract time adjustment. If you cannot reach agreement with the contractor, issue a
unilaterally approved supplemental contract change order adjusting contract time.
On contracts with internal time limits or multiple time limits, ensure any contract
change order that includes a time extension contains a statement that identifies the
time limit(s) to which the extension applies. If an internal milestone date will change,
but total contract time remains unaffected, specify the new date in the contract change
order and indicate a zero time adjustment.
Periodically during the progress of the contract change order work, resolve extensive
deferred time extensions. Do so by issuing a supplemental contract change order
covering time allowable to a given date, with the deferment continued for subsequent
work. Your objective is to resolve deferred time extensions as soon possible. By
doing so, the contractor can better schedule remaining work so as to complete the
project within the contract time limits.
The resident engineer may not unilaterally decrease contract time unless this is
permitted by the contract specifications. Otherwise, the contractor must agree to
changes that reduce contract time. Without this agreement, you can do one of two
things:
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
contract change order with no adjustment in contract time.
5-306E Contract Change Order Standard Clauses
The following are examples of standard clauses for specific situations found in various
types of contract 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 contract change order.
Situation 1: Adjustment Deferred for Increase in Quantities in Excess of 125 Percent
of the engineer’s estimate
Standard Clause for Situation 1:

Any adjustment due in accordance with Section 4-1.03B(1), “Increases of
More Than 25 Percent”, of the Standard Specifications for contract item(s)
No. _______ is deferred.
Situation 2: Adjustment for Increase in Quantities in Excess of 125 Percent of the

Engineer’s Estimate

Adjustment in compensation in accordance with Section 4-1.03B(1),
“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 engineer’s estimate:
[List the contract item(s), unit adjustments, quantities, and total item
adjustment(s).]
Or [for a single contract item]:
In accordance with Section 4-1.03B(1), “Increases of More Than 25 Percent,”
of the Standard Specifications, the adjustment of the contract unit price for
the quantity in excess of 125 percent of the engineer’s estimate for contract
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.]
Situation 3: Adjustment Deferred for Decrease of More Than 25 Percent
Standard Clause Situation 3:

Any adjustment due in accordance with Section 4-1.03B(2), “Decreases of
More Than 25 Percent,” of the Standard Specifications for contract item(s)
No. ____, [item title] is deferred.

Situation 4: Adjustment for Decrease of More Than 25 Percent

Adjustment in accordance with Section 4-1.03B(2), “Decreases of More Than
25 Percent,” of the Standard Specifications:
The following adjustments will be made for contract items that underran the
engineer’s estimate by more than 25 percent:
Or [for a single contract item]
In accordance with Section 4-1.03B(2), “Decreases of More Than 25 percent,”
of the Standard Specifications, the adjustment of the contract unit price for
contract 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 convenient to show the
adjustment as a lump sum amount because of the specified limit of 75 percent
of the engineer’s estimate for total compensation.]
Situation 5: No Adjustment due to Increases or Decreases of More Than 25 Percent

of the engineer’s estimate
Standard Clause Situation 5:

No adjustment(s) to the contract unit price of item(s), No.____ [item title],
will be made in accordance with Section 4-1.03B(1), “Increases of More
Than 25 Percent,” of the Standard Specifications. [Or for decreases, use
Section 4-1.03B(2), “Decrease 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 4-1.03B, “Increased or Decreased Quantities,” of
the Standard Specifications by reason of this contract change order.
[The contractor must be in agreement and execute the contract change order
before adjustment in compensation for increased or decreased quantities is
waived.]
Situation 6: Adjustment Deferred Due to Possible Change in Character

Any adjustment due in the contract unit price(s) of item(s) No. ___, [item
title] in accordance with the provisions in Section 4-1.03C, “Change in
Character of Work,” of the Standard Specifications, is deferred.

Situation 7a: Eliminated Item, Adjustment Deferred
Standard Clause for Situation 7a:

Any adjustment due in accordance with Section 4-1.03B(3), “Eliminated
Items,” of the Standard Specifications of contract item No.____ will be
deferred until the cost of work performed on that item before the date of
notification can be determined.
Situation 7b: Eliminated Item, Adjustment Determined
Standard Clause for Situation 7a:

In accordance with Section 4-1.03B(3), “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 herein for item No. ____, [item title] when
combined with the quantity shown in the engineer’s estimate, 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 Adjustment in Compensation 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 Adjustment in Compensation 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, including 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 contract change order. A determination of a time
extension will be made in accordance with Section 8-1.07, “Liquidated
Damages,” of the Standard Specifications.
Or
A determination of the delay in completion of the contract due to the work
specified by contract change order No. ____ has been made in accordance
with the provisions of Section 8-1.07, “Liquidated Damages,” of the Standard
Specifications. [Add either of the following sentences to this clause]
Contract change order No. _____ was the controlling item of work for the
following dates: [list dates—mm/dd/yy].
The contractor shall be granted [number] working days for the following
dates: [list dates—mm/dd/yy].
Or
A determination of the delay in completion of the contract due to work
specified by contract change order No. ___ for work performed from [mm/
dd/yy] to [mm/dd/yy] [or on mm/dd/yy] has been made. Consideration of
time extension for the remaining work continues to be deferred.
Situation 12: Deferred Adjustment for Right-of-Way Delay

Any adjustment in compensation 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 8-1.09, “Right of Way Delays,” of
Situation 13: Adjustment in Compensation for Overhead Costs

In accordance with Section 9-1.08, “Adjustment of Overhead Costs,” of the
Standard Specifications, compensate the contractor the total sum of $ ___ to
cover overhead costs.

Situation 14: Claim Settlement

Payment indicated in this contract change order provides for full settlement
of all claims on this contract [or the contractor’s 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 contract 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 in the
contract change order. Also, describe the exact work to be performed.
Traditionally, Contract Change Order No. 1 provides for extra work specified for
public traffic and public convenience. This contract 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 contract change order, Example 5-3.1, at the end of this section.
This contract change order indicates the method for incorporating specified extra work
into a contract change order. Note that the example contract 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 the example contract change order, Example 5-3.2, which provides for
payment for flaggers at an agreed unit price. Payment for flaggers at an agreed price may
be written as a separate contract change order or combined with the other traffic related
work paid for as extra work at force account.
5-306G Contract Change Order Format
The example contract change orders at the end of this section follow the generally
accepted format for writing contract change orders. The following describes the
format:
• Describe the work or the change that will cause increases and decreases to contract
item quantities. Refer to any attached drawings or documents (sheets __ and
_____ of ______). If the contract 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 contract change order. The
intent is that the contract change order clearly specifies the work paid for by
each payment method.
• Show the increases and decreases in contract item quantities. Include the percent
of the engineer’s estimate represented by this change. Also show the accumulated
change to date from the original quantity in the engineer’s estimate.
• Write clauses for situations resulting from increases or decreases in contract
item quantities (deferred adjustments or actual adjustments in compensation for
overruns or underruns).
• Write clauses for adjustments or deferred adjustments in compensation due to
any cause. Describe the work or change causing the adjustment or deferred
adjustment. Show the amounts of adjustments.
• Describe work to be paid for as extra work at agreed price. Show the price
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 extension clauses.
5-307 5-307 Contract Change Order Memorandum

Contract Change Include with all contract change orders sufficient documentation to explain what the
Order change does and why it is needed. For this purpose, use Form CEM-4903, “Contract
Memorandum 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 contract change order and determine the
justification for the work, the reasonableness of the compensation, and the time
extension provisions.
5-307A Contents of the Memorandum
Include the following in the memorandum:
• State what the contract change order provides. Supplemental contract change
orders should also include a description of the original contract change order.
• Explain why the change is needed. 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 why 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 why the ordered change causes any change in the character of the work.
To substantiate why any additional compensation is 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 specifically what was said and why it
should or should not influence a decision for approval. See Section 5-307C,
“Coordination and Concurrence by Others” in this section.

• 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 contract change
order. The resident engineer must ensure the available funds are not exceeded.
For obtaining additional funds, see Section 5-2, “Funds,” of this manual.
• Show the total authorized funds to date, as well as the dollar amount of a
supplemental contract change order.
• Indicate when funds for supplemental work shown in the detailed estimate of
job cost are used in the contract change order.
• For major changes on federal “oversight” projects, indicate the name and date
of discussion and concurrence, if any, by the Federal Highway Administration
(FHWA) transportation engineer. For details relating to federal funding to be
shown on the contract change order memorandum, see “Federal Requirements,”
“Federal Funding,” and “Determining Federal Participation” in this section.
• For change orders involving participation by local agencies, identify the portion
of the work that is applicable to the contributing agency.
• For a contract change order that is to be unilaterally approved, explain why the
contractor will not sign it or why the contractor’s signature is not required. Attach
a copy of any correspondence from the contractor regarding the contract change
order.
• Include justification for a contract time adjustment. Describe the method used
to determine time extensions. State what operation controlled time during the
delay period. Whenever possible, and when resolving a previously deferred time
adjustment with a time extension, indicate the specific calendar or working days
represented by the time extension. By indicating the specific days, you ensure
that other time extensions do not cover the same time period.
5-307B Contract Change Order Category Codes
Apply a category code designation to all contract change orders. Obtain a list of the
codes from the district or the Division of Construction contract reviewer. Enter the
category code on the contract change order memorandum and on Form CEM-4901,
“Contract Change Order Input.” The three-character alphanumeric code identifies the
type and possible cause of the contract change order.
The first numeric character in the category code identifies the “group.” The second alpha
character identifies the “type” of change within that group. The last character identifies
the “originator” or source of the contract change order. On Form CEM-4901, a field is
provided for a fourth character for possible future use. Left-justify all category codes
within the data field provided.
Contract change orders that code the resident engineer as the “originator” include the
following:
• Contract change orders that authorize work designated as extra work in the
specifications.
• Contract change orders providing for disposal of buried man-made objects or
resulting from differing site conditions.
• Administrative contract change orders such as those establishing a dispute review
board or providing for partnering.
• Contract change orders providing for paying interest on late payments.
Show the responsible district unit as the originator in the case of the following:
• Design errors or omissions.
• Conflicts with field conditions that existed at the time of design.
• Right-of-way obligations not completed.
• Unresolved utility conflicts.
• Lack of coordination with regulatory or other agencies.
• Ambiguities in the contract documents.
Show any other district unit requesting a change as the originator. The contractor is
the originator on a contractor requested contract change order, including a cost
reduction incentive contract change order.
In a supplemental contract change order, use the same code used in the original.
Should questions arise as to which particular code best represents the proposed
contract change order, contact the Division of Construction contract reviewer.
5-307C Coordination and Concurrence by Others
Secure recommendation or concurrence from affected functional units and other
agencies. Concurrence is evidence of agreement with a change in the contract and
does not constitute approval of a contract change order. Process all contract change
orders for approval as described in Section 5-311, “Contract Change Order Approval.”
Use procedures established in the district for circulating contract change orders for
concurrence. If contacted parties are unresponsive, in the contract change order
memorandum, state the facts and what was done instead to ensure the proposed
change is appropriate. Obtaining concurrence is not intended to 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 contract change orders,
including plan or specification changes and cost reduction 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 contract
change orders, a continuous “constructability review” process develops. Cooperation
between design and construction personnel will result in better plans and
specifications and fewer contract change orders. Cooperation will also reduce
potential for construction delays, limit negative effects on the contractor, and lessen
the potential for contract claims.

5-307C (2) Project Management
For contract 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 manager’s duties relating to contract change orders include the following:
• Monitoring project costs.
• Expediting decisions by functional units as needed, so as not to delay or otherwise
adversely affect the contractor’s operations.
5-307C (3) Structures
Where changes are to be made that involve structures, the Office of 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 for approval of the contract
change order. The structure construction engineer and personnel in Engineering
Services may need to concur. For procedures for obtaining concurrence for structure
contract change orders, see Section 7-00, “Contract Change Orders,” of the Bridge
5-307C (4) Materials
The district materials engineer, as well as the project engineer, must concur with all
contract 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 contract
change orders affecting traffic management plans, hours of work, detours, signing,
highway lighting, traffic signals, illuminated signs, guardrail, barriers, delineation,
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
operations. Concurrence from the appropriate maintenance manager or engineer is
required for all contract 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, 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,
see Section 3-809, “Utility and Non-Highway Facilities,” of this manual.
5-307C (8) Environmental
For environmental concerns and requirements, see Chapter 7, “Environmental,” 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
• 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
• Disposal sites
• Revision to allowable work windows
5-307C (9) Locally Funded Projects
For guidelines for processing contract change orders on locally funded projects, see Section
5-310, “Locally Funded State Highway Projects, “ later in this section.
5-308 5-308 Federal Highway Administration Contract Change Order Requirements

Federal Highway 5-308A Full Oversight Projects
Administration Projects with a suffix of “N” are subject to full FHWA oversight requirements.
Contract Change Early and frequent communication with the FHWA engineer is essential to ensure
full compliance with all federal requirements.
Order Requirements

5-308A(1) Federal Highway Administration Approval Requirements– Major
Contract Change Orders
Major contract 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
engineer with the information they request. Following the verbal approval, the FHWA
engineer sends the written approval electronically (e-mail, fax, or both). The district
sends a copy of the contract change order and contract change order memorandum
to the FHWA engineer upon approval of the contract change order.
Written and signed FHWA approval is required for any of the following major contract
change orders:
• Contract change order that would increase the cost greater than $200,000.
• Contract change order that would increase the cost of anticipated supplemental
work item listed in the detail estimate greater than $200,000.
• Supplemental contract change orders above the $200,000 threshold.
• Changes in specifications (with the exception of lane requirements and hours of
work charts).
• Changes in method of payment.
• Changes in material processing.
• Changes in type or quantity of materials furnished (with the exception of minor
building materials).
Example:
The contract change order changes the individual aggregate base to an asphalt
concrete material.
• Changes in proprietary or sole source materials for which specific or blanket
approval has not been previously given.
• Waivers to the Buy America requirements, above the minimal amount that is
allowed in Section 3-605, “Certificates of Compliance,” of the Construction
Manual and the project special provisions.
• Cost Reduction Proposal.
• Experimental Work Plan.

• Changes to federal environmental requirements such as:
1. Environmental mitigation. See 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 National Register of Historic
Places
• Introduction of new social, environmental, or economic issues that need to be
addressed under applicable federal laws
• Changes 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 contract change order) to a contractor resulting
from a claim, board of review, exception to proposed final estimate, district
director determination or arbitration.
• Supplemental contract change orders to all of the above.
• Change resulting in a contract time extension of 20 or more working days.
Additionally, if time is extended by more than 20 percent of the original
contract working days, then that change and each subsequent contract change
order to extend time.
5-308A(2) Federal Highway Administration Approval Requirements– Minor
Contract Change Orders
Contract change orders other than those listed above are considered minor. Although
approval may be granted retroactively, minor contract 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.
5-308B State-Authorized Projects
Projects with a suffix of “E” are state-authorized, so resident engineers are not
formally required to communicate with the FHWA engineer except for a few
instances. Informal discussions for technical guidance are encouraged.
5-308B(1) Federal Highway Administration Involvement Requirements–
Major Contract Change Orders
There are several events that may make FHWA involvement necessary. The FHWA
engineer is contacted sufficiently in advance of the project event deemed necessary
to allow their participation. In all other cases, contact the FHWA engineer as soon as
practical to ensure federal concurrence and participation.
FHWA involvement is required for any of the following major contract change orders:
• Changes to federal environmental requirements:
1. Environmental Mitigation. See 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 sites – Public Interest Finding and
NEPA clearance may be needed.
• Waivers to the Buy America requirements, above the minimal amount that is
allowed in Section 3-605, “Certificates of Compliance,” of the Construction
Manual and the project special provisions.
• Project limits expanding 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), the resident engineer
contacts the Federal Highway Administration engineer and provides documents as
necessary. In addition to the major and minor contract change orders listed above
for “N” and “E” projects, there are several other issues or events that may invoke
the involvement of the FHWA. See Section 5-007 “Federal Highway Administration
Involvement in Contract Administration.”
5-309 Fund Segregation Determination

Funds for a project may come from more than one source, such as from state highway 5-309
funds, local funds, and federal funds. For a contract change order, the resident engineer
Fund Segregation
must segregate funds between the different fund sources. For more information on
project funding, see Section 5-2, “Funds,” of this manual. Show the proper distribution Determination
of contract change order funding on Form CEM-4903, “Contract Change Order
Memorandum.”
Each contract change order may have an effect upon each source of funds provided
for a particular project. Segregation of these funds is only necessary if the funds
differ from the pro-rata share as indicated in the federal detail estimate. If the contract
change order funding is the same as that indicated in the detail estimate, simply
mark the appropriate box on Form CEM-4903.
A contract 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.
For example, a contract 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 contract 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 percent of
participation by each funding source.
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 eligibility. If not, contact the project manager. In some cases the FHWA
transportation engineer has a color-coded plan title sheet for more complex multiple-
funded projects.

5-310 5-310 Locally Funded State Highway Projects
Locally Funded Generally, participation will be based on Caltrans’ original agreement with the
State Highway contributing agency.
Projects Before making changes that affect work for contributing agencies, ensure that such
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 district copies of contract change orders
covering the work, obtain the signature of an authorized representative of the affected
agency.
Include in the contract change order memorandum sufficient information to identify
the portion of the work that is applicable to the contributing agency. As soon as the
contract change order and memorandum is approved, send the Division of Accounting
Services, Accounts Receivable and Program Accounting section a copy.
5-311 5-311 Contract Change Order Approval

Contract Change Caltrans must approve a contract change order, and whenever possible, the contractor
Order Approval should sign it. When the contractor signs a contract change order, it is referred to as
“executed.” If the contractor refuses to sign the contract change order, then Caltrans
may approve it “unilaterally.”
So that the contractor will execute the contract 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 contract change order for unilateral
approval. Receipt by the contractor of an approved contract change order establishes
a time for protest. If the contract change order is not protested within the specified
time, it is considered an executed contract change order. Refer to Section 4-1.03A,
“Procedure and Protest,” of the Standard Specifications and Section 3-403, “Changes,”
in this manual.
You may routinely submit for approval without the contractor’s signature any
supplemental contract change orders written solely to increase force account funds.
However, should the extent or type of work covered in the supplemental contract
change order differ from that included in the original, submit the supplemental
contract change order to the contractor for acceptance.
On sensitive or complex contract change orders, districts are encouraged to submit
draft contract change orders to the Division of Construction for review and
recommendation before preparing the final contract change order. In following this
practice, however, discuss the work with the contractor in the usual manner.
5-311A Division of Construction Approval
The Division of Construction must approve the following types of contract change
orders.
1. Any contract change order that does not provide for anticipated supplemental
work that would increase the cost of the contract by more than $200,000.
2. Any contract change order that increases the cost of anticipated supplemental
work listed in the detailed estimate by more than $200,000.
3. Once the $200,000 threshold is reached, each supplemental contract change
order.
4. Any change in the following:

• Specifications (with the exception of “Lane Requirements and Hours
of Work” charts)
• Method of payment
• Method of materials processing
• Type or quality of materials to be furnished (with the exception of
minor building materials)
• Proprietary material for which specific or blanket approval has not
been previously received.
5. Any change that results in a contract time extension of 20 or more
working days. Additionally, if time is extended by more than 20 percent
of the original contract working days, then that change and each
subsequent contract change order to extend time.
Projects with a suffix of “N” are subject to full FHWA oversight requirements.
Major contract change orders require FHWA approval before commencing the
work authorized by the contract change order. Refer to Section 5-308A(1)
“Federal Highway Administration Approval Requirements – Major Contract
Change Orders,” in this manual. FHWA approval is required before requesting
Division of Construction approval.
For a contract change order requiring Division of Construction approval, the
Division of Construction will authorize the district to issue and approve the
contract change order. Copies of contract change orders transmitted to
headquarters for district authority to issue and approve must bear the resident
engineer’s signature, and the properly authorized person in the district must
sign the “approval recommended” line. Follow the procedures described below
under “Division of Construction Prior Authorization” and “District Prior
Authorization” for prior approval of contract change orders.
5-311B District Approval
The district director may approve or delegate authority to approve contract change
orders that do not fall under the requirements for Division of Construction approval.
District approval of contract change orders may not be delegated below the level of
a construction engineer or senior-level resident engineer. Within this delegation,
senior-level resident engineers or construction engineers may be given authority to
approve contract change orders that increase the contract cost or approved
supplemental work by up to $50,000.
Only the Division of Construction or district construction deputy director may approve
contract change orders for cost reduction incentive proposals.
5-311C Division of Construction Prior Authorization
For those changes that require Division of Construction approval, request prior
authorization from the Division of Construction. To send the information necessary
to evaluate the change, use the procedure established between the district and the
Division of Construction contract reviewer.

If sufficient information is included in the request for prior authorization, the
Division of Construction will authorize the district to issue and approve the
contract change order. Authority to issue and approve a contract change order
allows the district to authorize the resident engineer to order the contractor to
proceed with the work. The contract change order may then be approved in the
district.
If the proposal appears to be satisfactory but more information is needed, the
Division of Construction may authorize the district to proceed with the work.
This allows the resident engineer to order the contractor to proceed with the
work. However, follow district procedures to ensure that construction engineers
are aware of and concur with the change. When the necessary information is
received, the Division of Construction will authorize the district to issue and
approve the contract change order.
If the proposed work seems inappropriate, or the submittal lacks sufficient
justification to support the proposed change, the Division of Construction will
request additional information or will not authorize the change.
5-311D District Prior Authorization
Districts must establish procedures for issuing prior authorization of contract change
orders. After receiving prior authorization, the resident engineer may order the
contractor to proceed with the work. This order, as well as the prior authorization,
must be dated and in writing. In the case of a contract change order requested by the
contractor, the district must have written assurance before allowing work to proceed
that the contractor will execute the contract change order.
Actively pursue preparation and final approval of contract change orders for work
covered under a prior authorization. Prior authorization does not include the authority
to make payments for the work.
5-312 5-312 Copy Distribution

Copy Distribution For full oversight federal projects, send two copies, with all attachments, of
each contract change order approved by the district to the Division of
Construction contract reviewer. For all other projects, send one copy of contract
change orders approved by the district to the Division of Construction contract
reviewer.
5-313 5-313 Cost Reduction Proposals

Cost Reduction For procedures for a cost reduction proposal, see Section 3-5, “Control of Work,” of
Proposals this manual.
Prepare all cost reduction proposal contract change orders as a complete package,
with no indeterminate or deferred time or cost considerations.
Give careful attention to the clauses in the contract change order covering payment.
Cost reduction incentive change orders may involve any combination of contract
item work, adjustments in compensation, and extra work at agreed price.
Contract item prices for the contract items possibly may 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
adjustments in compensation to reflect the actual force account cost of increases

and decreases in contract item quantities. Also, in the analysis of cost savings,
you may have to consider adjustments based on a 25 percent overrun or
underrun.
Cost reduction proposal contract change orders must include an adjustment in
compensation that returns one half 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 contract items at contract unit prices,
adjustments in compensation including change in character adjustments,
and extra work at agreed price.
• Provide for an adjustment in compensation to pay the contractor one half of
the total decrease.
5-314 Examples of Contract Change Orders 5-314

The following are examples of contract change orders and contract change order Examples of
memorandums. Use these “cookbook” examples and standard clauses cautiously. Contract Change
The examples are for guidance and general format only. For instance, the examples Orders
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 contract change orders. Do not assume that
your project uses the same specifications. Base contract change orders on
specifications included in the project for which the contract change order is written.
The following list provides brief descriptions of the example contract change orders
and method 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 Price.
Example 5-3.3 Resolution of a Notice of Potential Claim. Adjustment in
Compensation.
Example 5-3.4 Compensation for Late Payment of Extra Work Bills.
Adjustment in Compensation.
Example 5-3.5 Eliminate Portion of a Lump Sum Contract Item with a
Specified “Cost Break-Down.” Adjustment in Compensation.
Clause for NoAdjustment Due to Eliminated Work.
Example 5-3.6 Change in Specified Material. Change in Character
Example 5-3.7 Additional Work. Change Material Specifications. Increase
in Contract Items. Change in Character Adjustment. Extra
Work at Force Account.
Example 5-3.8 Compensation for Right-of-Way Delay. Adjustment in
Compensation.
Example 5-3.9 Cost Reduction Incentive. Decrease Contract Item.
Example 5-3.10 Additional Work. Increase Contract Items. Clause for Final
PayItems. Extra Work at Agreed Price.
Example 5-3.11 Adjustment for Asphalt Price Fluctuation. Adjustment in
Compensation.
Example 5-3.1 Flagging and Traffic Control (Extra Work at Force Account) (1 of 3)
STATE OF CALIFORNIA - DEPARTMENT OF TRANSPORTATION Page 1 of 1

DATE
CONTRACT CHANGE ORDER MEMORANDUM
CEM-4903 CT# 7541-3544-0
TO FILE
E. A.
FROM CO-RTE-PM
Resident Engineer FED NO.
CCO NO. SUPPLEMENT NO. CATEGORY CODE CONTINGENCY BALANCE (including this change):
1 $ 230,000.00
HEADQUARTERS APPROVAL REQUIRED? YES NO

$ 20,000 INCR DECR
SUPPLEMENTAL FUNDS PROVIDED IS THIS REQUEST IN ACCORDANCE WITH
ENVIRONMENTAL DOCUMENTS? YES NO
$ 20,000 for flagging and traffic control
This change order provides for
Flagging and traffic control work specified in the Standard Specifications.
The Standard Specifications and Special Provisions specify certain work to be performed to expedite
the safe and convenient passage of public traffic around and through the work. Such work is specified to
be paid for as extra work. This contract change order provides for payment as extra work at force account
of all such traffic-related work to be performed on this project.
This contract change order will not affect contract time and, therefore, provides for no adjustment in time of
completion.
CONCURRED BY: ESTIMATE OF COST

CONSTRUCTION ENGINEER/BRIDGE ENGINEER DATE THIS REQUEST TOTAL TO DATE
ITEMS $ 0.00 $ 0.00
PROJECT ENGINEER DATE FORCE ACCOUNT $ 20,000.00 $ 20,000.00
AGREED PRICE $ 0.00 $ 0.00
PROJECT MANAGER DATE ADJUSTMENT $ 0.00 $ 0.00
TOTAL $ 20,000.00 $ 20,000.00
FHWA REP. DATE FEDERAL PARTICIPATION
PARTICIPATING PARTICIPATING IN PART
NONE
ENVIRONMENTAL DATE
NONPARTICIPATING (Maintenance) NONPARTICIPATING
OTHER (SPECIFY) DATE FEDERAL SEGREGATION (If more than one funding source or P.I.P. type)
CCO FUNDED PER CONTRACT CCO FUNDED AS FOLLOWS
DATE
FEDERAL FUNDING SOURCE PERCENT
HQ OR DISTRICT PRIOR APPROVAL BY DATE

STATE OF CALIFORNIA - DEPARTMENT OF TRANSPORTATION Sheet 1 of 2

CONTRACT CHANGE ORDER
CEM-4900 CT# 7541-3501-0 Change Requested by: Engineer Contractor
CCO NUMBER SUPPL. NUMBER CONTRACT NO. ROAD FEDERAL NUMBER(S)
1
TO Contractor
You are directed to make the following changes from the plans and specifications or do the following described work not
included in the plans and specifications for this contract. NOTE: This change order is not effective until approved by the
Engineer.
Description of work to be done, estimate of quantities and prices to be paid. (Segregate between additional work at contract
price, agreed price, and force account.) Unless otherwise stated, rates for rental of equipment cover only such time as
equipment is actually used and no allowance will be made for idle time. The last percentage shown is the net accumulated
increase or decrease from the original quantity in the Engineer’s Estimate
Extra Work at Force Account:
Furnish flaggers in accordance with Section 7-1.08,”Public Convenience,” and Section 7-1.09,
“Public Safety,” of the Standard Specifications. Furnishing flaggers will be paid for as specified in
Section 12-2.02, “Flagging Costs,” of the Standard Specifications.
Repair damage to detours caused by public traffic in accordance with Section 4-1.04, “Detours,”
In accordance with Section 7-1.08, “Public Convenience” of the Standard Specifications:
Except as otherwise provided for construction area signs in Section 12, “Construction Area Traffic
Control Devices,” of the Standard Specifications, furnish, install, and remove sign covers.
Furnish a pilot car and driver for the purpose of expediting the passage of public traffic through the
work under one-way controls.
In order to expedite the passage of public traffic through or around the work and where ordered by
the engineer, furnish and install signs, lights, flares, temporary railing (Type K), barricades, and
other facilities, not to be paid for as separate contract items.
Perform work ordered by the engineer for the accommodation of public traffic after the roadbed
has been brought to a smooth and even condition and prior to commencing subgrade operations.
Shape shoulders and reshape subgrade as necessary for the passage of public traffic thereon
during subgrade preparation on paving operations.
Apply water for the purpose of controlling dust caused by public traffic only in accordance with
Section 10-1.04, “Payment,” of the Standard Specifications.
In accordance with Section 12-4.01, “Measurement and Payment,” of the Standard Specifications,
do the following:
After initial placement of barricades, and if ordered by the engineer, move barricades from
location to location.
Move temporary railing (Type K) laterally when ordered by the engineer and when such
repositioning is not shown on the plans.
Furnish, erect, maintain, move, and remove additional construction area signs when ordered by
the engineer.
In accordance with Section 10-1.xx, “Temporary Crash Cushion Module,” of the Special
Provisions


1
Repair crash cushion modules damaged by public traffic.
When ordered by the engineer, reposition crash cushion modules when such repositioning is
not shown on the plans.
In accordance with Section 10-1.xx, “Traffic Plastic Drums,” of the Special Provisions, after
initial placement move plastic traffic drums from location to location when ordered by the
engineer.
Estimate of extra work = $20,000.00
Estimated Cost: : Decrease Increase $ 20,000.00

By reason of this order, the time of completion will be adjusted as follows: No Adjustment
SUBMITTED BY
SIGNATURE (PRINT NAME & TITLE) DATE
APPROVAL RECOMMENDED BY
ENGINEER APPROVAL BY
We, the undersigned contractor, have given careful consideration to the change proposed and agree, if this proposal is
approved, that we will provide all equipment, furnish the materials, except as may otherwise be noted above, and perform all
services necessary for the work above specified, and will accept as full payment, therefore, the prices shown above. NOTE: If
you, the contractor, do not sign acceptance of this order, your attention is directed to the requirements of the specification
as to proceeding with the ordered work and filing a written protest within the time therein specified.
CONTRACTOR ACCEPTANCE BY

Example 5-3.2 Flagging Only (Extra Work at Agreed Unit Price) (1 of 3)

DATE
CEM-4903 (OLD HC-39 REV. 6/93) CT# 7541-3544-0
TO FILE
E. A.
FROM CO-RTE-PM
2 $ 230,000.00

$ 48,302.80 INCR DECR
$ 60,000 for flagging and traffic control
Flagging in accordance with Section 12-2.02, “Flagging Costs,” of the Standard Specifications.
Payment for flaggers and furnishing flaggers as extra work under this contract change order will be
made at agreed unit (hourly) prices. Hourly costs, based on prevailing wage rates with force account
markups applied have been determined for laborers and for the contractor’s foremen.
The straight time and overtime rates for foremen include the cost of a pickup truck at the specified
equipment rental rate.
The Standard Specifications provide that an additional 5 percent markup is added to the cost of extra
work at force account performed by a subcontractor. The hourly rates shown in the contract change
order for the subcontractor’s employees include the additional 5 percent markup.
In case there is a change in prevailing wages or labor surcharge rates affecting the cost of flaggers
and furnishing flaggers, a supplemental contract change order will be written to revise the hourly
agreed prices.
Calculations used to determine the agreed prices are on file with the project records.
This contract change order will not affect contract time and no adjustment in contract time is provided
for.

ITEMS
PROJECT ENGINEER DATE FORCE ACCOUNT
AGREED PRICE $48,302.80 $48,302.80
PROJECT MANAGER DATE ADJUSTMENT
$48,302.80 $48,302.80
TOTAL
NONE
ENVIRONMENTAL DATE
DATE


2
TO Contractor
ncluded in the plans and specifications for this contract. NOTE: This change order is not effective until approved by the
Engineer.
Description of work to be done, estimate of quantities, and prices to be paid. (Segregate between additional work at contract
ncrease or decrease from the original quantity in the Engineer’s Estimate
Extra Work at Agreed Unit Price:
Furnish flaggers in accordance with Section 7-1.08, ”Public Convenience,” and Section, 7-1.09,
“Public Safety,” of the Standard Specifications. Furnishing flaggers will be paid for as specified in
Section 12-2.02, “Flagging Costs,” of the Standard Specifications and as follows:
The following agreed hourly prices are determined in conformance with the provisions in Section 9-
1.03, “Force Account Payment,” of the Standard Specifications and represent the state’s 50 percent
share of flagging costs. The contractor must maintain a daily log of flagging labor by individual. The
copy of the log and a signed extra work bill must be submitted to the resident engineer before the
15th day of each month for payment. These agreed prices are subject to revision due to any changes
in prevailing wage rates or labor surcharge rates.


2
Flaggers (contractor’s employees) 1000 hours straight time @ $21.41/hr = $ 21,410.00

Flaggers (contractor’s employees) 200 hours overtime @ $28.71/hr = $ 5,742.00
Foreman and pickup truck (contractor’s employee)
20 hours straight time @ $41.90/hr = $ 838.00
Foreman and pickup truck (contractor’s employee)
20 hours overtime @ $52.75/hr = $ 1055.00
Flaggers (subcontractor’s employees) 500 hours straight time @ $22.48/hr = $11,240.00
Flaggers (subcontractor’s employees) 200 hours overtime @ $30.15/hr = $ 6,030.00
Foreman and pickup truck (subcontractor’s employee)
20 hours straight time @ $44.00/hr = $ 880.00
Foreman and pickup truck (subcontractor’s employee)
20 hours overtime @ $55.39/hr = $ 1,107.80
Estimate of extra work = $ 48,302.80
Estimated Cost: : Decrease Increase $ 48,302.80.00

SUBMITTED BY

Example 5-3.3 Resolution of a Notice of Potential Claim (Adjustment in Compensation) (1 of 2)
DATE
CEM-4903 CT# 7541-3544-0
TO FILE
E. A.
FROM CO-RTE-KP
3 $ 127,127.12

$ 23,000.00 INCR DECR
$

Settlement of Notice of Potential Claim No. 2 dated June 1, 2000.
This contract change order compensates the contractor for additional costs incurred in the construction
of retaining wall No. 3. The contract plans showed an existing 36-inch drainage culvert to be 6 meters in
back of the top of the retaining wall. It was found to be much closer. The contractor was required to install
special shoring to protect the culvert and submitted Notice of Potential Claim No. 2 for reimbursement of
the protective work. Records of the protective work were kept during construction of the retaining wall.
The resident engineer determined that, due to the plan error, the contractor is entitled to be reimbursed
for the cost of protecting the culvert.
The adjustment in compensation at agreed lump sum, provided for in the contract change order, is
based on the force account cost of protecting the culvert. Records and calculations used to determine
the adjustment in compensation are on file in the project records.
This change was discussed with the construction engineer and she agrees that the contractor should
receive additional compensation for protecting the culvert.
There will be no time adjustment by reason of this contract change order since the work involved did not
affect the controlling operation.
ITEMS $ 0.00 $ 0.00
PROJECT ENGINEER DATE FORCE ACCOUNT $ 0.00 $ 0.00
PROJECT MANAGER DATE ADJUSTMENT $ 23,000.00 $ 23,000.00
TOTAL $ 23,000.00 $ 23,000.00

NONE
ENVIRONMENTAL DATE
NON-PARTICIPATING (Maintenance) NON-PARTICIPATING
DATE

Example 5-3.3 Resolution of a Notice of Potential Claim (Adjustment in Compensation) (2 of 2)
TO Contractor
Engineer.
increase or decrease from the original quantity in the Engineer's Estimate
Adjustment in Compensation at Agreed Lump Sum:
Compensate the contractor for additional costs incurred in the construction of Retaining Wall 3.
The contractor will receive and agrees to accept the lump sum of $23,000.00 for this change.
This contract change order resolves Notice of Potential Claim No. 2, dated June 1, 2000.
Adjustment in compensation = $23,000.00

SUBMITTED BY

Example 5-3.4 Compensation for Late Payment of Extra Work Bills (Adjustment in Compensation)

DATE
CEM-4903 CT# 7541-3544-0
TO FILE
E. A.
FROM CO-RTE-KP
4 $ 127,127.12

$ 843.84 INCR DECR
$
Payment of interest for late payment of undisputed extra work bills.
The contractor submitted acceptable extra work bills in the amount of $40,000 on September 8, 2000, for
work performed on Contract Change Order 2 and Contract Change Order 3. However, because of filing
errors in the resident engineer’s office, these bills were not paid within the time limits specified in Section
5-xx , “Interest on Payments,” of the Special Provisions. The bills were paid on the estimate for the period
ending December 20, 2000, and the check including payment for these bills was issued January 6, 2001.
The interest paid by this contract change order is calculated for the 77-day period beginning October 20,
2000, and ending January 5, 2001.

ITEMS $ 0.00 $ 0.00
TOTAL $ 843.84 $ 843.84
NONE
ENVIRONMENTAL DATE
DATE

Example 5-3.4 Compensation for Late Payment of Extra Work Bills (Adjustment in Compensation) cont.)
4
TO Contractor
Engineer.
increase or decrease from the original quantity in the Engineer's Estimate.
In accordance with Section 5.xx , “Interest on Payments,” of the Special Provisions, provide
payment of interest for the following extra work bills:
CCO No. 2, Daily Extra Work Reports 28, 29, 30, and 32.
CCO No. 3, Daily Extra Work Report 1, 2, 5, 7, and 8.
Interest = $40,000 X (0.10/365) X 77 days = $843.84.
Total adjustment = $843.84.
Estimated Cost: : Decrease Increase $ 843.84

SUBMITTED BY

Example 5-3.5 Eliminate Portion of a Lump Sum Contract Item with a Specified “Cost Break-Down.”
(Adjustment in Compensation. Clause for No Adjustment Due to Eliminated Work)

DATE
CEM-4903 CT# 7541-3544-0
TO FILE
E. A.
FROM CO-RTE-KP
5 $ 127,127.12

$ 3,600.00 INCR DECR
$
This contract change order provides for
Eliminating the foliage protectors shown on the plant list, in the remarks column (Sheet HP-1).
The district landscape architect has determined that foliage protectors are not needed on this project.
Attached is a letter from the district landscape architect requesting this change.
As required in Section 10-2.01A, Cost Breakdown,” of the Special Provisions, the contractor submitted
a cost breakdown for highway planting. The price for foliage protectors included in the cost breakdown
submittal is $1.50 each. The contract change order provides for an adjustment in compensation, based
on the submitted price and the special provision.
The deleted portion of the lump sum contract item, highway planting, is subject to Section 4-1.03B(3),
“Eliminated Items,” of the Standard Specifications. The contractor purchased no material and did no
work on foliage protectors. Therefore, the contract change order provides that no adjustment in
compensation is made in accordance with Section 4-1.03B(3).

ITEMS $ 0.00
$ 0.00
PROJECT MANAGER DATE ADJUSTMENT ($ 3,600.00) ($ 3,600.00)
TOTAL ($ 3,600.00) ($ 3,600.00)

NONE
ENVIRONMENTAL DATE
DATE

Example 5-3.5 Eliminate Portion of a Lump Sum Contract Item with a Specified “Cost Break-Down.”
(Adjustment in Compensation. Clause for No Adjustment Due to Eliminated Work) cont.
5
TO
Contractor
engineer.
Delete foliage protectors shown under remarks on the plant list of Contract Plan Sheet HP-1 and
shown on the highway planting cost breakdown submitted by the contractor in accordance with
Section 10-2.01A, “Cost Breakdown,” of the Special Provisions.
Adjustment in Compensation at Agreed Unit Price:
In accordance with Section 10-2.01A, “Cost Break-Down,” of the Special Provisions, an

adjustment in compensation (decrease) will be made to Contract Item 36 (Lump Sum), Highway
Planting.
Item 36 – Highway Planting (Foliage Protector Unit)

Decrease 2400 EA Foliage Protectors (-100 %) @ $1.50 Ea……………$3,600 (-6 %)
In accordance with Section 4-1.03B(3), “Eliminated Items,” of the Standard Specifications and
Section 10-2.01A, “Cost Break-down,” of the Special Provisions, the adjustment due to
eliminating foliage protectors is zero.

SUBMITTED BY

Example 5-3.6 Change in Specified Material. Change in Character (Adjustment in Compensation)

DATE
CEM-4903) CT# 7541-3544-0
TO FILE
E. A.
FROM CO-RTE-KP
6 $ 127,127.12

$ 922.32 INCR DECR
$
Furnishing 3.51 mm thick pipe in lieu of 2.77 mm thick pipe for the 1800 mm diameter corrugated metal
pipe at station “N” 375+00.
The district materials engineer requested this change because of new information obtained regarding
the abrasiveness of the streambed load at this location. The letter requesting the change is attached.
This change constitutes a change in character for the contract item for 1800 mm diameter corrugated
metal pipe. A unit price adjustment of $25.62 per meter will be paid for the increased pipe thickness.
The adjustment is based on price quotes for the two pipe sizes from the supplier. A 15 percent material
markup was added to the difference in the two quotes to arrive at the unit adjustment. Records
supporting this adjustment are on file in the project records.
No adjustment in contract time is warranted. This change does not affect contract time.

ITEMS
$ 0.00 $ 0.00
TOTAL $ 922.32 $ 922.32

NONE
ENVIRONMENTAL DATE
MATERIALS ENGINEER DATE

Example 5-3.6 Change in Specified Material. Change in Character (Adjustment in Compensation) cont.

6
TO
Contractor
Engineer.
Adjustment in Compensation at Agreed Unit Price:
Furnish 3.51 mm thick pipe in lieu of the specified 2.77 mm thick pipe for the 1800 mm diameter
corrugated metal pipe culvert at station “N” 375+00.
In accordance with Section 4-1.03C, “Changes in Character of Work,” of the Standard

Specifications, a unit price adjustment of $25.62 per meter of 1800 mm diameter corrugated
metal pipe will be paid for furnishing 3.51 mm thick pipe in lieu of 2.77 mm thick pipe. This
adjustment constitutes full compensation, including all markups, for this change.
Estimated cost: 36 m @ $25.62 / m = $922.32
Estimated Cost: : Decrease Increase $ 922.32

SUBMITTED BY

Example 5-3.7 Additional Work. Change Material Specifications. Increase in Contract Items. Change in
Character Adjustment (Extra Work at Force Account) (1 of 4)
DATE
CEM-4903 CT# 7541-3544-0
TO FILE
E. A.
FROM CO-RTE-KP
7 $ 260,000.00
$ 404,210.00
INCR DECR
$
1. Adding an additional area of permeable blanket and underdrain system.

2. Furnishing Class 1 permeable material in lieu of the specified Class 3 permeable material.
3. Removing and replacing permeable material already placed.
The Class 3 permeable material specified in the Special Provisions did not function properly. The
district materials engineer recommended that Class 1 permeable material be used instead for
permeable blankets. Unanticipated ground water was encountered throughout the entire cut between
Stations “A” 725 + 00 and “A” 737 + 00. The district materials engineer recommended that the planned
permeable blanket and underdrain system between Stations “A” 722 + 50 and “A” 725 + 00 be
extended to Station “A” 737 + 00. The district materials engineer’s letter, recommending these changes,
is attached.
This contract change order increases quantities of Contract Item 6, “Roadway Excavation,” and Contract
Item 48, “Permeable Material (Blanket).”
We have provided a change in character adjustment in compensation for the permeable material
contract item. The adjustment, based on the contractor’s force account analysis and verified by the
engineer, represents the increased cost in processing the permeable material. Calculations supporting
the adjustment are on file with the project records.
Adjustment in compensation due to the overrun in Contract Item 48, “Permeable Material (Blanket),” is
deferred until the completion of the item.
Removing and disposing of the Class 3 permeable material previously placed will be paid for as extra
work at force account. There is no contract item that would be applicable to this work.

DATE
CEM-4903 CT# 7541-3544-0
The contractor requested an adjustment in contract time of an additional eight working days. Placing the
additional permeable material will delay structural section work (the controlling item), and time will be
required to begin producing the Class 1 permeable material. The engineer’s analysis, on file with the
contract records, verifies that an eight-day extension of contract time is reasonable.

ITEMS
$ 268,810.00 $ 268,810.00
PROJECT ENGINEER DATE FORCE ACCOUNT $ 17,000.00 $ 17,000.00
$ 404,210.00 $ 404,210.00
TOTAL
NONE
ENVIRONMENTAL DATE
DATE

7
TO Contractor
Engineer.
increase or decrease from the original quantity in the Engineer’s Estimate.
As shown on sheets 3 and 4 of this contract change order, place a permeable blanket and
underdrain system between stations “A” 725 + 00 and “A” 737 + 00. Place permeable material
(blanket) between station “A” 722 + 50 and “A” 725 + 00.
Estimate of Increases in Contract Items at Contract Unit Prices:
Item 6 roadway excavation 5,000 m3 (1 %) @ $1.25/ m3 = $ 6,250.00 (+ 8 %)

Item 48 permeable material (blanket) 17,760 tonnes (27 %) @ $6.00 $ 106,560.00(+27%)
Item 46 200 mm perforated
plastic pipe underdrain 2,600 m (23 %) @ $60.00 $ 156,000.00 (+23%)
Estimated increase $ 268,810.00
Any adjustment due in accordance with Section 4-1.03B(1), “Increases of More Than 25 Percent,” of
the Standard Specifications, for Contract Item 48 is deferred.
Adjustment in Compensation at Agreed Price:
In lieu of Class 3 permeable material, as specified in the Special Provisions, use Class 1
permeable material for all permeable blankets. In accordance with Section 4-1.03C, “Changes in
Character of Work,” of the Standard Specifications, the contractor will accept and receive $1.48 per
tonne of permeable material (blanket). This sum constitutes full payment, including all markups, for
this change.
Estimated adjustment 80,000 tonnes @ $1.48 $ 118,400.00

7
Extra Work at Force Account:
Remove the Class 3 permeable material (blanket) from the roadbed between station “A” 722 + 50 and
“A” 725 + 00 and place it in the embankment at station “A” 715 + 00.
Estimate of extra work $ 17,000.00

By reason of this order, the time of completion will be adjusted as follows: 8 Working Days Extension
SUBMITTED BY

Example 5-3.8 Compensation for Right-of-Way Delay (Adjustment in Compensation) (1 of 3)

DATE
CEM-4903 CT# 7541-3544-0
TO FILE
E. A.
FROM CO-RTE-KP
8 $ 68,500.00

$
Compensating the contractor for a right-of-way delay.
A 300 mm waterline, crossing the right-of-way at station “A” 453 + 45 was lowered and placed in a steel
conduit before construction began on the project. During roadway excavation operations, a check was
made on the elevation of the waterline, and it was discovered that an error of approximately 2 meters
had been made in establishing the relocated elevation. The line was critical for water service in the area
and could be taken out of service for only short time periods. Roadway excavation had to be suspended
from September 29, 2000, through October 12, 2000, while city water crews lowered the line below
planned subgrade.
Some of the roadway excavation equipment was sent to other work, and the remainder of the equipment
that was made idle by the delay remained at the job site. The adjustment in compensation provided for
in the contract change order represents the cost of idle equipment calculated as specified in Section 8-
1.09, “Right of Way Delays,” of the Standard Specifications. Records were kept of equipment moved off
the site to other work and moved back in when roadway excavation resumed. Cost of move-out and
move-in are paid for as extra work at agreed price. The contract change order does not include
payments for the idle time of workers. A full day of work was completed on September 28,, 2000, before
the work was suspended.

DATE
CEM-4903 CT# 7541-3544-0
Records and cost calculations for the adjustment in compensation and for the extra work at agreed price
are on file with the project records.
The contract change order provides for an increase in contract time of 10 working days. Earthwork was
the controlling operation, and it was delayed for the period between September 29, 2000, and October
12, 2000, inclusive.

ITEMS
$ 0.00 $ 0.00
AGREED PRICE $ 2,350.00 $ 2,350.00
TOTAL $ 9,203.00 $ 9,203.00

NONE
ENVIRONMENTAL DATE
DATE

8
TO Contractor
Engineer.
In accordance with Section 8-1.09, “Right of Way Delay,” of the Standard Specifications, the
contractor agrees to accept the sum of $6,853.00 as full compensation for idle equipment due to
suspension of roadway excavation from September 29, 2000, through October 12, 2000.
Adjustment of compensation………… $ 6,853.00 increase
Extra Work at Agreed Price

The contractor agrees to accept and receive the sum of $2,350.00 as full compensation for the
extra cost of moving equipment made necessary by the suspension of roadway excavation from
September 29, 2000, through October 12, 2000.
Extra work…………………. $ 2,350.00 increase
A determination of the delay in completion of the contract due to the right-of-way delay caused by
the suspension of the earthwork from September 29, 2000, through October 12, 2000, has been
made in accordance with the provisions of Section 8-1.07, “Liquidated Damages,” of the Standard
Specifications.
The contractor shall be granted 10 working days for the following dates: August 29, 2000, through
September 12, 2000.
By reason of this order, the time of completion will be adjusted as follows: 10 Working Days
SUBMITTED BY

Example 5-3.9 Cost Reduction Incentive (Decrease Contract Item-Adjustment in Compensation) (1 of 3)
DATE
CEM-4903 CT# 7541-3544-0
TO FILE
E. A.
FROM CO-RTE-KP
Resident engineer FED NO.
9 $ 75,000.00

$
A cost reduction incentive to eliminate the falsework opening at the Brighton Overhead (Br. No. 24-289
R/L).
The contractor negotiated an agreement with Ms. Mary Smith, owner of the property served by the
driveway passing under the Brighton Overhead. A copy of the agreement is attached. As a result of the
agreement, the temporary falsework opening at the Brighton Overhead can be eliminated. The
contractor submitted a cost reduction incentive proposal providing for elimination of the opening. The
Division of Structure Construction has approved revised falsework plans.
The estimated net savings in construction costs resulting from this contract change order are $5,890.60.
The net decrease is based on the following:
1. A decrease in Contract Item 3, “Temporary Railing (Type K),” at the contract price of $4,312.00. A
cost analysis, on file with the project records, verifies that the contract price of this item is reasonably
close to the actual cost of the work determined by the force account method.
2. A decrease in the cost of constructing the Brighton Overhead falsework of $1578.60. This decrease
is based on the contractor’s submitted force account analysis verified by the engineer. Cost
information and analysis are on file with the project records.

DATE
CEM-4903 CT# 7541-3544-0
On half of the construction cost savings, $2,945.30 is returned to the contractor as an adjustment in
compensation in accordance with the cost reduction incentive specification.
This change had no effect on contract time, and no adjustment in contract time is made in the contract
change order.

ITEMS
($ 4,312.00) ($ 4,312.00)
TOTAL ($ 2,945.30) ($ 2,945.30)

NONE
ENVIRONMENTAL DATE
DATE

9
TO
Contractor
Engineer.
In accordance with Section 5-1.14, “Cost Reduction Incentive,” of the Standard Specifications,
eliminate the falsework opening at the Brighton Overhead (Br. No. 24-289 R/L).
Decrease Contract Item at Contract Item Price:

Item No. 3, “Temporary Railing (Type K),” 392 m (7 %) @ $11.00/m = $ 4,312.00 (-7 %)
Adjustment in Compensation:
In accordance with Section 4-1.03C, “Changes in Character of Work,” of the Standard
Specifications,” the state will receive a credit of $1,578.60 by eliminating the falsework opening at
the Brighton Overhead.
Adjustment in compensation (decrease) = $ 1,578.60
Adjustment in Compensation
In accordance with Section 5-1.14, “Cost Reduction Incentive,” of the Standard Specifications, the
contractor agrees to accept the above decrease in contract payments and a lump sum payment of
$2,945.30 as full compensation for this change.
Adjustment in compensation (increase) = $ 2,945.30
Estimated Cost: : Decrease Increase $2,945.30

SUBMITTED BY

Example 5-3.10 Additional Work- Increase Contract Items- Clause for Final Pay Items
(Extra Work at Agreed Price) (1 of 3)
DATE
CEM-4903 CT# 7541-3544-0
TO FILE
E. A.
FROM CO-RTE-KP
10 $ 269,000.00

$ $43,807.10 INCR DECR
$
This contract change order provides for

Constructing a reinforced concrete box culvert at Station 782 + 32, to serve as a cattle pass.
Before the project was advertised, the district right-of-way agents were unable to close negotiations
with the abutting property owner adjacent to Station 782 + 32. An Order of Immediate Possession was
obtained so that construction could begin. Before the start of construction, negotiations were finally
closed. The major item of agreement was the construction of a 2440 mm x 2440 mm reinforced
concrete box culvert, located at Station 782 + 32, to serve as a cattle pass from one portion of the
property to the other. There are no applicable contract items for constructing the reinforced concrete box
culvert. The contractor quoted a price of $216.00 per cubic meter of concrete, in-place, for the reinforced
concrete box culvert. The resident engineer verified this cost as reasonable by performing an
independent force account analysis. The cost submittal and independent analysis are filed in the job
records. Structure excavation and structure backfill will be measured and paid for by contract item.
The project engineer and the construction engineer agreed with this change.
Construction of the reinforced concrete box culvert will not affect contract time. No adjustment of contract
time is provided for in the contract change order.

ITEMS
$ 6,655.10 $ 6,655.10
AGREED PRICE $ 37,152.00 $ 37,152.00
TOTAL $ 43,807.10 $ 43,807.10

NONE
ENVIRONMENTAL DATE
DATE

10
TO
Contractor
Engineer.
Increases in Contract Items at Contract Prices:
Perform excavation and backfill for the reinforced concrete box culvert shown on sheet 3 of 3 of this
Item No. 43 (F) – Structure Excavation

3 3
220 m (7 %) @ $8.83/ m = $ 1,942.60 (+18 %)
Item No. 44 (F) – Structure Backfill
250 m3 (3%) @ $18.85/ m3 = ………………………. $ 4,712.50 (+11 %)
Total increase in contract items =$ 6,655.10
The quantity increase shown here for Contract Items 43 and Contract Item 44, when combined with
quantities shown in the engineer’s estimate, and as modified by any previous change orders or
revisions to dimensions made by the engineer, will be the final quantities for which payment will be
made for each contract item.

Extra Work at Agreed Unit Price:
Construct a reinforced concrete box culvert at station 782 + 32 as shown on sheet 3 of 3 of this
contract change order and Standard Plans D80, D82, and D83. Perform all work in accordance
with Section 51, “Concrete Structures,” and Section 52, “Reinforcement,” of the Standard
Specifications.
A payment of $216.00 per cubic meter of concrete, measured in accordance with the Standard
Specifications, will constitute full compensation, including all markups, for constructing the
reinforced concrete box culvert, complete in-place, including all reinforcing steel and incidentals.
Estimate of extra work = 172 M3 @ $216.00 = $37,152.00 increase

By reason of this order, the time of completion will be adjusted as follows: No adjustment
SUBMITTED BY

Example 5-3.11 Adjustment for Asphalt Price Fluctation (Adjustment in Compensation)
DATE
CEM-4903 CT# 7541-3544-0
TO FILE
E. A.
FROM CO-RTE-KP
11 $ 115,000.00

$ 120,000.00 INCR DECR
$ 120,000.00 for price index fluctuations.
Adjustments of compensation for fluctuations in the California Statewide Paving Asphalt Price Index.
This change is made in accordance with the requirements of Section 5-xx, “Compensation Adjustment
for Price Index Fluctuations,” of the Special Provisions. Contract Item 20, “Asphalt Concrete,” and
Contract Item 22, “Asphalt Concrete Base,” are subject to the adjustment. The contract change order
authorizes the maximum amount allowed by the special provision.

ITEMS
$ 0.00 $ 0.00
TOTAL $ 120,000.00 $ 120,000.00
NONE
ENVIRONMENTAL DATE
DATE

Example 5-3.11 Adjustment for Asphalt Price Fluctation (Adjustment in Compensation) cont.
CEM-4900 (OLD HC-5 REV. 9/97) CT# 7541-3501-0 Change Requested by: Engineer Contractor
11
TO
Contractor
Engineer.
Adjustment in Compensation at Unit Price:
Adjust the contract unit prices of the contract items listed below in accordance with Section 5.1xx,
“Compensation Adjustments for Price Index Fluctuations,” of the Special Provisions.
Item 20, Asphalt Concrete

Item 22, Asphalt Concrete Base
Estimated cost increase = $ 120,000.00

SUBMITTED BY

Section 4 Disputes
5-401 General
5-402 Types of Disputes

5-402A Notice
5-402B Protest
5-402C Potential Claim
5-402C (1) Initial Notice of Potential Claim
5-402C (2) Supplemental Notice of Potential Claim
5-402C (3) Full and Final Documentation of Potential Claim
5-402D Claim
5-403 Dispute Resolution Process

5-403A Response Guidelines
5-403A (1) General
5-403B (2) Potential Claim
5-403B (2a) Resident Engineer’s Response to the Initial Notice of Potential Claim
5-403B (2b) Resident Engineer’s Response to the Supplemental Notice of Potential
Claim
5-403B (2c) Resident Engineer’s Response to the Full and Final Documentation of
Potential Claim
5-403B Documentation Guidelines
5-404 Alternative Dispute Resolution Process

5-404A Partnering
5-404B Dispute Review Board
5-404B (1) Dispute Review Board - General
5-404B (2) Dispute Review Board - Establishment
5-404B (3) Dispute Review Board - Operation
5-404B (3a) Dispute Review Board Progress Meetings
5-404B (3b) Dispute Review Board Dispute Issue Meetings
5-404B (3c) Dispute Review Board Recommendations and Responses

Disputes 5-4.i
5-405 Claims Resolution Process
5-405A Issue Proposed Final Estimate - Target Day 40
5-405B Proposed Final Estimate Returned - Target Day 70
5-405C Preliminary Construction Claim Findings Completed - Target Day 110
5-405D District Construction Initial Review of Preliminary Construction Claim Findings
Completed - Target Day 130
5-405E Board of Review Meeting - Target 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 Completed - Target Day 200
5-405G Construction Claim Findings Completed - Target Day 220
5-405H District Director Determination of Claims - Target Day 230
5-406 Claim Payments

5-406A Claim Payments Based on Entitlement
5-406B Claim Payments Based on Negotiated Settlements
5-407 Overhead
5-407A Methods of Overhead Payment
5-407B Overhead Claims
5-408 Audits
5-408A Contractor Submitted Audits
5-408B Special Audits
5-409 Arbitration
5-409A Arbitration Process
5-409B Arbitration Payment Process
5-409C Arbitration Tracking, Monitoring, and Reporting
5-410 Preliminary Construction Claim Findings and Category 62 Preparation

and Guidelines

5-4.ii Disputes
5-411 Board of Review Report Preparation and Guidelines
5-411A Format
5-411A(1) Introduction
5-411A (2) Items that are common to all claims
5-411A (3) Summary of settled claims
5-411A (4) Individual Claim Information
5-411A (5) General description of the claim
5-411A (6) Contractor’s position
5-411A (7) District’s position
5-411A (8) Comments of the Board
5-411A (9) Findings of the Board
5-411A (10) Board of review member signature block
5-412 Construction Claim Findings Preparation and Guidelines

5-412A Format
5-412A(1) Title Page
5-412A (2) Table of Contents
5-412A (3) Project Chronology
5-412A (4) General Information
5-412A (5) Summary of Claims
5-412A (6) Claim Categories
5-412A (7) Claim Number, Title, and Claim Amount
5-412A (8) Description of the Claim
5-412A (9) Contractor’s Position
5-412A (10) District’s Position
5-412A (11) Findings and Recommendations
5-412A (12) Tabular reference to supporting information
5-412A (13) Summary of construction claim findings in tabular format for all claims
5-412A (14) Deputy district director of construction signature block
5-412A (15) Exhibits
5-412B Helpful Hints
5-412C Things to Avoid
5-413 District Director Determination of Claims Preparation and Guidelines
Example 5-4.1 - Sample Dispute Response Clauses
Example 5-4.2 - Sample Dispute Review Board Nomination Letter
Example 5-4.3 - Sample Review of Claims by Deputy District Director of

Construction Notification Letter

Disputes 5-4.iii
Example 5-4.4 - Sample Board of Review Notification Letter
Example 5-4.5 - Sample Final Estimate Letter - Board of Review Held, Not
Attended by Contractor
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 Summary of

Delay-Related Chronology
Example 5-4.9 - Sample Claims Checklist
Example 5-4.10 - Sample Construction Claim Findings
Example 5-4.11 - Sample District Director Determination of Claims
Table 5-4.1 - Notice of Potential Claim Process
Table 5-4.2 - Dispute Review Board Process
Table 5-4.3 - Claims Resolution Process
Table 5-4.4 - Delegation of Authority
Table 5-4.5 - Audit Process
Table 5-4.6 - Arbitration Process
Table 5-4.7 - Arbitration Payment Process

5-4.iv Disputes
Section 5-4 Disputes Section 4

Disputes
5-401 General 5-401
The objective of this section is to provide a valuable aid to the contract administrative General
team, including the resident engineer, the construction engineer, and other Caltrans
personnel to ensure that contract disputes 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 submit disputes as written notices, protests,
potential claims, or claims to the resident engineer. Begin the process of addressing
and resolving the dispute upon receiving written notice of a dispute. 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.
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.
Contractors must provide documentation to the resident engineer for full analysis of
a contract dispute. If the contractor fails to provide a clear understanding of the
disputed issue and supporting documentation, the resident engineer will find it difficult
to determine the merits of the dispute.
On some projects, formal partnering and dispute review boards are available to the
resident engineer and the contractor to assist in resolving disputes. If a dispute remains
unresolved after contract acceptance, the dispute is administered through the claims
resolution process and, potentially, arbitration.
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.
5-402 Types of Disputes 5-402

Disputes are divided into four categories: notice, protest, potential claim, and claim. Types of Disputes
The Standard Specifications and special provisions outline each category.
During the course of the project and up to receiving the proposed final estimate, the
contractor must submit a contract dispute in the form of a written notice, protest, or
a potential claim to the resident engineer. Disputes become claims when the contractor
lists them as exceptions to the proposed final estimate.
5-402A Notice
The contractor submits a written notice when unforeseen conditions are encountered
on the project that were not shown in the plans or detailed in the specifications.
Notices are required with unforeseen conditions described in Section 5-1.116,
“Differing Site Conditions,” Section 8-1.07, “Liquidated Damages,” and Section 8-
1.10, “Utility and Non-Highway Facilities,” of the Standard Specifications.

Disputes 5-4.1
5-402B Protest
The contractor submits a written protest when a dispute concerns the terms or
conditions of a contract change order or the determination of contract time. For a
protest of a contract change order, see Section 4-1.03A, “Procedure and Protest,” of
the Standard Specifications. For a protest in connection with change in character of
work, see Section 4-1.03C, “Changes in Character of Work,” of the Standard
Specifications. For a protest of contract time, see Section 8-1.06, “Time of
Completion,” of the Standard Specifications. For additional information about
protests, refer to Section 3-403A, “Procedure and Protest,” Section 3-511, “Differing
Site Conditions,” and Section 3-805, “Time of Completion,” of the Construction
Manual.
5-402C Potential Claim
The contractor submits a written potential claim when the contractor believes
additional compensation is due. In accordance with Section 9-1.04, “Notice of
Potential Claim,” of the Standard Specifications, the contractor must submit a potential
claim on the following forms:
• Form CEM-6201A, “Initial Notice of Potential Claim”
• Form CEM-6201B, “Supplemental Notice of Potential Claim”
• Form CEM-6201C, “Full and Final Documentation of Potential Claim”
The contractor, in addition to providing an identification number for each potential
claim submitted, must certify each form with reference to the False Claims Act,
Government Code Section 12650–12655. Follow the potential claim process when
notice and protest issues are not resolved.
5-402C (1) Initial Notice of Potential Claim

The initial notice of potential claim provides an early notice to Caltrans of a dispute
issue. It states the nature and circumstances of the dispute and gives the parties the
opportunity to mitigate the associated costs, allowing for an early resolution. The
initial notice of potential claim must be received within five (5) days of the event,
activity, occurrence, or other cause giving rise to the claim.
5-402C (2) Supplemental Notice of Potential Claim

The supplemental notice of potential claim provides complete justification for
additional compensation and adjustments referencing the appropriate provisions of
the contract along with the estimate of the costs. The contractor must submit the
supplemental notice of potential claim within fifteen (15) days of submitting the
initial notice of potential claim, and provide the following information:
• The complete nature and circumstances of the dispute causing the potential claim;
• The contract provisions that provide the basis of the potential claim;
• The estimated and itemized cost of the potential claim;
• A time impact analysis illustrating the effect of the potential claim on the
scheduled completion date of the contract, if requesting a contract time
adjustment.
The contractor must update the cost estimate or the effect on the scheduled date of
contract completion as soon as a change is recognized.

5-4.2 Disputes
5-402C (3) Full and Final Documentation of Potential Claim
The full and final documentation of potential claim quantifies all costs after
completion of the disputed work. The contractor must provide the full and final
documentation of the potential claim within thirty (30) days of completing the dispute-
related work. The documents must contain the following:
• A detailed factual narration describing the nature and circumstances that caused
the dispute, including, but not limited to, dates, locations, and items of work
affected by the dispute.
• A reference to the specific contract provisions supporting the potential claim,
and the reasons for entitlement of the potential claim.
• Supporting documentation in accordance with Section 9-1.03, “Force Account
Payment,” or Section 8-1.09, “Right of Way Delays,” of the Standard
Specifications when additional compensation is in dispute, and an itemized
breakdown of costs categorized as follows:
1. Labor – A listing of personnel, classifications, regular hours and overtime
hours worked, dates worked, and other pertinent information related to the
requested reimbursement of labor costs.
2. Materials – Invoices, purchase orders, location of materials either stored or
incorporated into the work, dates materials were transported to the project
or incorporated into the work, and other pertinent information related to
material costs.
3. Equipment – Dates and hours of use, equipment rental rates, and a detailed
description including make, model, and serial number. Equipment rental
rates are at the applicable state rental rates in effect when the work in dispute
was performed. The applicable state rental rates are listed in the Caltrans
publication entitled “Labor Surcharge and Equipment Rental Rates.”
4. Other categories as specified by the contractor or engineer.
• When an adjustment of contract time is requested:
1. The dates the contractor believes the work was delayed because of the
disputed issues and the reasons for entitlement for a contract time adjustment.
2. The specific contract provisions providing the basis for a contract time
adjustment.
3. A detailed time impact analysis showing the effect of changes or disruptions
on the scheduled completion date.
• Copies of documents or records, including oral communications, which support
the potential claim.
5-402D Claim
The contractor submits a written claim for an unresolved dispute by listing it as an
exception to the proposed final estimate. In addition, certain administrative and
overhead claims may occur as exceptions to the proposed final estimate as described
in Section 9-1.07B, “Final Payment and Claims,” of the Standard Specifications.

Disputes 5-4.3
5-403 5-403 Dispute Resolution Process
Dispute Dispute resolution begins by gathering facts and determining the responsibilities of
the parties involved to achieve a thorough understanding of the dispute. Contractors
Resolution must provide complete information in support of the dispute or risk losing the right
Process to pursue the dispute as a claim and in arbitration.
Analyze the dispute and provide a timely response in accordance with contract
requirements and Caltrans policy and procedure after the contractor provides the
necessary information. 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, structure construction
engineer, or both. Promptly issue and obtain approval of a contract change order if
the dispute has merit. Advise the contractor in writing, explaining in detail, the reasons
for the lack of merit if the contractor’s dispute has no merit.
5-403A Response Guidelines
When receiving a written dispute notice, protest, or potential claim from the contractor,
note the date and time of receipt and the name of the person receiving the written
notice on the written notice of dispute. Ensure that the notice of dispute is complete
and timely. If the information is incomplete, notify the contractor of the deficiencies
and request the contractor to resubmit the notice with the complete information.
Sample dispute response clauses are located in Example 5-4.1, “Sample Dispute
Response Clauses,” of the Construction Manual.
5-403 A (1) General

Dispute Background - The background must explain the circumstances that led to
the dispute. Include information such as events, dates, discussions, meetings, memos,
and letters.
Contractor’s Position - Base the contractor’s position on supplied information. Use
direct quotes from the information the contractor provided. Do not modify the
contractor’s information by attempting to interpret or clarify it.
Resident Engineer’s Position - The resident engineer’s position must clearly and
concisely state the merits of the dispute, using contract specifications to support the
findings. The response letter must also request the contractor to state if the contractor
agrees or disagrees with the resident engineer’s position on the dispute. Request the
contractor to clarify those areas where disagreement exists.
5-403A (2) Potential Claim

If a potential claim form is received without certification, notify the contractor, in
writing, that it was not submitted in accordance with Section 9-1.04, “Notice of
Potential Claim,” of the Standard Specifications and that the contractor is allowed
15 days to certify or withdraw the potential claim. If certification 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.
For an illustration of the potential claim process, see Table 5-4.1, “Notice of Potential
Claim Process,” of the Construction Manual.

5-4.4 Disputes
5-403A (2a) Resident Engineer’s Response to the Initial Notice of Potential Claim
Upon receipt of Form CEM-6201A, “Initial Notice of Potential Claim,” start a
folder in Category 62 of the project records to document the potential claim.
Additional information including related notices, protests, and correspondence
should be included in this folder. Although a response to the initial notice of
potential claim is not necessary, take appropriate action if the contractor’s
potential claim has merit.
5-403A (2b) Resident Engineer’s Response to the Supplemental Notice of Potential Claim
Upon receipt of Form CEM-6201B, “Supplemental Notice of Potential Claim,”
analyze the contractor’s potential claim. This may involve discussing the potential
claim with subject matter experts and involving the district or the Division of
Construction management. Some districts have formalized district management
reviews to assist resident engineers with responses to potential claims. Other
less formal processes, such as reviews by peers of the resident engineer or the
construction engineer, may be beneficial in developing the engineer’s response
to the supplemental notice of potential claim.
Potential claims involving differing site conditions that lack merit must also
include an internal review by a management review committee as referenced in
Section 3-511, “Differing Site Conditions,” of the Construction Manual.
Provide a detailed response letter to the contractor within twenty (20) days of
the receipt of the supplemental notice of potential claim. The response letter
must include the following sections:
• Background - Explains the circumstances that led to the dispute. Include
only information such as events, dates, discussions, meetings, memos, and
letters.
• Contractor’s Position – Base the position on the information provided in the
contractor’s supplemental notice of potential claim. Use direct quotes from
the information provided by the contractor without attempting to interpret
or clarify them.
• Resident Engineer’s Position – State 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.
In addition, include a statement requesting the contractor to provide a reply that
supports agreement or disagreement with the resident engineer’s analysis of the
claim.
When the potential claim has no merit, remind the contractor of the option to
further pursue the potential claim as specified in the contract. Advise the
contractor of the consequences of not following the specified dispute resolution
procedures.
When properly prepared as required, the response letter serves as the basis for
the preliminary construction claim findings, if the potential claim becomes a
claim.

Disputes 5-4.5
5-403A (2c) Resident Engineer’s Response to the Full and Final Documentation
of Potential Claim
Upon receipt of Form CEM-6201C, “Full and Final Documentation of Potential
Claim,” determine if the full and final documentation of the claim has the same
nature, circumstances, and basis as those specified in the initial and supplemental
notices of potential claim, and begin drafting your response. Otherwise, do not
consider the issue and notify the contractor in writing.
Provide a response to the contractor’s full and final documentation of potential
claim within thirty (30) days of its receipt. . In most cases, this response will not
vary greatly from the response provided to the supplemental notice of potential
claim with the exception that analysis of additional information provided by the
contractor may require further response. The format of the resident engineer’s
response to the full and final documentation of potential claim is outlined in
Section 5-403A (2b), “Resident Engineer’s Response to the Supplemental Notice
of Potential Claim,” of the Construction Manual.
Issue and obtain approval of a contract change order when the dispute has merit.
A response is not required when the contractor has submitted the timely full and
final documentation of potential claim after contract acceptance. In that case,
review and consider the information before processing the proposed final
estimate.
Information submitted after receipt of the full and final documentation of potential
claim will not be considered.
5-403B Documentation Guidelines
The following are guidelines for keeping records and providing information when
responding to notices, protests, and potential claims:
• 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 contractor’s 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 from your
supervisor. If the contractor verbally informs you of a dispute, advise the
contractor to comply with Section 9-1.04, “Notice of Potential Claim,” of the
Standard Specifications. Include this verbal discussion in the resident engineer’s
daily report.
• On projects with a dispute review board, the response to the contractor’s
supplemental notice of potential claim will serve as the basis for the resident
engineer’s position paper.
• Focus on costs specific to the dispute, but do not discuss any funding availability,
such as project contingency balance, with the contractor.

5-4.6 Disputes
• If a dispute arises during the work’s progress, keep accurate records of the
operations to eliminate subsequent arguments related to work costs. During the
progress of the disputed work, make regular agreements for the labor, equipment,
or material quantities involved.
• Take preconstruction and project progress photographs. Photographs and videos
establish 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 contractor’s personnel involved in any dispute.
These individuals may need to be located later. Information contained in the
certified payrolls may be useful.
• Record equipment information such as description, model number, contractor’s
equipment number, size, and capacity to help determine 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. This information provides
the basis for preparing the preliminary construction claim findings. Follow the
procedures outlined in Section 5-1, “Project Records and Reports,” of the
Construction Manual to provide a good basis for documenting claims.
• Require the contractor to promptly submit an update or revise the progress
schedule, as appropriate.
5-404 Alternative Dispute Resolution Processes 5-404

The two alternative dispute resolution processes used to resolve potential claims are Alternative
partnering and dispute review board. These processes are used based on size, duration, Dispute
and complexity of the contract. Read Section 5 of the special provisions before the
preconstruction conference to determine which alternative dispute resolution process Resolution
is included in the contract and whether or not they are optional or mandatory. Process
5-404A Partnering
Partnering allows all parties and stakeholders to establish and maintain cooperative
communication channels and mutually resolve conflicts at the lowest responsible
level. Read Section 5 of the special provisions to understand the process, allowable
costs, and the method of payment. Include a topic on partnering for the
preconstruction conference.
To establish the formation of formal partnering, the contractor must submit a request
to the resident engineer upon contract approval. If the request is not in the best
interest of Caltrans, discuss it with the construction engineer before responding to
the contractor’s request. Both parties should agree to the scheduling of a partnering
workshop, selection of a partnering facilitator, workshop site, and other administrative
details. Additional partnering workshops are subject to the agreement of both parties
and as specified in the contract.
On large contracts, the partnering provisions may also include a mandatory one-day
“training in partnering concepts” session regardless of whether the contractor requests
the formation of a partnering or not.
Consult the “Field Guide to Partnering on Caltrans Projects,” available on the Division
of Construction’s internet site for an in depth discussion of partnering concepts,
formations, and benefits.

Disputes 5-4.7
5-404B Dispute Review Board
A dispute review board (DRB) consists of three members nominated and approved
jointly by the contractor and Caltrans. A 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 valuablein trying to resolve a dispute
before it becomes a claim. These recommendations become important if the dispute
is carried over to arbitration.
5-404B (1) Dispute Review Board – General

Depending on the size and duration of the contract, either mandatory or optional
DRB contract provisions are included in the contract specifications.
Once a DRB is established, resolution of disputes through the DRB process becomes
a prerequisite for the contractor to pursue a dispute as a claim or in arbitration.
DRB specifications are found in Section 5 of the special provisions. The resident
engineer’s initial task in the administration of the DRB specifications should be to
identify whether the formation of a DRB is optional or mandatory.
Become familiar with integrating the DRB process with the potential claim process.
See Table 5-4.2, “Dispute Review Board Process,” in the Construction Manual for
illustration of this integration. Include a topic on the DRB process at the
Assist in evaluating the DRB process by completing the following forms throughout
the progress of the contract:
• Form CEM-6202, “Dispute Review Board Establishment Report;”
• Form CEM-6203, “Dispute Review Board Update Report,”
• Form CEM-6204, “Dispute Review Board Issue Report,”
• Form CEM-6205, “Dispute Review Board Completion Report”
Consult the DRB coordinator in the Division of Construction for clarification.
5-404B (2) Dispute Review Board – Establishment

Early establishment of the DRB is important for resolution of disputes as they occur.
Delayed DRB formation, on the other hand, may affect the ability of the DRB to
accurately analyze disputes without a baseline reference.
• Establishment of mandatory DRB- To ensure early establishment of the
mandatory DRB, contract specifications include a time frame for nominating
and approving the first two DRB members. The contract specifications also
include a retention clause to alert the contractor of the importance of timely
formation of the DRB. The retention clause cannot be applied when Caltrans
has not fulfilled its obligation in the formation of the DRB. Submit the name of
Caltrans’ DRB nominee to the contractor at the preconstruction conference.
Request the contractor’s approval or rejection of that nomination and submittal
of the name of the contractor’s nominee within seven days after the
preconstruction conference. See Example 5-4.2, “Sample Dispute Review Board
Nomination Letter,” in the Construction Manual.
• Establishment of optional DRB- On contracts with the optional DRB provisions,

5-4.8 Disputes
the contractor decides whether or not a DRB is established. Be proactive in the
DRB establishment. Follow the aforementioned establishment process at the
preconstruction conference, emphasizing that Caltrans supports the DRB process
and is committed to its timely establishment.
Optional DRB provisions do not include a retention clause because the contractor is
not obligated to enter into a DRB agreement. The DRB process only becomes a
prerequisite to pursue a claim and arbitration when the optional DRB has been
established in accordance with the contract provisions.
The resident engineer must select Caltrans’ DRB nominee from the prequalified list
available on the Division of Construction’s intranet site. In evaluating prospective
candidates, consider the nominee’s knowledge and experience to correspond with
the type of work specified in the contract. Pay attention to any potential conflict of
interest the nominee may have with either party. Contact the nominee and verify
that the nominee is willing and able to serve on the DRB and obtain the nominee’s
project specific disclosure statement. Provide written notification including the
disclosure statement to the contractor after the nominee is selected. This process is
repeated if the nomination is rejected by the contractor. Contact the Division of
Construction’s DRB coordinator for assistance.
The nominee’s disclosure statements must include a resume of the nominee’s
experience and a declaration statement that describes any past, present, anticipated
and planned personal or financial relationship with the parties to the contract,
including subcontractors and suppliers. Review the nominee’s resume and the
disclosure statement for proper qualifications and possible conflict of interest.
Each party may reject the other’s nominee one time without cause. Contact the
Division of Construction’s DRB coordinator before rejecting a nominee proposed
by the contractor. There is no limit to the number of rejections based on specific
breach or violation of nominee’s responsibilities or nominee’s qualifications.
After the two DRB members are approved, request that the DRB members provide
the name of the nominee for DRB chairperson and the project specific disclosure
statement to both parties for consideration. Send a copy of this information to the
DRB coordinator in the Division of Construction. The Division of Construction
field coordinator informs the DRB coordinator when Caltrans approves or rejects
the DRB chairperson nominee. Provide a copy of the approval or rejection notification
to the other two DRB members. Submit a written request to the DRB chairperson to
schedule the initial DRB meeting after both the contractor and Caltrans approve the
nominee. If the nominee is rejected, submit a written request to the two DRB members
to nominate another candidate.
The DRB agreement contained in the contract special provisions must be signed by
each DRB member, the contractor, and the resident engineer before the initial DRB
meeting. Additionally, issue and obtain approval of the required contract change
order.

Disputes 5-4.9
5-404B (3) Dispute Review Board – Operation
Establishment of the dispute review board is only the beginning of the DRB process.
In addition to the specific dispute resolution meetings, there are mandatory initial
and follow up progress meetings.
5-404B (3a) Dispute Review Board 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 accompany the DRB members on 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 presentation should include a discussion of the following:
• Status of the work in terms of expended time and dollars,
• Summary of potential claims,
• Status of contract change orders.
Prepare and circulate progress meeting minutes to the parties for revision and
approval.
5-404B (3b) Dispute Review Board Dispute Issue Meetings
When a dispute issue is referred to a DRB, prepare the position paper for submittal
to the contractor and the DRB in advance of the oral presentation at the meeting.
Present an effective position paper to the DRB since the DRB recommendations
may be introduced in arbitration proceedings.
The contractual time period for both submitting the position paper, and holding
a dispute issue meeting are located in the DRB specifications and agreements.
Follow the suggested position paper format below:
• Description of the dispute – A summary paragraph defining both the nature
of the contractor’s dispute and the basis for refusing compensation with
clear reasons when no merit exists.
• Background or chronology of the dispute – The 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.
• Contractor’s stated position – As stated in the contractor’s notice of potential
claim, other written materials, or oral communications. Quoted segments
are most effective when supplemented by exhibits. Present this section in a
non-judgmental fashion and do not elaborate on the contractor’s previously
stated position.
• Caltrans’ position– State 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.

5-4.10 Disputes
• Summary – A concluding paragraph stating why contractually and factually
there is no merit to the contractor’s dispute. The summary must be a strong
absolute statement of the Caltrans’ position requesting the DRB find in
Caltrans’ favor. Avoid subjective language such as feelings or beliefs within
this section.
• Exhibits – A number of exhibits for illustrating and clarifying the contractual
and technical requirements. Include a table of contents for easily locating
individual exhibits that are tabbed and numbered. Provide complete
information related to the dispute including those exhibits used within the
oral presentation at the DRB issue meeting when compiling the written
position paper. Failure to provide certain exhibits may result in the DRB
disallowing related items within the oral presentation. Distribute written
position papers to the contractor and DRB members one or two days in
advance of the deadlines.
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 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 issue meeting is important in
effectively presenting Caltrans’ position to the DRB. Begin preparing for your
presentation well in advance of the issue meeting. Hold a mock presentation at
least a week in advance of the issue meeting to allow incorporation of comments
from attendees. Attendees at the mock presentation should include the resident
engineer, construction engineer, structure representative, area bridge engineer,
and construction field personnel. Other attendees may include technical experts,
district construction claims engineer, construction area manager, Division of
Construction field coordinator, and others with dispute review board experience,
depending on the size and complexity of the issue under consideration.
The objectives of the meeting are to further examine the contractor’s 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 contractor’s position.
Either the resident engineer or structure representative gives the presentation to
the 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. The DRB must
agree to these requests in advance and allow the other party to provide a technical
specialist.
The DRB issue meeting is an informal meeting without testimony, cross-
examination, transcripts or “bench” decisions. The order of events is as follows:
• Party filing the dispute will begin with a presentation to be followed by the
other party’s presentation.
• Rebuttal statements will follow.
• DRB members may ask questions or make requests for additional information
or clarifications.

Disputes 5-4.11
5-404B (3c) Dispute Review Board Recommendations and Responses
Begin preparing Caltrans’ response once the DRB issues its recommendation to
the parties. A request for clarification of the DRB recommendation will only be
considered if made within 10 days of receipt of the recommendation. Any request
for clarification of a DRB recommendation needs to be discussed with the
Division of Construction field coordinator before its submittal to the DRB.
Requests for clarification are warranted when the DRB recommendation fails to
thoroughly explain the rationale for the recommendation, when the DRB has
not stated Caltrans’ position accurately, or when the contractual provisions have
been disregarded without explanation.
A request for reconsideration of an issue may be made to the DRB and will only
be considered if new evidence concerning the dispute is provided and the request
is made within 30 days of the receipt of the DRB recommendation.
Reconsideration requests must be discussed with the Division of Construction
field coordinator before submittal to the DRB.
Coordinate and complete Caltrans’ response to the DRB recommendation within
30 days of the receipt of the DRB recommendation. Failure to respond within
the 30-day period results in acceptance of the DRB recommendation by default.
Acceptance or rejection of a DRB recommendation is in accordance with the
following:
1. Acceptance of a DRB recommendation in favor of Caltrans does not require
the approval of the Division of Construction. Notify the construction manager
and the Division of Construction’s DRB coordinator of the contractor’s
acceptance or rejection of the DRB recommendation when received.
2. Acceptance of a DRB recommendation in favor of the contractor will require
the Division of Construction’s approval if the issue is precedent setting, or
if the resulting contract change order approval is not within the district’s
delegation of authority. Consult the DRB coordinator in the Division of
Construction to determine if a DRB recommendation is precedent setting.
Coordinate the response with the Federal Highway Administration (FHWA)
representative on full oversight projects to ensure their participation in any
related contract change order. The FHWA representative will also want
notification when any issue has been referred to the DRB, the date of any
DRB issue meetings, and of any DRB recommendations. Notify the
construction manager and the Division of Construction’s DRB coordinator
of the contractor’s acceptance or rejection of the DRB recommendation
regardless of whether or not the response requires Division of Construction’s
approval.
3. Rejection of any DRB recommendation requires the approval of the chief,
Division of Construction. Send a copy of the DRB recommendation to the
Division of Construction field coordinator when the resident engineer,
construction engineer, construction manager, and deputy district director of
construction believe a DRB recommendation should be rejected. The deputy
district director of construction and the Division of Construction field
coordinator will review and discuss the reasoning for the rejection, and make
a recommendation to the chief, Division of Construction. Approval to reject
a DRB recommendation will be transmitted through the Division of
Construction field coordinator to the deputy district director of construction.

5-4.12 Disputes
5-405 Claims Resolution Process 5-405
The following established claims processing milestones ensure that the claims process Claims
is completed within the statutory requirement of 240 days of contract acceptance.
The number of days referenced below refers to the number of calendar days elapsed
Resolution
after contract acceptance. For each contract accepted, the district must record actual Process
milestone dates and monitor the progress of the claims resolution process. For an
illustration of the claims resolution process, see Table 5-4.3, “Claims Resolution
Process,” of the Construction Manual.
5-405A Issue Proposed Final Estimate—Target 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. To ensure compliance with this target
date, the resident engineer’s supervisor must make a written request to the district
progress payment section that the proposed final estimate be processed for the
contract.
Issuance of the proposed final estimate should not be postponed while waiting for
additional information from the contractor because delays might later be attributed
to Caltrans. 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 since the contractor’s
receipt of the proposed final estimate must be evidenced by postal receipt.
5-405B Proposed Final Estimate Returned—Target 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 contractor’s 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
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 contractor’s
claim package to the resident engineer, construction engineer, and district construction
claims engineer.

Disputes 5-4.13
5-405C Preliminary Construction Claim Findings Completed—Target 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. See Section 5-410, “Preliminary Construction Claim Findings and
Category 62 Preparation and Guidelines,” of the Construction Manual for detailed
format, content, and suggestions in preparing this document.
Review the contractor’s 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 notice of 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
issue. 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 claims
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 potential claim 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 documentation of potential claim.
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 the identification number if the contractor
fails to correct the omission or disparity.
If the contractor’s 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:
• Quantity disputes
• Administrative deductions for missing documents
• Adjustment in compensation for overrun or underrun of items
• Interest to be paid by Caltrans on late payments made on progress payments or
properly submitted daily extra work bills
• Resolution of disputed labor, equipment, and materials
If administrative claims have merit, payment is made through item payments, contract
change orders, or by releasing withheld deductions. 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 5-406, “Claim Payments,” of the Construction Manual. 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.
5-4.14 Disputes
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. Caltrans Office of Audits and Investigations
may review the audit. For additional details, refer to Section 5-407B, “Overhead
Claims,” of the Construction Manual.
5-405D District Construction Review of Preliminary Construction Claim Findings
Completed—Target Day 130
The deputy district director of construction, or delegated authority, must complete
the review of the preliminary construction claim findings and segregate the claims
into the following three categories:
• Claims of an administrative nature requiring further review by the resident
engineer
• Claims that would not benefit from a board of review process
• Claims that may warrant further analysis by a board of review
The deputy district director of construction uses the written information previously
provided by the contractor and the resident engineer to determine if a claim would
or would not benefit from the board of review process.
By day 130, send a “Review of Claims by Deputy District Director of Construction”
notification letter to the contractor explicitly stating the claims resolved, claims of
administrative nature returned to the resident engineer for further review, claims
that will not be heard at a board of review, and claims that will be heard at a board
of review meeting. See Example 5-4.3, “Sample Review of Claims by Deputy District
Director of Construction Notification Letter,” of the Construction Manual.
The district construction claims engineer should continue refining the preliminary
construction claim findings submitted by the resident engineer towards construction
claim findings document.
5-405E Board of Review Meeting—Target Day 160
The board of review convenes when the deputy district director of construction or a
delegated authority determines 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 from 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. See example 5-4.4, “Sample Board of
Review Notification Letter” of the Construction Manual. The resident engineer,
supported by Caltrans personnel, is responsible for preparing and delivering the oral
presentation at the board of review meeting.
The board of review is an informal meeting allowing the contractor and Caltrans the
opportunity to make only oral 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 must listen to the presentations made by both the
contractor and Caltrans, and provide objective recommendations within the board
of review report. The board of review report should be issued within 200 days from
contract acceptance.

Disputes 5-4.15
If requested, 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
• 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
Exceptions to these guidelines can be made depending on the complexity of claims.
Proposed exceptions to the general guidelines must be discussed and concurred with
the chief, 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 five years experience in construction. The chairperson should
be sourced to the district where the claim originated.

5-4.16 Disputes
• The other two members of the board of review will either be a supervising
engineer level or above with a minimum of five years construction experience,
or a senior engineer level with a minimum of eight years construction experience.
The members may be sourced to the project’s 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
• After both the contractor and the district oral presentations and rebuttals, 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.

Disputes 5-4.17
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 and issuance of the board of review report by day 200.
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. See Section 5-411, “Board of Review
Report Preparation and Guidelines,” of the Construction Manual.
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 finalize the board report and
obtain the signatures of the board of review members. For complex claims or claims
with significant statewide impact, the board members must consult with the Division
of Construction before sending the report to the district construction claims engineer.
5-405E (4) Board of Review Settlements

The board of review may determine that a negotiated settlement of the claims is
appropriate. The board secretary prepares the claim settlement report. The board of
review chairperson submits negotiated settlements as a claim settlement report directly
to the Division of Construction. The board of review chairperson should submit the
claim settlement report to the district director after it has been approved by the chief,
Division of Construction. For information on preparing a claim settlement report,
see Section 5-406B, “Claim Payments Based on Negotiated Settlements,” of the
5-405F Board of Review Report Completed_—Target Day 200
After the board members have signed the board of review report, the board secretary
prepares a letter of transmittal and transmits the report and the supporting documents
to the district construction claims engineer by target day 200. The board of review
report will contain a determination of claims heard and the board’s conclusions. If
the contractor fails to attend the board of review 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. See Example
5-4.5, “Sample Final Estimate Letter – Board of Review Held, Not Attended by
Contractor,” of the Construction Manual.
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.
5-405G Construction Claim Findings Completed —Target Day 220
By day 200, the district construction claims engineer must receive all information
necessary to complete the construction claim findings. This information should
include the resolution of the administrative claims by the resident engineer, claims
that were not heard by a board of review, and claims heard by a board of review. The
construction claim findings will identify each of the contractor’s claims in summary
form, listing references to the supporting documents. For detailed information on
preparing the construction claim findings, see Section 5-412, “Construction Claim
Findings Preparation and Guidelines,” of the Construction Manual.
In addition to the preparation of the construction claim findings, the district
construction claims engineer prepares a draft district director determination of claims.

5-4.18 Disputes
For detailed information on preparing the draft district director determination of
claims, see Section 5-413, “District Director Determination of Claims Preparation
and Guidelines,” of the Construction Manual.
The construction claim findings and the draft district director determination of claims
must be sent to the deputy district director of construction by day 220 for
consideration.
Prepare and obtain approval of a contract change order compensating the contractor
for claims determined to have merit based on the construction claim findings. The
contract change order must state that the payment is for full resolution of the claim
specified.
Reflect the additional working days in the request for any semifinal payment estimate
if the contractor is granted additional working days beyond those shown on the
proposed final estimate. For information on time extensions, refer to Section 3-8,
“Prosecution and Progress,” of the Construction Manual.
5-405H District Director Determination of Claims—Target Day 230
The deputy district director of construction finalizes and approves the construction
claim findings. The deputy district director of construction forwards the approved
construction claim findings and the draft determination of claims to the district director
for consideration.
The district director determination of claims is the final determination of claims, and
completes the claims resolution process. The district director determination of claims
should be delivered to the contractor no later than 230 days after contract acceptance.
The district director finalizes and approves the determination of claims. The district
construction claims engineer sends the approved determination of claims to the
contractor by day 230. The district construction claims engineer requests that the
resident engineer prepare and obtain approval of unilateral contract change order
for the final payment in consideration of the district director determination of claims.
Submit a request for the final estimate after preparing and obtaining approval of the
contract change order. Other than forwarding the final estimate with a cover letter to
the contractor, no further contact or discussion is necessary with the contractor.
District construction issues the final estimate within 30 days of issuing the district
director determination of claims. For information on the final estimate cover letter,
see Section 3-914, “Final Estimate,” of the Construction Manual.
The district must store all project records in accordance with the procedures outlined
in Section 5-104, “Final Construction Project Records,” of the Construction Manual.
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. If 240 days has elapsed since the acceptance of the
contract, and a final determination on all claims has not been issued, the district
must consult with the Division of Construction field coordinator and the Legal
Division on how to proceed.
For more information regarding the arbitration process, refer to Section 5-409,
“Arbitration,” of the Construction Manual.

Disputes 5-4.19
5-406 5-406 Claim Payments
Claim Payments Make payments as described below and in accordance with Table 5-4.4, “Delegation
of Authority,” of the Construction Manual. For detailed information on contract
payments, refer to Section 3-9, “Measurement and Payment,” of the Construction
Manual.
5-406A Claim Payments Based on Entitlement
If all claims are resolved before a board of review meeting, issue and obtain approval
of the contract change order for the claims resolution, and request the issuance of
the final estimate.
If only some of the claims are resolved, issue and obtain approval of the contract
change order for those claims that have been resolved, and process a semifinal
estimate.
5-406B Claim Payments Based on Negotiated Settlements
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. The district or the board of review will explore the possibility of
settlement with the contractor.
Write a draft claim settlement report before presenting a negotiated settlement offer
to the contractor. The draft claim settlement report must include the following items:
• A background of the contract and claims
• The scope of the settlement, including terms and conditions
• Identification of the specific claims or potential claims to be settled
• Compromises made in the best interest of Caltrans
• Reasons for the compromises
• Consequences of not settling
• Method of payment
Table 5-4.4, “Delegation of Authority,” of the Construction Manual lists requirements
for recommendations and approvals of a claim settlement report. After approval,
present the negotiated settlement offer to the contractor. Prepare and obtain approval
of a contract change order if the contractor agrees to the negotiated settlement offer.
The contract change order memorandum must reference the corresponding claim
settlement report. Do not substitute a contract change order memorandum for a claim
settlement report. The contract change order must state that the contractor accepts
the compensation provided for in the contract change order as full resolution and
settlement of the claim. The contractor must sign the negotiated settlement contract
change order.
The claim settlement report is an internal document and must not be given to the
contractor or included in the project files. File the original claim settlement report in
Division of Construction’s confidential files. Destroy all hardcopies and electronic
drafts once the final claim settlement report has been approved. Do not distribute
copies of the final claim settlement report.

5-4.20 Disputes
5-407 Overhead 5-407
Overhead is the general cost of running a business. It is not attributed to a specific Overhead
part of the work operation. Overhead of construction contractors can be separated
into two general categories: time-related overhead and overhead that is not time-
related. Time-related overhead consists of costs that are associated with the normal
recurring operations of the construction project, including home office overhead
and field office overhead. Home office overhead, consist of indirect costs that are
not associated with a specific project, but are costs of general facilities and
administration necessary for the contractor’s performance on all contracts. Field
office overhead consists of indirect costs associated with a specific project. These
costs do not include costs for labor, materials, or equipment used in performing the
work.
Overhead that is not time-related could consist of mobilization, permits, profit,
bonding, and liability insurance.
5-407A Methods of Overhead Payment
The contractor recovers the cost of overhead based on the following contract criteria:
• Contracts without an item for time-related overhead - The contractor includes
overhead costs in the price of various items of work. The contractor recovers
overhead cost of performing contract change order work by applying the markups
referenced in Section 9-1.03, “Force Account Payment,” of the Standard
Specifications to the direct cost of performing the work. If the contract change
order work is paid at contract item prices, the overhead cost of performing the
work is compensated through the overhead cost already included in the contract
item prices.
• Contracts with an item for time-related overhead - The contractor includes time-
related overhead costs in the time-related overhead item of work and overhead
not related to time in the various other items of work. The overhead cost of
performing contract change order work is included in the reduced markups
specified in the contract special provisions and through increasing the time-
related overhead item when the work extends the project completion date. For
delays caused by Caltrans that are not a result of contract change order work,
the contractor is also compensated for overhead through commensurate increases
in the time-related overhead item.
5-407B Overhead Claims
Section 7102, “Delays, Recovery of Damages,” of the Public Contract Code states
that public agencies cannot limit the damages incurred by a contractor due to
unreasonable, state-caused delay, to an extension of contract time only. The process
of addressing overhead claims may involve multiple groups within Caltrans. Meeting
the final determination timeframe requires the judicious handling of an overhead
claim. Many claims involving overhead are relatively complex and may require the
assistance of the Division of Construction field coordinators.
The contractor must provide proof of a delay caused by Caltrans or suspension of
contract performance for an uncertain or unreasonable duration which disrupts the
contractor’s stream of revenue needed to pay its fixed overhead costs, and show an
inability to take on additional work which would provide a substitute stream of
revenue to pay for those fixed overhead costs.
The key element in considering overhead claims is that the revenue stream that the
contractor expects to cover overhead expenses in a normal business plan is interrupted,
or significantly curtailed, and cannot be immediately replaced.

Disputes 5-4.21
The issuance of numerous contract change orders is not sufficient proof for an
overhead claim. In accordance with Section 4-1.03, “Changes,” of the Standard
Specifications, changes from the plans and specifications are expected. In addition,
Section 9-1.03, “Force Account Payment,” of the Standard Specifications, provides
for markups on contract change orders that constitute full compensation for all
overhead costs associated with the change. When a contractor is delayed in completion
of the work, an extension of time commensurate with the delay in completing the
work is allowed as specified in Section 8-1.07, “Liquidated Damages,” of the Standard
Specifications. If a delay caused by Caltrans causes a project to be suspended or
delayed by a stoppage of all or the critical part of the work, the contractor’s revenue
stream could be interrupted or significantly curtailed, possibly exposing Caltrans to
an overhead claim.
Compensable delays caused by Caltrans to the controlling operation are compensated
through time-related overhead contract item quantity adjustments for contracts with
a time-related overhead contract item. Make prompt adjustments in overhead
compensation based on the bid price supplied by the contractor. Support all overhead
claims with an audit report prepared at the contractor’s expense. The contractor
must provide the required information in accordance with Section 9-1.04, “Notice
of Potential Claim,” of the Standard Specifications. Provide a written response
regarding Caltrans’ consideration of the overhead claim to the contractor before
issuing the proposed final estimate.
To accurately respond to an overhead claim, examine the project schedule to
determine if Caltrans has caused any delays. Separate the delays caused by Caltrans
attributed to supplemental work that was specified within the original contract. When
there is no delay caused by Caltrans other than delays attributed to supplemental
work, deny the potential claim without further analysis of the contractor’s written
request.
Involve the construction engineer, construction manager, and the Division of
Construction field coordinator when responding to overhead claims.

5-4.22 Disputes
5-408 Audits 5-408
If the resident engineer has informed the contractor that Caltrans will consider the Audits
request for additional overhead , evaluate the request through the audit process.
5-408A Contractor Submitted Audits
Section 9-1.07B, “Final Payment and Claims,” of the Standard Specifications,
requires that an independent audit report by a certified public accountant (CPA)
accompany and support any claim for overhead expenses. The audit report must be
prepared at the contractor’s expense. When a claim for overhead expenses is received
without an independent 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.
The Caltrans Office of Audits and Investigations will assist the resident engineer by
performing a preliminary check of the independent audit report’s compliance with
the requirements of the American Institute of Certified Public Accountants (AICPA)
Attestation Standards. In addition, the Office of Audits and Investigations, may review
project files and audit the contractor’s records.
The Office of Audits and Investigations will perform the Caltrans audit only 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 9-1.07B, “Final Payment
and Claims,” of the Standard Specifications
A systematic review of the contractor’s claim and audit is required to determine if
there is reason to proceed with a detailed analysis of the costs contained within the
contractor submitted audit. Refer to Table 5-4.5, “Audit Process,” of the Construction
Manual illustrating the review of the audit process.
The audit process is initiated by the contractor’s 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
contractor’s claim for home office overhead or field office overhead is submitted
along with a supporting independent CPA audit report in accordance with Section 9-
1.07B, “Final Payment and Claims,” of the Standard Specifications and with those
policies contained within the CPA Audit Desk Guide available at Division of
Construction’s intranet site. 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 (48CFR31.205). The
independent CPA audit report may be faxed to the Office of Audits and Investigations
for assistance in these regards. Deny the audit request if the audit report does not
comply with Section 9-1.07B, “Final Payment and Claims,” of the Standard
Specifications.

Disputes 5-4.23
The Division of Construction field coordinator determines 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 by the progress 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 9-1.07B, “Final Payment and Claims,” of
the Standard Specifications and the Division of Construction field coordinator
determines an audit request is warranted, draft the audit request memorandum. Refer
to Example 5-4.6, “Sample Audit Request Memorandum,” which includes the
following information:
• Contract number
• Contractor’s name
• District contact person’s name, title and phone number
• Board of review secretary’s name, if applicable
• Justification
The justification must explain both the reason why a further analysis of the
contractor’s claim is warranted, as determined and provided by the Division of
Construction field coordinator and the associated costs that a Caltrans audit must
verify.
Attach the following documents to the drafted audit request memorandum:
• Summary of delay-related claims,
• General contract information and delay-related chronology, and
• Independent CPA audit report.
Refer to Examples 5-4.7, “Sample Summary of Delay-Related Claims,” and 5-4.8,
“Sample General Contract Information and Delay-Related Chronology.”
Forward the draft audit request memorandum and the attachments to the deputy
district director of construction for consideration. If the deputy district director of
construction concurs with the draft package, the deputy district director of construction
forwards it to the Division of Construction field coordinator for approval. If the
Division of Construction field coordinator approves the request, the Division of
Construction field coordinator transmits the audit request memorandum and
attachments to the chief, Office of Contract Administration.
The Office of Contract Administration provides a memorandum prioritizing the audit
request and transmits the complete package to the audit manager, Office of Audits
and Investigations. The final audit reports are due back to the Office of Contract
Administration within 45 days from the date of transmittal. The Division of
Construction field coordinator will use the final audit report or draft audit findings
to determine if the contractor is due any overhead compensation. 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 process a contract change order for payment in accordance with the
overhead claim administration delegation of authority in Table 5-4.4, “Delegation
of Authority,” of the Construction Manual. Note the name of the person authorizing
the contract change order in the contract change order memorandum. The Division

5-4.24 Disputes
of Construction will keep the final audit report and the audit request for four years.
Other delay-related expenses besides overhead, such as escalated materials,
equipment, and labor costs, may be included in the contractor’s 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 contractor’s 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.
5-408B Special Audits
Audit requests for terminations, complicated changes in character, extremely large
item adjustments, and differing site conditions must follow the guidelines
described in Table 5-4.4, “Delegation of Authority,” of the Construction Manual.
Specific concerns with these special audits may be discussed with the Office of
Contract Administration of the Division of Construction.
5-409 Arbitration 5-409
The arbitration process is initiated by filing a complaint with the Office of Arbitration
Administrative Hearing within 90 days from receipt of the district director
determination of claims as specified in Section 10240.1 of the Public Contract Code,
and Section 9-1.10, “Arbitration,” of the Standard Specifications.
In accordance with Section 10240.2 of the Public Contract Code, 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. 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.
5-409A Arbitration Process
Refer to Table 5-4.6, “Arbitration Process,” for a flowchart diagram showing the
area of responsibility for various internal and external organizations involved with
the arbitration process.

Disputes 5-4.25
5-409B Arbitration Payment Process
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 following is the arbitration payment process initiated
by the contract specialist responsible for arbitration payments within the Division of
Construction. The process is also illustrated by the flowchart in Table 5-4.7,
“Arbitration Payment Process.”
1. After receiving the approved request for arbitration award or arbitration settlement
approval memo, and the release agreement from the office assistant for the chief,
Division of Construction; the contract specialist responsible for arbitration
payments investigates the availability of necessary funds. To do this, the contract
specialist responsible for arbitration payments inquires with the district point of
contact for arbitration and the Division of Accounting, Highway Appropriation
Management section.
If funds are insufficient, the contract specialist responsible for arbitration
payments informs the district point of contact for arbitration to request additional
funds in accordance with Section 5-203, “Obtaining Additional Funds,” of the
Construction Manual. The contract specialist responsible for arbitration payments
provides the district point of contact for arbitration with supporting documentation
for the additional funds request. When the requested funds have been approved
and transferred into the contract, the district point of contact for arbitration informs
the contract specialist responsible for arbitration payments that the funds are
available. A G-11 or G-12 referenced in Section 5-201, “General,” of the
Construction Manual, supplemental funds request approval will typically take
20 to 25 business days, while those requiring a California Transportation
Commission supplemental vote will generally take 30 to 40 business days.
2. The contract specialist responsible for arbitration payments issues and approves
the arbitration payment contract change order and contract change order
memorandum based on the terms in the approved request for arbitration award
or arbitration settlement approval memo from the Legal Division.
3. The contract specialist responsible for arbitration payments sends the arbitration
payment contract change order and contract change order memorandum, and
the contract change order telecopy to the district point of contact for arbitration.
4. The district construction estimate section enters the contract change order and
the extra work bill into the progress payment system, then runs and flags the
estimate. The district construction estimate section will inform the progress
payment administrator within the Office of Engineering Management in the
Division of Construction, when this work is complete.
5. The Division of Construction’s progress payment administrator forwards the
estimate run, the voucher, and other required documents for payment to the
accounting specialist at the Division of Accounting, Highway Appropriation
Management section. The progress payment administrator informs the contract
specialist responsible for arbitration payments when the payment is forwarded
to the Division of Accounting, Highway Appropriation Management section.

5-4.26 Disputes
6. Based on instructions from the Legal Division, the contract specialist responsible
for arbitration payments e-mails the following payment information to the
accounting specialist:
• Payee’s name
• Payee’s mailing address
• Method of mailing
7. The accounting specialist processes the payment and requests issuance of a check
from the State Controller’s Office. After receiving the check, the accounting
specialist mails the check to the contractor, and sends a copy of the check to the
contract specialist responsible for arbitration payments for the project records.
8. After receiving a copy of the check, the contract specialist responsible for
arbitration payments enters the information into the arbitration tracking system
database and sends an e-mail indicating the completion of the arbitration payment
process to the following:
• Chief, Division of Construction
• Deputy district director of construction
• District construction claims engineer
• Division of Construction field coordinator
• Construction engineer
• Project manager
• Chief, Office of Contract Administration
• Legal Division, assistant chief counsel, contract law
• Legal Division, attorney assigned to the case
• Legal Division, engineering support
5-409C Arbitration Tracking, Monitoring, and Reporting
The Division of Construction’s contract specialist responsible for arbitration
management is responsible for updating the database which includes tracking,
monitoring, and reporting all arbitration cases. The contract specialist responsible
for arbitration management is the point of contact regarding status of ongoing
arbitration cases, coordinating arbitration payments, and providing statistics on all
arbitration cases.

Disputes 5-4.27
5-4105-410 Preliminary Construction Claim Findings and Category 62
Preliminary Preparation and Guidelines
Construction Preparation of the preliminary construction claim findings can be completed quickly
by incorporating documents contained in Category 62 of the project records. When
Claim Findings you receive exceptions to the proposed final estimate from the contractor, complete
and Category 62 the preliminary construction claim findings for the entire project consisting of the
Preparation information contained in Category 62 and the following:
and Guidelines • Title page
• Table of contents
• Project chronology
• General information
• List of claims
• Contractor’s exceptions to the proposed final estimate
A well-organized Category 62, “Disputes,” of the project records is imperative for
preparing the construction claim findings, and meeting the statutory requirement for
completing the claim process within 240 days of contract acceptance. For each claim,
Category 62 must include:
• Claim checklist, see example 5-4.9, “Sample Claim Checklist” of the Construction
Manual
• Notification details
• Written notice or protest
• Form CEM-6201A, “Initial Notice of Potential Claim” and Caltrans’ response
• Form CEM-6201B, “Supplemental Notice of Potential Claim” and Caltrans’
response
• Form CEM-6201C, “Full and Final Documentation of Potential Claim” and
Caltrans’ response
• All correspondence
• District’s position paper for the dispute review board (DRB)
• Contractor’s position paper for the DRB
• DRB recommendation
• Resident engineer diaries
• Assistant resident engineer diaries
• Applicable parts of plans and specifications
• Relevant contract change orders
• Photographs
• Calculations and analysis
• Weekly Statement of Working Days
• Critical path method schedules
• Other pertinent information
5-4.28 Disputes
The deputy district director of construction reviews the information contained in the
preliminary construction claim findings to determine how to proceed with the
resolution of the claims.
5-411 Board of Review Report Preparation and Guidelines 5-411

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
basis of the district director determination of claims.
Report
Preparation and
In preparing the board of review report, the board members should follow the
guidelines below: Guidelines
• 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 conclusion’s 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 report’s 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 a board of review recommendations.
5-411A Format
A board of review report follows the general format below:
5-411A (1) Introduction

The board of review report will start with an introductory paragraph describing the
board meeting attendees and date of occurrence.
5-411A (2) Items that are common to all claims

List items such as the chronology and general information
5-411A (3) Summary of settled claims

Reference claims that were entirely or partially settled
5-411A (4) Individual Claim Information

Reference each individual claim number, title, and the amount
5-411A (5) General description of the claim

Briefly describe the nature of the claim
5-411A (6) Contractor’s position

Quote directly from the contractor’s protest, notice, notice of potential claim, or
written statement of claims. Add any other pertinent information provided in other
documentation.
Disputes 5-4.29
5-411A (7) District’s position
The district’s position must be compiled from the responses to potential claim
submittals, and supported by exhibits including related correspondence.
5-411A (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 that...”
• “At the board of review meeting, the contractor submitted additional information
to support the contractor’s claim.”
• “At the request of the board, the resident engineer reviewed the contractor’s
submittal and noted...”
• “The resident engineer informed the board...”
• “At the request of the board...”
5-411A (9) Findings of the Board

Format this section of the board of review report as a series of bullets listing the
board’s conclusions and providing the board’s findings. The bullets will convey the
board’s 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...
• that the work included...
• that based on item number xx, description...
• that the contract further provided...
• that the contract time is subject to extensions for...
• that work began on (date)
• that by correspondence dated (date)... the contractor directed the resident
engineer’s attention to...
• that the contractor requested issuance of a contract change order to provide
compensation for...
• that the resident engineer disputed the contractor’s request and directed the
contractor’s attention to Section xx of the Standard Specifications.
• that on (date) the contractor submitted an initial notice of potential claim, dated
(date).

5-4.30 Disputes
• that on (date) the contractor submitted a supplemental notice of potential claim,
dated (date)... at an estimated cost of $ value.
• that on (date) the resident engineer responded to the contractor’s supplemental
notice of potential claim and directed the contractor’s attention to Section xx of
• that on (date) the contractor submitted the full and final documentation of claim,
dated (date)... with the requested cost of $ value.
• that on (date) the resident engineer responded to the contractor’s full and final
documentation of potential claim and again referred the contractor’s attention to
Section xx of the Standard Specifications.
• that with the return of the proposed final estimate, the contractor included a
corresponding claim for $ value.
• that the contractor has been compensated for the work of item number xx and
that the contractor is not entitled to any additional compensations 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 denied (or allowed) in the
amount of $ value.”
Findings and facts 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 dispute review board
findings and recommendations pertaining to the claim, and provide its conclusions.
Particular attention must be paid when the board of review’s conclusion disagrees
with the findings and recommendations of the dispute review board.
5-411A (10) Board of review member signature block

Include signature blocks for the board members. Place all signature blocks on the
same page as the final portion of the report’s text.
After the board of review report is complete, a draft final determination pertaining
to those claims heard by the board of review will be prepared by the board secretary
and forwarded to the district construction claims engineer. The draft will consist of
the introductory paragraph and the board’s conclusions and recommendations taken
from the board of review report. However; the board’s recommendations will be
modified to state, “That the claim is denied,” or, “That the claim is allowed in the
amount of $value.”
Upon completion of the board of review report, the board’s secretary transmits the
report to the district construction claims engineer for incorporation into the
construction claim findings.
Only the district director’s signature will appear on the final determination that will
address all claims.
For a sample electronic file of a board of review report, contact the Office of Contract
Administration in the Division of Construction.

Disputes 5-4.31
5-412 5-412 Construction Claim Findings Preparation and Guidelines
Construction The board of review report is incorporated as a part of the construction claim findings.
The construction claim findings provide the basis of 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 and incorporating
Guidelines claims resolved prior to completing the preliminary construction claim findings,
administrative claims addressed by the resident engineer, claims addressed by the
board of review, and the other remaining claims. 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. See Section 5-413, “District Director Determination
of Claims Guidelines,” of the Construction Manual.
The district construction claims engineer transmits the construction claim findings
to the deputy district director of construction for approval.
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 a
construction claim finding refer to Example 5-4.10, “Sample Construction Claim
Findings,” of the Construction Manual.
5-412A Format
The construction claim findings follows the format below:
5-412A (1) Title Page

The title page states the following:
• “Construction Claim Findings”
• Contract identification data such as contract number, district, county, route,
kilopost, and federal project number, if applicable
• Applicable Standard Specifications and Standard Plans
• Names of the contractor, resident engineer, structure or district representative,
construction engineer, structure construction engineer, construction manager,
board of review members, district construction claims engineer, and deputy
district director of construction
• Date
5-412A (2) Table of Contents

Number all pages in the table of contents.
5-412A (3) Project Chronology

The project chronology includes the following:
• Advertisement date
• Bid opening date

5-4.32 Disputes
• 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)
• Contract change order time adjustment (number of days)
• Other days extension (number of days)
• Nonworking days (number of days)
• Suspension 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)
5-412A (4) General Information

The general information section should be presented in a narrative format, and include
the following:
• Description of the work
• Contractor’s bid amount
• Proposed final estimate amount
• Date the proposed final estimate was sent to the contractor
• Estimated final cost
• Date the contractor returned the proposed final estimate with claims
• Total number and amount of claims submitted
5-412A (5) Summary of Claims

Provide the following information:
• Identification numbers and titles
• Claimed amounts
• Recommended payments
• Remaining amounts

Disputes 5-4.33
5-412A (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
5-412A (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.
5-412A (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 entitled “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.
5-412A (9) Contractor’s Position

Quote directly from the contractor’s protest, notice, notice of potential claim, or
written statement of claims. Add any other pertinent information provided in other
documentation. Do not interpret the contractor’s 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 stated.
Provide the information in the following order:
• Full and final documentation of potential claim
• Supplemental notice of potential claim
• Initial notice of potential claim
• Written notice or protest if applicable
• Contractor’s initial written correspondence pertaining to the claim
• Reference table to contractor’s supporting exhibits

5-4.34 Disputes
5-412A (10) District’s Position
The district’s position must be compiled from the responses to potential claim
submittals, and supported by exhibits including related correspondence. Additional
arguments supporting the district’s 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 engineer’s response to the full and final documentation of potential
claim
• Resident engineer’s response to the supplemental notice of potential claim
• Resident engineer’s initial written correspondence pertaining to the claim
• A list of exhibits including contract 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 9-1.07B, “Final Payment of Claims,” of the Standard Specifications.
5-412A (11) Findings and Recommendations

State the district’s 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.
5-412A (12) Tabular reference to supporting information
5-412A (13) Summary of construction claim findings in tabular format for all claims
5-412A (14) Deputy district director of construction signature block

5-412A (15) Exhibits
Include the following exhibits as appropriate:
• Copy of the contractor’s written statement of claims
• Correspondence
• Cost data
• Notices, protests, or notices of potential claims
• Detailed chronology of correspondence, other documents, or events
• Critical path method schedule or time impact analysis
• Photographs

Disputes 5-4.35
Example 5-4.1 - Sample Dispute Response Clauses
Use the following sample clauses in response to disputes. Edit the clauses to fit the
specific situation.
5-4.1A Notice
For a discussion of notices, see Section 5-402A, “Notice,” of the Construction
Manual. Use the following information in your response to a notice.
5-4.1A (1) General

“I have received your written notification dated May 4, 2003 of a differing site
condition encountered at (give location). It is my understanding that you are of the
opinion that the material encountered differs materially from that shown on the plans
or is considered to be of an unusual nature…”
5-4.1A(2) If no merit
“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 feel a differing site condition exists,
please provide me with any additional information you may have.”
5-4.1A (3) If merit

“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 is
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.”
5-4.1B Protest
For a discussion of protests, see Section 5-402B, “Protest,” of the Construction
Manual.
5-4.1B (1) Contract Change Order Time Adjustment

Use the following clauses in your response to a protest of time determination in a
contract change order:
5-4.1B (1a) General
“I have received your letter of protest, dated May 4, 2003, regarding the time
adjustment under contract change order No. 16. I understand that you are
protesting the determination of (x) working days time extension for this change
and you believe you are entitled to (y) working days time extension.”
5-4.1B (1b) If no merit
“My review of the contract change order, anticipated work, and the progress
schedule indicates that the work required by contract change order No. 16 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, either in narrative form or an analysis showing
the impact of this work on the completion date of the project.”

Disputes 5-4.37
Example 5-4.1- Sample Dispute Response Clauses (continued)
5-4.1B (1c) If merit
“My review of the change order, anticipated work, and the progress schedule
indicates that the work associated with contract order No. 16 impacts the
controlling operation [if a CPM review was performed substitute “critical path”
for “controlling operation”]. Therefore you are entitled to a time extension. I
have determined a time extension of (x) days associated with the work. The
contract change order will be revised to reflect this change in the adjustment of
contract time. Please review and sign the revised contract change order if you
agree with the change.”
5-4.1B (2) Weekly Statement of Working Days

Use the following clauses in your response to a protest related to determination of
contract time in a weekly statement of working days:
5-4.1B (2a) General
“I have received you letter of protest, dated May 4, 2003, regarding weekly
statement of working days No. 8. 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).”
5-4.1B (2b) If no merit
“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 provide me with
documentation in support of your protest. In the absence of the required
documentation, the weekly statement of working days No. 8 stands unchanged.”
5-4.1B (2c) If merit
“I have reviewed the project records and have determined that April 22, 2003,
should be revised to indicate a non-working day. I will send you a revised weekly
statement of working days No.8.”
5-4.1C Notice of Potential Claim
For a discussion of the notice of potential claim, see Section 5-402C, “Potential
Claim,” of the Construction Manual. Use the detailed format and response guidelines
in Section 5-403A, “Response Guidelines,” of the Construction Manual in conjunction
with the following clauses in response to a notice of potential claim:
5-4.1C (1) General

“I have received your notice of potential claim (specify which of the three forms)
dated May 4, 2003, 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 contractor’s position as described in
the notice of potential claim).”
5-4.1C (2) If no merit

“I have reviewed your potential claim (specify which of the three forms) and based
on the information you provided I find that it has no merit. (Explain why in detail.)”

5-4.38 Disputes
Example 5-4.1 - Sample Dispute Response Clauses (continued)
5-4.1C (3) If merit
“I have reviewed your potential claim (specify which of the three forms) 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.”
5-4.1C (4) Request for Information

“I have reviewed your notice of potential claim (specify which of the three forms),
and 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.”

Disputes 5-4.39
5-4.40 Disputes
Example 5-4.2 - Sample Dispute Review Board Nomination Letter
STATE OF CALIFORNIA-------BUSINESS, TRANSPORTATION AND HOUSING AGENCY ARNOLD SCHWARZENEGGER, Governor
DISTRICT X CONSTRUCTION
(ADDRESS)
(PHONE) Flex your power!
(FAX) Be energy efficient!
(date)
(Dist-EA)
(Dist-Co-Rte-PM/KP)
Federal Aid Project: (FA#)
(Contractor)
(Address)
Subject: Dispute Review Board Establishment
Gentlemen:
In conformance with Section 5-1.xx__ of the special provisions of the contract referenced
above, Caltrans is nominating Mr. (nominee’s name) to the Dispute Review Board. The
nominee’s project specific disclosure statement is attached for your consideration. Please
provide your written response accepting or rejecting this nomination within seven days of the
date of this notification.
In addition, please provide your nomination to the Dispute Review Board, including the
nominee’s project specific disclosure statement within seven days of the receipt of this letter.
Sincerely,
(NAME)
Resident Engineer
Attachment
“Caltrans improves mobility across California”

Disputes 5-4.41
5-4.42 Disputes
Example 5-4.3 - Sample Review of Claims by Deputy District Director of Construction Notification Letter
(ADDRESS)
CERTIFIED MAIL RETURN RECEIPT REQUESTED
(date)
(Dist-EA)
(Dist-Co-Rte-PM/KP)
(Contractor)
(Address)
Subject: Review of Claims
Gentlemen:
I have reviewed your exceptions to the Proposed Final Estimate and have made the following
determination:
x Resolved claims
Claim ID Title Amount

(List claims that have been resolved)
x Administrative claims being further reviewed by the resident engineer

(List administrative claims sent to the resident engineer for further review)
x 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)
x Claims that will be heard by a board of review

(List claims that will be heard by a board of review)
You will be notified of the date, time and the location of the board of review meeting in a
follow up letter.

Disputes 5-4.43
Example 5-4.3 - Sample Review of Claims by Deputy District Director of Construction Notification Letter
(continued)
In accordance with Section 9-1.07B, “Final Payment and Claims,” of the Standard
Specifications, your attendance at the board of review meeting is mandatory.
Sincerely,
(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
District construction office
Division of Construction Field Coordinator
Division of Construction – Office of Contract Administration

5-4.44 Disputes
Example 5-4.4 - Sample Board of Review Notification Letter
(ADDRESS)
(date)
(Dist-EA)
(Dist-Co-Rte-PM/KP)
(Contractor)
(Address)
Subject: Board of Review Meeting
Gentlemen:
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.
In accordance with Section 9-1.07B, “Final Payment and Claims,” of the Standard Specifications,
your attendance at the board of review meeting is mandatory.
Sincerely,
(NAME)
Board of Review Secretary

Disputes 5-4.45
Example 5-4.4 - Sample Board of Review Notification Letter (continued)
cc: Resident engineer

Structure representative
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

5-4.46 Disputes
Example 5-4.5 - Sample Final Estimate Letter - Board of Review Held, Not Attended by Contractor
(ADDRESS)
(date)
(Dist-EA)
(Dist-Co-Rte-PM/KP)
(Contractor)
(Address)
Gentlemen:
On (date of board of review meeting), the district convened a board of review meeting for the
purpose of reviewing the following claim(s):

(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 Section 9-1.07B, “Final Payment and
Claims,” of the Standard Specifications in accordance with the district director’s 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,
(name)
District Director
Attachment

Disputes 5-4.47
5-4.48 Disputes
Example 5-4.6 - Sample Audit Request Memorandum
State of California Business Transportation and Housing Agency
Memorandum
To: (NAME), Chief Date: [Month day, year]

Division of Construction
File: [Optional]
(NAME), Chief
Office of Contract Administration
From: [NAME]
Deputy District Director of Construction
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:
x Contract time was extended by the suspension by more than 15 percent, and
x 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 9-1.07B, “Final Payment and Claims,” of the
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

Disputes 5-4.49
5-4.50 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 5-4.51
5-4.52 Disputes
Example 5-4.8 - Sample General Contract Information and Summary of Delay-related 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 30, 1999, and was returned with
exceptions on November 3, 1999. The total amount claimed was $1,636,903.82.
CHRONOLOGY (DELAY-RELATED)
CALENDAR WORKING NO. OF

EVENT DATE DAY NO. DAYS
Contract Approved 10/8/1997

Working Day Begin 10/9/1997 160
Begin Work 5/26/1998 314
Working Days Specified or
Bid 180
CCO Days Extension 0
Other Days Extension 4
Non-working Days,
Weather 89
Suspension Days 210
Extended Completion Date 9/20/1999 643
Work Completed 8/17/1999 621
Contract Accepted 8/25/1999 627
Contract Overran 0 Working Days ( 0 Calendar Days)

Disputes 5-4.53
5-4.54 Disputes
Example 5-4.9 - SampleClaim Checklist
Identification Number
Title
Notification Details
Date On Time Amount Claimed
Written notice/protest Yes___ No___
Initial NOPC Yes___ No___
Supplemental NOPC Yes___ No___
Full & Final Doc Yes___ No___
State Response
Date Merit On Time
To Supplemental Yes___ No___ Yes___ No___
Comments
To Full and Final Doc Yes___ No___ Yes___ No___

Comments
Background
Contractor Position
District Position

Disputes 5-4.55
Example 5-4.9 - SampleClaim Checklist (continued)
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
Exhibits x = included
x Contractor’s exceptions to PFE ____
x Written notice or protest ____
x Initial NOPC (6201 A) ____
x Supplemental NOPC (6201 B) ____
x Full & Final Documentation (6201 C) ____
x State response
To Supplemental NOPC ____
To Full and Final Documentation ____
x Other correspondence ____
x Dispute Review Board
State position paper ____
Contractor position paper ____
DRB recommendation ____
x Diaries
Resident Engineer ____
Assistant ____
x Plan sheets ____
x Specifications ____
x Contract Change Orders ____
x Photographs ____
x Calculations & analysis ____
x Weekly Statement of Working Days ____
x CPM Schedules ____
x Other (list)
_______________________________ ____
_______________________________ ____
_______________________________ ____
_______________________________ ____

5-4.56 Disputes
Example 5-4.10 - SampleConstruction Claim Findings (1 of 10)
CENTRAL REGION
10-123454
10-ALP-88-0.2
CONSTRUCTION CLAIM FINDINGS
FOR PROJECT IN DISTRICT 10
ON STATE ROUTE 88
LOCATED IN
ALPINE COUNTY ABOUT 90.4 KM EAST OF JACKSON AT KIRKWOOD CREEK
January 1, 2004
Applicable Standard Specifications - 1999 Edition
Applicable Standard Plans- 1999 Edition
CONTRACTOR Contractor’s Corporate Identification
RESIDENT ENGINEER RE’s Name
STRUCTURE REPRESENTATIVE SR’s Name
CONSTRUCTION ENGINEER CE’s Name
BRIDGE CONSTRUCTION ENGINEER BCE’s Name
CONSTRUCTION MANAGER CM’s Name
DISTRICT CLAIMS ENGINEER Claims Engineer’s Name
BOR CHAIRPERSON BOR Chairperson’s Name
BOR MEMBER BOR Member’s Name
BOR MEMBER BOR Member’s Name
DEPUTY DISTRICT DIRECTOR OF CONSTRUCTION Deputy District Director of

Construction’s Name

Disputes 5-4.57
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
Contractor’s Position………………………………………………………. 6
District’s Position………………………………………………………….. 6
Findings……………………………………………………………………. 8
Claim #2 – Differing Site Condition Claim - CIDH Piling at Kirkwood Creek Bridge (ID
#34)………………………………………………………………………
Background………………………………………………………………...
Applicable Specifications………………………………………………….
Notification of Claim………………………………………………………
Contractor’s Position………………………………………………………
District’s Position………………………………………………………….
Board of Review Findings………………..……………………………….
Administrative Claims:
Claim #3 – Item 27 – Reconstruct Fence – 11.6M………………………..
Background………………………………………………………..
Contractor’s Position………………………………………………
District’s Position………………………………………………….
Findings……………………………………………………………
Claim #4 – Item 124 – Rock Slope Protection – 10M3……………………

Background………………………………………………………...
Contractor’s Position………………………………………………
District’s Position………………………………………………….
Findings……………………………………………………………
Claim #5 – CCO #11 – DEWR’s 6 and 8…………………………………

5-4.58 Disputes
Background……………………………………………………….
Contractor’s Position……………………………………………..
District’s Position…………………………………………………
Findings…………………………………………………………...
Summary of Resolved Claims…………………………………………………….
Signatures…………………………………………………………………………
Exhibits…………………………………………………………………………..
Claim #1 – PCC Pavement Grinding Claim (ID #46) Exhibits

Exhibit 1 Contractor’s Letter Dated March 12, 2003……..…………….……… 1 Sheet
Exhibit 2 Resident Engineer’s Letter Dated March 18, 2003……..……………..2 Sheets
Exhibit 3 Contractor’s Initial Notice of Potential Claim………..………………..1 Sheet
Exhibit 4 Contractor’s Supplemental Notice of Potential Claim………………...2 Sheets
Exhibit 5 Resident Engineer’s Response ………………………………………..2 Sheets
Exhibit 6 Contractor’s Full and Final Documentation of Potential Claim……...10 Sheets
Exhibit 7 Resident Engineer’s Response………………………………………...3 Sheets
Exhibit 8 Contractor’s DRB Position Paper…………………………….………..8 Sheets
Exhibit 9 District’s DRB Position Paper…………………………………………7 Sheets
Exhibit 10 DRB’s Recommendation………………………………………………5 Sheets
Exhibit 11 Contractor’s Response to DRB Recommendation……………………..1 Sheet
Exhibit 12 Resident Engineer’s Response to DRB Recommendation……………..1 Sheet
Exhibit 13 Specification Excerpts…………………………………………………2 Sheets
Exhibit 14 Plan Sheet Excerpts……………………………………………………3 Sheets
Exhibit 15 Resident Engineer’s Photographs……………………………………...3 Sheets
Exhibit 16 Diaries………………………………………………………………….9 Sheets
Claim #2 – Differing Site Condition Claim – CIDH Piling at Deer Creek Bridge (ID #34) Exhibits
Exhibit 1 Contractor’s Differing Site Condition Notice…………………………1 Sheet
Exhibit 2 Resident Engineer’s Determination Letter…………………………….2 Sheets
Exhibit 3 Contractor’s Initial Notice of Potential Claim………………………...1 Sheet
Exhibit 4 Contractor’s Supplemental Notice of Potential Claim………………...2 Sheets
Exhibit 6 Contractor’s Full and Final Documentation of Potential Claim.……...5 Sheets
Exhibit 8 Contractor’s DRB Position Paper…………………………….……….8 Sheets
Exhibit 9 District’s DRB Position Paper………………………………………...7 Sheets
Exhibit 10 DRB’s Recommendation………………………………………………5 Sheets
Exhibit 11 Contractor’s Response to DRB Recommendation…………………….1 Sheet
Exhibit 12 Resident Engineer’s Response to DRB Recommendation…………….1 Sheet
Exhibit 13 Materials Information Handout………………………………………..9 Sheets
Exhibit 14 Log of Test Borings……………………………………………………2 Sheets

Disputes 5-4.59
Exhibit 15 Resident Engineer’s Photographs……………………………………...3 Sheets
Exhibit 16 Diaries………………………………………………………………….9 Sheets
Exhibit 17 Contractor’s Basis for Changed Amount of Compensation …………..1 Sheet
Exhibit 18 Board of Review Report……………………………………………….9 Sheets
Claim #3 – Item 27 – Reconstruct Fence - Exhibits

Exhibit 1 – Contractor’s Written Statement of Claim for Item 27………………..2 Sheets
Exhibit 2 – Resident Engineer’s Response Letter….……………………………..1 Sheet
Claim #4 – Item 124 – Rock Slope Protection - Exhibits

Exhibit 1 – Contractor’s Written Statement of Claim for Item 124………………1 Sheet
Exhibit 2 – Resident Engineer’s Response Letter………………………….……..1 Sheet
Claim #5 – CCO #11 – DEWR’s 6 and 8 – Exhibits

Exhibit 1 – Contractor’s Written Statement of Claim for CCO #11 – DEWR’s 6 and
8………………………………………………………………………………1 Sheet
Exhibit 2 – CCO #11 - DEWR 6 …………………………………………………1 Sheet
Exhibit 3 – CCO #11 – DEWR 8…………………………………………………1 Sheet
Exhibit 4 – Resident Engineer’s Response Letter………………………….……..2 Sheets

5-4.60 Disputes
PROJECT CHRONOLOGY
WORKING
EVENT DATE DAY NO. NO. OF DAYS
Advertisement date 03/20/02
Bid opening date 05/15/02
Contract award date 06/11/02
Contract approval date 06/24/02
First working day 07/09/02 342
Begin work 07/10/02
Working days specified 300
Computed completion date 09/22/03 641
Contract change 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 10/31/03 669
Date work completed 10/22/03 662
Contract acceptance date 10/22/03 662
Overrun in contract time 0 working days (= 0 calendar days)

Disputes 5-4.61
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 88 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 December 9, 2003, and was returned with
five (5) exceptions on December 31, 2003. 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 CCO #11 – DEWR’s 6 and 8 $ 656.62 $ 314.67 $ 341.95
Total Claim Amounts $ 48,302.62 $ 2,239.67 $ 46,062.95
NON-ADMINISTRATIVE CLAIMS:
CLAIM #1 PCC PAVEMENT GRINDING CLAIM (ID #46) $25,209.00
Background (Utilize background from resident engineer’s response to full and final documentation of
potential claim in conjunction with guidelines in Section 5-410B (7), “Background,” 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 10, 2003, 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-
1.10, “Final Finishing,” of the Standard Specifications. The contractor proposed that a contract change
order be executed to modify the profile index requirements (see Exhibit 1). The resident engineer required
the contractor to remedy the deficient areas to conform to the final finishing requirements (see Exhibit
5-4.62 Disputes
2). The contractor submitted an initial notice of potential claim on March 21, 2003 (see Exhibit 3)
followed by a supplemental notice of potential claim (see Exhibit 4). The resident engineer provided a
response to the supplemental notice of potential claim finding no merit in the contractor’s 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 10, 2003 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 40-1.10, “Final Finishing”

Section 40-1.14, “Payment”
(see Exhibit 13)
Notification of Claim
Date of Event: March 18, 2003 (see Exhibit 2)
Initial Notice of Potential Claim: March 21, 2003 (see Exhibit 3)
Supplemental
Notice of Potential Claim: April 2, 2003 (see Exhibit 4)
Full and Final

Documentation of Potential Claim: May 2, 2003 (see Exhibit 6)
Notification was timely?: Yes
Contractor’s Position (Utilize the contractor’s potential claim submittals in conjunction with
guidelines in Section 5-410B (8), “Contractor’s 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 contractor’s consistent basis for claim in this matter. The contractor’s
detailed position in this matter is taken verbatim from their supplemental notice of potential claim
dated April 2, 2003:

Disputes 5-4.63
“We should be compensated for the additional cost of grinding the PCC pavement between stationing
10+240 and 12+010. Due to the staging requirements that provide necessary traffic handling throughout
the contract’s 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 of Section 40-1.10, “Final Finishing,” 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.”
District’s Position (Utilize the resident engineer’s responses in conjunction with guidelines in Section
5-410B (9), “District’s Position,” of the Construction Manual)
The district’s position in this matter is stated in exhibits 2, 5, 7, and 9. The following compilation
provides the district’s position on this issue:
The contractor’s claim for additional compensation associated with grinding of PCC pavement to meet
the profile index requirements of Section 40-1.10, “Final Finishing,” 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 contractor’s 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 contractor’s 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 contractor’s 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 in Section 40-
1.10, “Final Finishing,” of the Standard Specifications. The contractor’s 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.

5-4.64 Disputes
In summary, the remedial grinding of PCC pavement performed by the contractor to meet the contractual
profile index requirements is due to the contractor’s 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 contractor’s
claim in this matter is without merit.
Findings
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 17, 2002 and March 5, 2003.
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 10, 2003.
That the contractor’s profiling results showed that multiple finished surface areas of PCC
pavement exceeded the profile index requirements in Section 40-1.10, “Final Finishing,” of the
That the contractor requested a contract change order on March 12, 2003 to modify profile index
requirements for the PCC pavement.
That on March 18, 2003 the resident engineer denied the contractor’s request for a contract
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 21, 2003 the contractor submitted an initial notice of potential claim for grinding
PCC pavement along with a proposal for remedial work.
That on March 24, 2003 the resident engineer accepted the contractor’s 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, 2003 and April 4, 2003.
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 engineer’s letter dated March 18, 2003 and resident engineer’s responses to the
supplemental notice of potential claim and full and final documentation of potential claim

Disputes 5-4.65
5-412B 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.
• Provide a response to every relevant contention that the contractor makes.
• Use exact dates and numbers.
• State whether days are working or calendar.
• When referring to days, when applicable, include the month, day number, and
year.
5-412C 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 district’s 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.
5-413 5-413 District Director Determination of Claims Preparation and Guidelines

District Director The district director makes the final determination of claims in consideration of the
Determination construction claim findings and supporting documents. The district director
determination of claims is a stand-alone document and does not reference the board
of Claims of review report, or construction claim findings. The district director determination
Preparation and is presented in a bulleted format, listing the construction claim findings.
Guidelines For a sample district director determination of claims see Example 5-4.11, “Sample
District Director Determination of Claims,” of the Construction Manual.
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. If the
contractor is due any monies, pay the entire sum within 30 days.
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, the Caltrans’ Legal Division
coordinates any necessary responses.

5-4.36 Disputes
correctly reference the contract requirements with respect to final finishing surface requirements
(profile index) of the PCC pavement (Section 40-1.10 of the Standard Specifications).
That Section 40-1.14, “Payment,” 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 contractor’s 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 contractor’s 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.
SUMMARY OF RESOLVED CLAIMS
Amount Recommended
Claim No. Title Claimed 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 CCO #11 – DEWR’s 6 & 8 $ 656.62 $ 314.67
SIGNATURES
Respectfully Submitted,
____________________________________________________
DISTRICT CONSTRUCTION CLAIMS ENGINEER’S NAME
Claims Engineer
Findings Approved,
_________________________________________________________________
DEPUTY DISTRICT DIRECTOR OF CONSTRUCTION’S NAME
Deputy District Director, Construction

5-4.66 Disputes
Example 5-4.11 - SampleDistrict Director Determination of Claims
DISTRICT X
(ADDRESS)
(PHONE)
(FAX) Flex your power!
Be energy efficient!
(date)
(Dist-EA)
(Dist-Co-Rte-PM/KP)
(Contractor)
(Address)
Subject: District Director Determination of Claims
Gentlemen:
Caltrans District (district number) has completed its review of claims submitted to the
proposed final estimate on (date).
On (date), (contractor’s employees names) of (contractor’s 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.
Claim No. Y Claim Description $ (Amount Claimed)
1. That……….
2. That……….
3. Etc.

Disputes 5-4.67
Example 5-4.11 - SampleDistrict Director Determination of Claims (continued)
Summary
The payment of each of the various claims is summarized as follows:
Amount Amount
Claim No. Description Claimed Paid
X $(Amount) $(Amount)
Y $(Amount) $(Amount)
TOTAL $(SUM) $(SUM)
Sincerely,
____________________________
(NAME)
District X Director
cc: District construction office

5-4.68 Disputes
Disputes
Contractor submits Contractor notifies
Contractor submits
Supplemental Resident engineer Caltrans of
5 days Initial Notice of 15 days 20 days Unknown
Event Notice of Potential responds to contractor's completion of work
max. Potential Claim max. max. duration
Claim Supplemental Notice of in dispute
Potential Claim
Differing Site
Condition dispute
resolution process
30 days
max.
Table 5-4.1 - Notice of Potential Claim Process
Contractor submits
Full and Final Resident engineer
Documentation of responds to contractor's Full Unknown

30 days* Contract accepted
Potential Claim and Final Documentation of duration
Potential Claim
* If contractor's full and final documentation of potential claim is submitted after c ontract
acceptance, resident engineer's response is not necessary.
Division of Construction December 2004
5-4.69
5-4.70
Contractor submits Contractor notifies
Contractor submits
Supplemental Resident engineer Caltrans of
5 days Initial Notice of 15 days 20 days Unknown
Event Notice of Potential responds to contractor's completion of work
max. Potential Claim max. max. duration
Claim Supplemental Notice of in dispute
Potential Claim
Differing Site
Condition dispute
resolution process
21 days
max.
30 days
max.
Table 5-4.2 - Dispute Review Board Process
Contractor submits Resident engineer

Full and Final responds to contractor's
Documentation of Unknown
30 days* Full and Final Contract accepted
Potential Claim duration
Documentation of
Potential Claim
Unknown
duration
Contractor refers
the Potential Claim Dispute Review
Dispute Review Caltrans responds to
to Dispute Review Board meets to
30-60 days 30 days Board makes 30 days Dispute Review Board's
Board review Potential
recommendations recommendations
Claim
* If contractor's full and final documentation of potential claim is submitted after c ontract
acceptance, resident engineer's response is not necessary.
Disputes
Disputes
Day 130
Day 0 Day 40 Day 70 Day 110
sends preliminary Deputy district director of
40 days Issue proposed final 30 days Contractor returns 40 days 20 days construction reviews preliminary
construction claim
estimate and send to proposed final estimate construction claim findings and
Contract accepted findings to deputy
contractor with exceptions (claims) sends "Review of Claims by Deputy
district director of
construction District Director of Construction"
notification letter tocontractor
Table 5-4.3 - Claims Resolution Process
30 days
Claims that may warrant analysisby a board of review
70 days
Include remaining administrative claim

s and claims not
reviewed by board of review in theconstruction claim
findings

District claims engineer Deputy district director of
completes and forwards construction approves the
If necessary, board construction claim construction claim findings,
of review meets, Board of review sends its findings and draft obtains district director float
Caltrans and report to district construction district director signature on district dir ector
contractor present 40 days claims engineer 20 days determination of claims 10 days determination of claims and 10 days
their case to deputy distr ict sends it to contractor
director of construction
Day 160
Day 200 Day 220 Day 230
Contractor can
file for arbitration
at this time
Day 240
5-4.71
Table 5-4.4 - Delegation of Authority (1 of 3)
Claims Resolution
PERIOD ITEM(S) Entitlement Authority (Note 1)
Before issuance of
Notices, Protests, Authority to approve contract change orders resolving entitlement may be delegated
the Proposed Final
and Potential Claims as per the authority to approve contract change orders (Note 2).
Estimate
Authority to approve contract change orders resolving entitlement may be delegated as

per the authority to approve contract change orders (Note 2), but may not be delegated
to a senior transportation engineer or below.
From: For contract change orders subject to district approval (see Note 3 for overhead
claims):
Return of the Deputy district director or region division chief of construction approves;
Proposed Final authority may be delegated to construction managers, but not construction
Estimate engineers.
Claims
Fax copy to the Division of Construction contract change order engineer.
To:
For contract change orders subject to Division of Construction approval (Note 3 for
Board of Review overhead claims):
Meeting Deputy district director or region division chief of construction signs under
"submitted by" on contract change order memorandum (Note 4).
Division of Construction field coordinator provides signature of approval on
contract change order memorandum (Note 4).
Approvals of contract change orders resolving entitlement are subject to the district
director’s determination of claims and the delegation authority for contract change
orders (Note 2), but may not be delegated to a senior transportation engineer or below.
From: For contract change orders subject to district approval (see Note 3 for overhead
claims):
Board of Review Deputy district director or region division chief of construction approves;
Meeting authority may be delegated to construction managers, but not construction
engineers.
To: Claims Fax copy to the Division of Construction contract change order engineer.
District Director For contract change orders subject to Division of Construction approval (see Note 3
Determination of for overhead claims):
Claims Deputy district director of construction or region division chief of
(Note 5) construction signs under "submitted by" on contract change order
memorandum (Note 4).
Division of Construction field coordinator provides signature recommending
approval on contract change order memorandum (Note 4).
Division of Construction chief provides signature of approval on contract
change order memorandum (Note 4).
Notes:
1. Entitlement – merit, even partial, requiring compensation per Public Contract Code section 10227, and Section 3-403,"Changes," of the
2. Section 5-311, "Contract Change Order Approval,” of the Construction Manual .
3. Approval authority on contract change order memorandum for overhead entitlement:
Field office overhead: <$200K, Division of Construction field coordinator; $200K to $1.0M, Division of Construction chief;
>$1.0M, deputy director, Project Delivery.
Home office overhead: $1.0M, Division of Construction chief; >$1.0M, deputy director, Project Delivery.
4. Revise the contract change order memorandum as appropriate.
5. The district director determination is Caltrans’ final written decision of the claims contained therein. After the district director determination
of claims is issued, no further contact or discussion with the contractor regarding the addressed claims is permitted.
Page 1 of 3

5-4.72 Disputes
Claims Resolution
PERIOD ITEM(S) Negotiated Settlement Authority (Note 1)
Approval authority and responsibilities for claim settlement reports depend on the settlement
amount, as follows (Note 2):
Settlement Responsible Party Action

< $1.0M - district prepares report (Note 3)
From: - deputy district director or region submits report for approval (Note 4)
division chief of construction
Start of Work Notices, - Division of Construction
Protests, field coordinator recommends approval
To: Potential - Legal Division recommends approval
Claims, and - Division of Construction chief approves
Board of Claims
Review > $1.0M - district prepares report (Note 3)
Meeting - district director submits report for approval (Note 4)
- Division of Construction
field coordinator recommends approval
- Legal Division recommends approval
- Division of Construction chief recommends approval
- deputy director, Project Delivery approves
Approval authority and responsibilities for claim settlement reports depend on the settlement
amount, as follows (Note 2):
From: Settlement Responsible Party Action

< $1.0M - district prepares report (Note 3)
Board of - district director submits report for approval (Notes 4 & 5)
Review - Division of Construction
Meeting field coordinator recommends approval
Claims
To: - Division of Construction chief approves
Claim > $1.0M - district prepares report (Note 3)

Settlement - district director submits report for approval (Notes 4 & 5)
Report - Division of Construction
(Note 6) field coordinator recommends approval
- Division of Construction chief recommends approval
Notes:
1. Negotiated Settlement – per Public Contract Code section 9201 and Section 5-406B, “Claim Payments Based on Negotiated Settlements,” of
the Construction Manual
2. Submit claim settlement reports to the Division of Construction (no exceptions). The contract change order memorandum does not replace
the claim settlement report. Attach the contract change order and contract change order memorandum to the report before submitting to the
Division of Construction. Attach Form CEM-2702, "Overrun in Contract Time,” to the claim settlement report if recommending action
related to time extensions, liquidated damages, or engineering costs and inspection costs. Approval of the contract change order is subject to
the normal delegation of authority. The Division of Construction contract change order engineer will provide a contract change order
authorization or notify the district or region to authorize the contract change order. File the approved claim settlement report in the Division
of Construction's confidential files. Destroy all drafts.
3. The Division of Construction field coordinator, deputy district director or region division chief of construction, Legal Division
representative, Division of Construction chief, and FHWA transportation engineer will meet to discuss the settlement offer. If the offer is
greater than $1.0M, the deputy director of Project Delivery may also attend.
4. The deputy district director or region division chief of construction is responsible for obtaining FHWA concurrence with the settlement on
full oversight projects.
5. The chairperson of the board of review negotiates the settlement and submits the claim settlement report to the district director.
6. The claim settlement report is Caltrans’ final written decision of the claims contained therein. After the claim settlement report is issued, no
further contact or discussion with the contractor regarding the settled claims is permitted.
Page 2 of 3

Disputes 5-4.73
Arbitration
PERIOD ITEM(S) Negotiated Settlement Authority (Note 1)
Approval authority and responsibilities for claim settlement reports resolving claims in
arbitration depend on the settlement amount, as follows (Note 2):
Settlement Responsible Party Action

< $1.0M - Legal Division (Note 3) prepares report &
recommends approval
- Division of Construction
From: field coordinator recommends approval (Note 4)
Request for settlement - deputy district director or region recommends approval
Filing of division chief of construction
Arbitration - Division of Construction chief approves
To: > $1.0M - Legal Division (Note 3) prepares report &

recommends approval
Arbitration - Division of Construction chief recommends approval (Note 4)
Hearing - district director recommends approval
Division of Construction issues the contract change order and notifies the district to
process estimate.
– If needed, the district processes request for additional funding.

Award – The Division of Construction issues the contract change order and notifies the
district to process estimate.
Notes:
1. Negotiated Settlement — per Public Contract Code section 9201 and Section 5-405B, "Claim Payments Based on Negotiated Settlements,"
of the Construction Manual,
2. Attach Form CEM-2702, "Overrun in Contract Time," to the claim settlement report if recommending action related to time extensions,
liquidated damages, or engineering and inspection costs.
3. The Division of Construction field coordinator, deputy district director or region division chief of construction, Legal Division
representative, Division of Construction chief, and FHWA transportation engineer will meet to discuss the settlement offer. If the offer is
greater than $1.0M, the deputy director of Project Delivery may also attend.
4. The Division of Construction field coordinator is responsible for obtaining FHWA concurrence with the settlement on full oversight
projects.
Page 3 of 3

5-4.74 Disputes
Disputes
Contractor claims field office overhead,
home office overhead, or both, and
sends independent certified public
accountant (CPA) audit report to
resident engineer (RE)
Contractor
Table 5-4.5 - Audit Process
Claim is denied No
RE examines DDDC sends the DDDC

RE writes audit request,
independent CPA audit audit request to directs CE/
attaches independent CPA DDDC concurs
report : Does it comply Division of RE to
Yes audit report and sends to with the audit Yes
with Section 9-1.07B of Construction field process a
deputy district director of request?
the Standard coordinator for contract
construction (DDDC)
District
Specifications (SS)? approval change order
for payment
Construction
RE requests
contractor resubmit
No
OCA staff writes

prioritization Division of Construction field Attach final audit
Division of Division of
memo, coordinator requests DDDC to initiate report to audit
Construction field Construction field
From: chief, OCA CCO for payment in accordance with request, archive

coordinator Yes coordinator reviews
To: audit manager, Yes the overhead claim administration in the Division of
approves the audit report.
OAI delegation of authority for entitlement. Construction for 4
request? Does it have merit, if
(See Table 5-4.4 of Construction years
so, how much?
Manual)
Division of
Construction
Claim is No compensation
No
denied allowed
No
Auditor reviews Audit manager issues final audit report,

independent CPA Auditor discusses To: Division of Construction field
Auditor examines
audit report. draft findings/ coordinator ,
independent CPA audit
Auditor may deficiencies with Attn.: Chief, OCA
report to determine:
schedule an audit Yes RE (or Board of Auditor's report defines amounts of
Does it comply with
of contractor's Review Secretary, recoverable field office overhead,
Section
(OAI)
records and review if applicable) and unabsorbed home office overhead
9-1.07B of SS?
of project files, as contractor costs, and escalated costs incurred by
needed Auditor notifies RE contractor due to delays
Investigations
No and contractor
Office of Audits &

5-4.75
5-4.76
Receives
complaint in Hears both Contractor
arbitration and and Caltrans Issues arbitration
informs presentations at the findings
concerned arbitration hearing
parties
Office of
Hearing (OAH)
Administrative
Initiates
Table 5-4.6 - Arbitration Process
complaint in Receives notice of Receives payment; end

arbitration hearing date from OAH of arbitration case
with OAH
Contractor
Requests Reviews project
If decision requires payment,
Informs Division of access to records, and
Receives notice submits the request for Lessons
Construction and project records prepares for
of the hearing payment of the award or learned
district claims and additional hearing or
date form OAH settlement to Chief, Division
engineer information from considers
Legal
of Construction
Division
district settlement
Issues and approves Processes payment

Receives information
Interacts with Legal contract change order and coordinates
and updates
Division on settlement (CCO), and informs issuing and mailing
arbitration tracking
offers district to input CCO the check to
database
and run estimate contractor
Division of
Provides Runs estimate and
information and informs Division of
assistance to Construction
Legal Division
District
Construction Construction
Disputes
Table 5-4.7 - Arbitration Payment Process
y
Business Division of Construction Legal Service Division of Division of Outside Agency

Days Arbitration Specialist Other Center Accounting Budgets District (or Region) or Private Party
Arbitration award to
or settlement
Writes "Request
Office secretary for for Arbitration
the chief collects Award" or
signatures for settlement
agreement approval memo Arbitration
payment
point-of-contact
Receives approved
memo and settlement
agreement
G11 or G12 fund
request and approval
1–2 California
20–25 business days Transportation
Investigates Commission
Accounting
availability of 1–2 business days votes to approve
specialist Approves funds 30– 40
funds supplemental
request business days
funding
Point-of-contact
Funds
No 1– 2 business days coordinates funds
available?
request process.
Yes
1–40
Issues and approves Staff at CCO desk enters the

Contract Change change orderand the Extra Work
1–2 Order (CCO) 1– 2 business days Bill into the progress payment
accordance with the system. Staff at estimate desk
approved memo runs and flags the estimate.
1– 2 business days
The progress payment

Informed that progress administrator, Office of
payment has been Construction Practices,
forwarded; sends completes the progress
payment information payment schedule
1–2 (which consists of the
from Legal: payee
name, mailing address, estimate run, voucher, 1– 2 business days
and method of mailing and other required
documents)
1–2
Accounting State Controller's

specialist Office issues
1–2 1– 2 business days
processes check
the payment
Accounting
Files copy of check specialist sends
5–7 in specialist's 5– 7 business days check and copy
project records of check
Sends notice of
completion
Chief Deputy
director
Enters payment data

in the Construction Case
Assistant attorney Project
Arbitration
Chief manager
Management System
Contractor
Construction receives check
engineer
Chief, Office
of Contract Assistant
Administration Chief Counsel, Claims
contract law engineer
Construction
coordinator
Flowchart Legend
Input/ Document
Start/End Action Decision
Output
Fax E-mail US Mail Internal Mail

Disputes 5-4.77
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
5-511 Sample Provisions for Emergency Force Account

Contracts

Emergency Contract Administration 5-5.i
Section 5
Section 5 Emergency Contract Administration Emergency
Contract
Administration
5-501 General 5-501
An emergency contract is authorized by a director’s order. A director’s order is a General
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 director’s order for emergency
work. Director’s 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 $117,000.
For emergency work exceeding this threshold amount, the director or delegated deputy
director has approval authority.
For guidelines on director’s orders, go to the Caltrans Division of Maintenance
Intranet site at the following address:
http://onramp.dot.ca.gov/hq/maint/imms/index.htm
Deputy Directive 26, “Use of Director’s Orders,” also covers director’s 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 the Construction Manual (manual).
This section provides guidelines to assist resident engineers in administering
emergency force account contracts.
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 director’s order. The Office of Procurement and Contracts of the Division
of Administrative Services typically prepares and executes these service contracts.
The resident engineer becomes the contract manager on a force account contract
once work begins.
Form ADM-0366, “Confirmation of Verbal Agreement Other than for Equipment
Rental,” is the document that allows the contractor to begin work with verbal approval,
and the form obligates the contractor to enter into a service contract with Caltrans.

Emergency Contract Administration 5-5.1
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 In the description portion of Form ADM-0366, “Confirmation of Verbal Agreement
Other Than for Equipment Rental,” 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 9-1.03,
“Force Account Payment,” of the Caltrans Standard Specifications dated (year)
as amended by the attached provisions.”
For the current provisions for force account emergency contracts, see the end of this
section.
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
Engineer and of 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
• Current contractor’s 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.

5-5.2 Emergency Contract Administration
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,
“Confirmation of Verbal Agreement Other Than for Equipment Rental.” 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 director’s order may take several days to obtain. However, in severe emergencies Initial Stages of the
it is possible for the district maintenance unit to obtain verbal approvals by telephone Project
in less than a day from the director or delegated deputy director.
While the director’s 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 contractor’s 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 director’s order allows you to proceed with the emergency contract work. It Tracking Costs
describes the work’s scope and limits of the work, funding allocation, and duration.
You are legally allowed to authorize fund expenditures up to the director’s order
amount.
On emergency force account contracts, daily costs can be significant. Assistant
resident engineers 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.
For additional information on force account billing and record keeping, see Section
3-9, “Measurement and 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.
The following bullets list items either 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. Matches of the desired equipment and resources with 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 governor’s 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. You can obtain this list from the Division of
Construction or the Department of Conservation’s web site at the following
address: http://www.consrv.ca.gov/omr/SMARA/3098-list.)
5-509 5-509 Functional Unit Support

Functional Unit District management must assign a project manager to emergency contracts. The
Support project manager will assist the resident engineer in coordinating support from other
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 needs accurate project information. To provide Public Relations and
this information, follow the guidelines and procedures in Section 1-2, “Public Communication
Relations,” of this manual. When estimating completion dates, be realistically
conservative.
5-511 Sample Provisions for Emergency Force Account Contracts 5-511

Standard Specification modifications are required for emergency force account Sample Provisions
contracts. Use the following provisions as an attachment to Form ADM-0366, for Emergency
“Confirmation of Verbal Agreement Other Than for Equipment Rental”: Force Account
The first paragraph of Section 8-1.01, “Subcontracting,” of the Standard Contracts
Specifications, is amended to read as follows:
The contractor shall give personal attention to the fulfillment of the contract and
shall keep the work under the contractor’s control. For all purposes of this
contract, a subcontractor is defined as another contractor performing work for
the contractor.
Section 9-1.03, “Force Account Payment,” of the Standard Specifications, is
amended to read as follows:
When work is to be paid for on a force account basis, the labor, materials, and
equipment used in the performance of the work must be approved by the engineer,
and compensation will be determined as follows:
The fourth paragraph of Section 9-1.03A, “Work Performed by Contractor,” of
the Standard Specifications, is amended to read as follows:
If approved by the engineer, work performed for the contractor by a subcontractor
and paid for on a force account basis will receive an additional markup of 5
percent, which will be added to the total cost of that work, including all markups
specified in Section 9-1.03A. The additional 5 percent markup shall reimburse
the contractor for additional administrative costs, and Caltrans will not make
any other additional payment by reason of performance of the work.
Section 9-1.03A(1), “Labor,” of the Standard Specifications, is amended to add
the following:
Section 9-1.03A (1d), “Payment of Contractor’s Management Personnel”.
Payment of contractor’s management personnel working at the project site and
directly on emergency contract work will be made on a “value received” basis,
or based on tentatively “agreed upon hourly rates” to include actual base salary
costs before the emergency, current employee fringe benefit costs, employer
payroll taxes, and related insurance.
“Value received” payment will be made for owners or supervisory personnel at
the proper rate for the actual work performed (that is, personnel acting as foremen
would be paid at the normal rate for such foremen) and be subject to markups in
accordance with Section 9-1.03A(1).
“Agreed upon hourly rates” must not exceed $50 per hour ($104,000 per year).
The contractor must calculate such tentatively agreed upon hourly rates and bill
them on a provisional basis. Such rates are subject to adjustment at any time as
agreeable to both parties, or before final payment, and based on an audit by
Caltrans representatives. Such adjustment to the tentatively agreed upon hourly

rates can also be made after final payment, up to three years after acceptance of
contract work, and based on an audit by Caltrans representatives. A 15 percent
markup will be added to the agreed upon hourly rates to cover general and
administrative expenses (overhead) and profit.
The first paragraph of Section 9-1.03A(3), “Equipment Rental,” of the Standard
The Contractor will be paid for the use of equipment at the rental rates listed for
that equipment in the Caltrans publication entitled Labor Surcharge and
Equipment Rental Rates (Cost of Equipment Ownership). The rates used will be
those that are in effect on the date upon which the work is accomplished. The
rates are also a part of the contract, regardless of ownership and any rental or
other agreement, if such agreements may exist, for the use of that equipment
entered into by the contractor, except that the overtime and multiple shift
differentials shown in the publication Labor Surcharge and Equipment Rental
Rates (Cost of Equipment Ownership) shall not apply. All equipment will be
paid for at the straight time rate for all hours worked. For those pieces of
equipment that have a rental rate of $10 per hour or less, as listed in the Labor
Surcharge and Equipment Rental Rates (Cost of Equipment Ownership)
publication and that are rented from a local equipment agency, other than
contractor owned, the contractor will be paid at the hourly rate shown on the
rental agency invoice or agreement for the time used on force account work as
provided in Section 9-1.03A(3a), “Equipment on the Work,” Standard
Specifications. If the local equipment rental agency requires a minimum
equipment rental amount, the actual amount charged will be paid to the contractor.
The first paragraph of Section 9-1.03A(3b), “Equipment not on the Work,” of
the Standard Specifications, is amended to read as follows:
For the use of equipment moved in on the work and used exclusively for work
paid on a force account basis, the contractor will be paid the rental rates listed in
the Caltrans publication entitled Labor Surcharge and Equipment Rental Rates
(Cost of Equipment Ownership). The rates used will be those that are in effect
on the date upon which the work is accomplished. The rates are also a part of the
contract, or determined as provided in Section 9-1.03A(3), except that the
overtime and multiple shift differentials shown in the publication Labor
Surcharge and Equipment Rental Rates must not apply. All equipment will be
paid for at the straight time rate for all hours worked. The contractor will be paid
the cost of transporting the equipment to the location of the work and returning
the equipment to its original location, all in accordance with the following
provisions:
Section 9-1.03A(3c), “Owner-Operated Equipment,” of the Standard
Renting owner-operated equipment must conform to the provisions of Sections
9-1.03A(3), “Equipment Rental,” 9-1.03A(3a), “Equipment on the Work,” and
9-1.03A(3b), “Equipment not on the Work,” of the Standard Specifications,
except as follows:
Fully maintained and operated rental owner-operated equipment used in the
performance of work paid for on a force account basis will be paid for at the
same hourly rate paid by the contractor. The engineer will establish an hourly
rental rate to be paid. The contractor shall provide the engineer with complete
information on the hourly rental rates available for rental of fully maintained
and operated rental owner-operated equipment.

The provisions in Section 9-1.03A(1), “Labor,” of the Standard Specifications,
shall not apply to operators of rental owner-operated equipment.
To the total of the rental costs for fully maintained and operated rental owner-
operated equipment, including labor, Caltrans will add a markup of 15 percent.
An additional markup of 5 percent will be added by reason of the performance
of the work by a subcontractor. No separate markup will be made for labor.
Section 9-1.03B, “Work Performed by Special Forces or Other Special Services,”
of the Standard Specifications, is amended to read as follows:
A specialist may perform work when the engineer and the contractor, by
agreement, determine that the contractor’s forces or any of the subcontractors’
forces cannot perform some of the work, or when the engineer requests the
contractor to solicit bids. Invoices for the work based on the current market
price before the emergency, verifiable by audit by Caltrans representatives, or
based on lowest bid price, if bids are solicited, may be accepted without complete
itemization of labor, material, and equipment rental costs when the following
condition is met: When it is impracticable and not in accordance with the
established practice of the special service industry to provide a complete
itemization.
In those instances where a contractor must have work performed in a fabrication
or machine shop facility away from the job site, the charges for that portion of
the work performed in the facility may, by agreement, be accepted as a specialist
billing.
To the specialist invoice price, less a credit to the state for any cash or trade
discount offered or available, whether or not the discount may have been taken,
will be added 15 percent in lieu of the percentages provided in Section 9-1.03A,
“Work Performed by Contractor,” of the Standard Specifications.

Chapter 6 Sampling and Testing
Section 1 Sample Types and Frequencies
6-101 General
6-102 Types of Sampling and Testing

6-102A Preliminary Tests
6-102B Initial Samples and Tests
Table 6-1.1 Time Required for Source Testing
6-102C Acceptance Tests
Table 6-1.2 Turn Around Times for Acceptance Tests
6-102C (1) Priority of Testing Samples
6-102C (1a) Priority
6-102C (1b) Normal
6-102C (2) Certification of Samplers and Testers
6-102D Independent Assurance Sampling and Testing
6-102E Federal Highway Administration Samples and Tests
6-102F Special Samples and Tests
6-103 Acceptance Records
6-104 Test Result Summary
6-105 Field Tested Material Sample Identification
6-106 Contractor Requested Sampling and Testing from Local

Deposits
6-107 Shipping of Samples
6-108 Project Certification

Example 6-1.1 Project Certification Memorandum

Sample Types and Frequencies 6-1.i
6-109 Materials
Table 6-1.3 PORTLAND CEMENT CONCRETE (6) – PAVEMENT
Table 6-1.4 PORTLAND CEMENT CONCRETE (6) - BRIDGES & MAJOR
STRUCTURES (R.C.B., P.C.C. Arch Culverts, Retaining Walls)
Table 6-1.5 PORTLAND CEMENT CONCRETE MISCELLANEOUS CONCRETE
See Notes (6) and (9)
Table 6-1.6 LEAN CONCRETE BASE
Table 6-1.7 CEMENT TREATED BASE ROAD MIX OR PLANT MIX
Table 6-1.8 ASPHALT TREATED PERMEABLE BASE (ATPB)
Table 6-1.9 CEMENT TREATED PERMEABLE BASE (CTPB)
Table 6-1.10 MISCELLANEOUS MATERIALS

6-1.ii Sample Types and Frequencies
Section 1
Section 1 Sample Types and Frequencies Sample Types
and Frequencies
6-101 General 6-101
Sampling and testing materials or products and quality of work must be in strict General
accordance with contract specifications. Sampling and testing are of equal importance.
Samplers must be familiar with materials handling and processing methods as well
as contract requirements. Their knowledge of testing must be sufficient to ensure
compatibility between samples and test procedures.
It is the resident engineer’s responsibility to ensure the safety of the sampler. The
sampler should report any hazardous conditions encountered to the resident engineer.
The district weights and measures coordinator inspects material production plants
for safety in areas that the sampler will enter.
6-102 Types of Sampling and Testing 6-102

The following describes the different types of sampling and testing used by Caltrans. Types of Sampling
6-102A Preliminary Tests and Testing
Preliminary tests are tests made prior to award of a contract. Construction personnel
rarely sample for preliminary tests. Such tests are used for design purposes 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 tests determine whether proposed materials or products meet specifications.
Construction personnel may sample potential sources. Tests may be performed by
the district materials laboratory or the Office of Materials Engineering and Testing
Services, (METS) depending on their respective capabilities.
Soils and aggregate samples to be tested by METS must be forwarded by the district
materials laboratory. Do not send them directly to METS.
Sampling and testing potential source materials is not mandatory unless specified.
Charge the contractor for the cost of sampling and testing potential sources in
accordance with Section 6, “Control of Materials,” of the Standard Specifications.
The normal time required for complete testing of potential sources is as follows:
Table 6-1.1 Time Required for Source Testing

Aggregates for bituminous mixtures 2 weeks
Aggregates for cement treatment 4 weeks
Aggregates for concrete mixture 4 weeks
Aggregates for concrete pavement 60 days
Screenings 2 weeks
Soils 3 weeks
Untreated base materials 3 weeks

Sample Types and Frequencies 6-1.1
6-102C Acceptance Tests
Acceptance tests are tests performed on materials that will be incorporated into the
work. Sampling should begin as soon as the material is delivered or in place. Continue
acceptance testing as work progresses.
Sample materials entering the work at the locations specified in the Standard
Specifications or the special provisions. If the sampling location is not specified,
sample at the location indicated in the tables, at the end of this section. Sample
products such as portland cement concrete, concrete treated base, and asphalt concrete
randomly.
Turn around times required for specific acceptance tests performed by a Caltrans
materials laboratory are shown in the following table:
Table 6-1.2 Turn Around Times for Acceptance Tests

Priority tests Normal tests
Material (Work Days) (Work Days)
Aggregates for cement treatment
(R-Value only) 5 7
Aggregates for concrete 3 7
Aggregates to be mixed with
bituminous material in the lab 10 (priority only)
Base materials, untreated 7 12

Bituminous mixture 3 7
Asphaltic emulsion 3 15
Liquid asphalt 3 15
Paving asphalt 3 15
Portland cement 12 30
Screenings 3 7
Minimum Time
(Work 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

6-1.2 Sample Types and Frequencies
6-102C (1) Priority of Testing Samples
Mark all Form TL-0101s, “Sample Identification Card,” “Priority” or “Normal”.
6-102C (1a) Priority
Use the “priority” designation for the first few samples of each construction
material and all acceptance samples and tests of bituminous mixtures. Continue
using the priority designation until the resident engineer has assurance that the
material being produced is of consistent quality. Use the “priority” designation
for all samples if the material being supplied is of questionable quality or if the
operation or the source of the material changes.
Indicate if there is a preference for telephone, faxed, or e-mailed test results on

Form TL-0101, along with the telephone number of the person who is to receive
them.
6-102C (1b) Normal

For tests on samples from potential sources and for samples on materials entering
the work after the resident engineer has assurance that the material is of consistent
acceptable quality use the “normal” designation. Reports on tests with “normal”
designations are distributed by mail.
6-102C (2) Certification of Samplers and Testers

All acceptance testers require certification. No tests or samples are to be taken on
Caltrans projects unless the tester is certified in the test being performed.
Training and certification of samplers and testers is covered in detail in the
Independent Assurance Manual.
6-102D Independent Assurance Sampling and Testing
Independent assurance sampling and testing is the responsibility of the district
materials engineer. See the Independent Assurance Manual published by METS
for details. The district materials unit keeps results of independent assurance samples
and tests.
If any of the assurance tests fail, the tester will notify the resident engineer immediately
by telephone.
6-102E Federal Highway Administration Samples and Tests
When the project includes federal funding, a representative of the Federal Highway
Administration (FHWA) may select samples or sample locations. Label the sampling,
directed by FHWA, “FHWA Check Samples,” and send them to either the district
materials laboratory or METS for testing. FHWA, the district materials engineer,
and the resident engineer receive copies of test results for check samples.
6-102F Special Samples and Tests
Specific problems such as roadway failures, difficulty in achieving required densities,
or inconsistent test results, may require special samples and tests. When such material
problems are encountered, contact the district materials engineer. The district
materials engineer may request help from the Division of Construction or METS.
The unit that requests a research project will provide oversight for special
investigations and sampling.

6-103 6-103 Acceptance Records
Acceptance Records Keep records of all samples and tests in the project files as permanent job records.
Materials incorporated into the project, represented by failing tests, must be
documented in the project files also. 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.
6-104 6-104 Test Result Summary

Test Result Monitor acceptance testing by using form CEM-3701, “Test Result Summary.”
Summary Corrective action or retesting failing tests must be noted in the “Remarks” column
of the form.
6-105 6-105 Field Tested Material Sample Identification

Field Tested Prepare Form TL-0101, “Sample Identification Card,” in accordance with the
Material Sample following details:
Identification • Fill in every blank space with complete information, including the quantity and
lot of the material sampled.
• Distribute copies as shown on the form on the same day the sample is shipped.
• The “Location of Source” must clearly indicate the place where the sample was
obtained.
• For liquid asphalts, paving asphalts and asphaltic emulsions include the refinery
designations and shipment number. This data is available from the Certificate
of Compliance that accompanies the materials.
• For asphalt concrete samples, be sure to:
1. Identify the plant producing the material.
2. Include the type of mix and maximum size of aggregate represented by the
sample.
3. Under “Remarks,” include the grade and source of the bituminous binder
contained in the sample.
4. Under “Remarks,” record the percentage of bituminous binder designated
by the engineer.
• Be sure that the Sample Identification Card indicates the use for which the material
is intended so that the proper tests will be performed. This is especially important
for electrical conductors, as the applicable specifications depend on where and
how the conductor is to be used. Without this information, the testing engineer
does not know what specification to use in determining compliance.
• Indicate whether it is intended to crush oversize material or if any special blends
are contemplated for potential sources of aggregate testing.
• To protect the Sample Identification Card against moisture or stains, place it in
an oil and waterproof envelope.

6-106 Contractor Requested Sampling and Testing from Local Deposits 6-106
When charging the contractor for testing local materials as specified in Section 6-2, Contractor
“Local Materials,” of the Standard Specifications note this under “Remarks” on Requested Sampling
Form TL-0101. The district materials laboratory will advise the resident engineer of and Testing from
the amount of the charges.
Local Deposits
6-107 Shipping of Samples 6-107

When shipping samples from the job to the laboratory, use the most economical Shipping of Samples
mode of transportation available consistent with the time element involved. Do not
ship samples cash on delivery to METS.
6-108 Project Certification 6-108

Send a materials certification memorandum to the Division of Construction upon Project Certification
completion of each project. File a copy of the memorandum in the job files and
forward the original to the Division of Construction as soon as possible, preferably
with submission of the final or semifinal estimate. Note All non-conforming materials
on the memorandum. This includes materials accepted at reduced pay factors under
acceptance specifications.
For federally funded projects early submission of the memorandum is necessary to
expedite the submission of a voucher to FHWA.
A construction engineer must sign the materials certification memorandum.
An example materials certification memorandum follows:

Example 6-1.1 Project Certification Memorandum
State of California
Business Transportation and Housing Agency
Memorandum
To: ______________________
Divisision of Construction Date:
Attention: Progress Pay Coordinator File: Category 61
Job Stamp:
From: DEPARTMENT OF TRANSPORTATION
Subject: Materials Certification
This is to certify that:
The results of the tests on acceptance samples indicate that the materials incorporated in
the construction work and the construction operations controlled by sampling and testing
were in conformity with the approved plans and specifications
Exceptions to the plan and specifications are explained on the back of this memorandum
(or on attached sheet).
No Exceptions to the plans and specifications were found.

6-109
Materials
_________(signed by a Construction Engineer)________
6-109 Materials
The tables on the following pages provide a guide for sampling and testing
requirements.
Close adherence to the sample size requirement shown in the table will prevent
unnecessary delays and the expense of obtaining supplementary samples to complete
tests.
The frequency of sampling indicated in the tables is a guide under normal conditions.
Materials well within specifications and uniform in character may require less frequent
sampling and testing.
In the project files, document adjustments to the testing frequencies shown in the
tables.

PO R TLAN D C EM EN T C O N C R ETE,See N otes (6)(9)-PAVEM EN T PO TEN TIAL
6-1.8
SO U R C E TESTS AC C EPTAN C E TESTS
LO C ATIO N O R
SAM PLE SIZE & TIM E O F
M ATER IAL O R PR O D U C T TEST FO R TEST N O . C O N TAIN ER TYPE SAM PLIN G FR EQ U EN C Y O F SAM PLIN G R EM AR KS
LA R attler 1 forevery 3,000m 3,ifprelim inary tests
C O AR SE (500 R ev.)See 211 See N ote (3) See N ote (2) show abrasion loss greaterthan 40% . See
AG G R EG ATE N ote (6) N ote (1)
1 forevery 400m 3,1 perday

m in. See N otes (1)(7). If R ecom m end 1 acceptance testperday if3
C leanness Value 227
production is less than 250 m 3, consecutive tests over80
1 peraccum ulative 250 m 3
Aggregate producer
ASTM
subm its certified test
AlkaliSilica C 1293 or
results from qualified C ontactM ETS forlistofapproved sources
R eactivity ASTM
lab to M ETS for
C 1260
approval
O nly ifinitialtestshow s critical

FIN E C olom etric Test 213 See N ote (3) See N ote (2)
orcontam ination is suspected
AG G R EG ATE
M ortarStrength 515
1 forevery 400 m 3,See N otes
(1)(7). Ifproduction is less R ecom m end 1 acceptance testperday if3
Sand Equivalent 217
than 250 m 3,1 per consecutive tests over80
accum ulative 250 m 3
D urability 229
AG G R EG ATE
Table 6-1.3 PORTLAND CEMENT CONCRETE – PAVEMENT (1 of 3)

Sample Types and Frequencies
Specific G ravity & W hen aggregate source
C O AR SE & FIN E 206,207 See N ote (3) See N ote (2)
Absorption changes,See N ote (7)
AG G R EG ATE
Soundness forFine Aggregate w aived if
Soundness 214
durability is > 60

1 forevery 400 m 3,1 perday
m in.See N otes (1)(7). If
Sieve Analysis 202
production is less than 250 m 3,
Freeze-Thaw 528 See N ote (4) See N ote (5)

223 &/or m in.See N otes (1)(7). If
M oisture N otapplicable Sam ple m ustbe in an airtightcontainer
226 production is less than 250 m 3,
N one w ith 1 forevery 400 m 3,1 perday

Ifno C ertificate ofC om pliance,sam ple at
Various C ertificate of m in.See N otes (1)(7). If
C EM EN T 3.5 kg 3 least14 days priorto use forpreviously
Properties C om pliance (See production is less than 250 m ,
t
est ed brands,35 days foruntested brands
R EM AR KS)

C ity w atersupplies fordom estic use usually
C hlorides, 405,422, C lean 2-L plastic jug Atpointofuse (See As required foracceptance need notbe tested unless suspected ofhigh
W ATER
Sulfates 417 w ith lined,sealed lid. R EM AR KS) (See R EM AR KS) chloride orsulfate content. O n-job-w ells are
to be tested
Airentraining Sam ples m ust
AIR 1-L can orplastic As new supplies arrive on the
properties, ASTM reach M ETS at
EN TR AIN IN G bottle ofliquid,1 kg job oreach tim e brand is
chloride C 260 least1 w eek priorto
AG EN T ofpow der changed
identification use
Priorto sam pling and testing,check w ith
Sam ples m ust
M ETS forbrands thatm ay be used w hen
W ATER C laim ed reach M ETS at
properly certified
R ED U C ER S O R properties, ASTM 1-L can ofliquid,1 least1 w eek priorto
AD M IXTU R ES
SET chloride C 494 kg ofpow der use,untested
R ETAR D ER S identification brands require 5
Table 6-1.3 PORTLAND CEMENT CONCRETE – PAVEMENT (2 of 3)
w eeks priorto use
6-1.9
6-1.10
See testm ethod. Ifyield testused forpaym ent,1 pereach
Yield 518 1 foreach 4 hours production
C O N C R ETE See N ote (8) 1200 m 3,m in.or2 perm ix design perjob
W hen testspecim en is
fabricated and w hen
BallPenetration 533 See ASTM C 172
consistency oruniform ity is
questionable,m in 2 perday
1 setof3 beam s 150

R ecom m end m in.2 sets pershift. N orm ally,
x 800 m m (m in.)for
from each set,break 1 beam at7 days,1
M odulus of centerpointloading
523 1 setforeach 3,000 m 3 beam at10 days,and 3rd beam as required,
R upture and 150 x 150 x 510
50% decrease after10 sets ifallin
m m (m in.)forthird-
com pliance
pointloading
As required,m in.once every 4 W here specified forfreeze thaw resistance,

AirC ontent 504 hours,each tim e 518 is acceptance testing shallnotbe less than
perform ed once every hour
C oarse As required to assure uniform ity
aggregate perm 3 529 45 kg ofconcrete,see Standard
ofconcrete Specifications,Section 90-6.01
As required,see Standard
Thickness 531
Specifications,Section 40-1.35
C om pliance (See
Standard Forchlorinated rubberbase type,sam ple
PIG M EN TED C U R IN G As new shipm ents arrive on job
Specifications & 1-L can and testifnotpreviously inspected atthe
C O M PO U N D oreach tim e brand is changed
special source
provisions)
N ote:
(1) N otrequired ifP.C .C .from sam e source is used on otherw ork and testis being m ade there. N o need to duplicate the testjustforthe sake ofrecord. The actualtestresults m ay be used anyw here they are applicable.
(2) From m aterialsite orstockpile:60 days priorto use.
(3) 70 kg of63 m m x 37.5 m m -45 kg of37.5 m m x 19 m m -35 kg of19 m m x N o.4-35 kg ofpea gravel-25 kg ofsand. This m aterialfortestnum bers 202,206,207,211,213,214,217,227,229
and 515.
(4) See C alifornia TestN o.528 orcontactthe O ffice ofM aterials Engineering and Testing Services (M ETS).
(5) C ontactdistrictm aterials engineerforspecialsam pling procedures atleast120 calendardays before intended use.
(6) Forlightw eightconcrete,see Standard Specifications and specialprovisions.
(7) W hen priortestresults are acceptable and m aterialappears to be ofuniform com position,a m ax.of2 tests perday w illsatisfy acceptance testrequirem ents forthis m aterial. Adjustm ents to testing frequencies shallbe
docum ented in the projectfiles.
(8) N o deductions forcem entcontentw illbe m ade based on the results ofC alifornia TestN o.518.
(9) See C alifornia TestN o.125 forsam pling procedures.
Table 6-1.3 PORTLAND CEMENT CONCRETE (6) – PAVEMENT (3 of 3)

PO R TLAN D C EM EN T C O N C R ETE,See N otes (6)(9)-BR ID G ES & M AJO R PO TEN TIAL
STR U C TU R ES (R .C .B.,P.C .C Arch C ulverts,R etaining W alls) SO U R C E TESTS AC C EPTAN C E TESTS
LO C ATIO N O R
M ATER IAL O R SAM PLE SIZE & TIM E O F
PR O D U C T TEST FO R TEST N O . C O N TAIN ER TYPE SAM PLIN G FR EQ U EN C Y O F SAM PLIN G R EM AR KS
LA R attler
C O AR SE (500 R ev.) See 211 See N ote (3) See N ote (2)
AG G R EG ATE N ote (6)
m in.See N otes (1)(7). If R ecom m end 1 acceptance testperday

production is less than 250 m 3,1 if3 consecutive tests over80
peraccum ulative 250 m 3.
Aggregate producer
ASTM
subm its certified test
AlkaliSilica C 1293 or C ontactM ETS forlistofapproved
results from qualified
R eactivity ASTM sources
lab to M ETS for
C 1260
approval
O nly ifinitialtestshow s criticalor
contam ination is suspected
AG G R EG ATE
M ortarStrength 515

(1)(7). Ifproduction is less than R ecom m end 1 acceptance testperday
Sand Equivalent 217
250 m 3,1 peraccum ulative 250 if3 consecutive tests over80

m3
AG G R EG ATE
D urability 229
C O AR SE &
Specific G ravity & W hen aggregate source
FIN E 206,207 See N ote (3) See N ote (2)
(R.C.B., P.C.C. Arch Culverts, Retaining Walls) (1 of 3)
Absorption changes,See N ote (7)

AG G R EG ATE
Soundness 214
durability is > 60
(1)(7). Ifproduction is less than
Sieve Analysis 202
250 m 3,1 peraccum ulative 250
m3

Table 6-1.4 PORTLAND CEMENT CONCRETE (6) - BRIDGES & MAJOR STRUCTURES
223 &/or m in.See N otes (1)(7). If

M oisture N otapplicable Sam ple m ustbe in an airtightcontainer
226 production is less than 250 m 3,1
peraccum ulative 250 m 3
6-1.11
N one w ith 1 forevery 400 m 3,1 perday Ifno C ertificate ofC om pliance,sam ple
Various C ertificate of m in.See N otes (1)(7). If atleast14 days priorto use for
6-1.12
C EM EN T 3.5 kg
Properties C om pliance (See production is less than 250 m 3,1 previously tested brands,35 days for
R EM AR KS) peraccum ulative 250 m 3 untested brands
C ity w atersupplies fordom estic use
C hlorides, 405,422, C lean 2-L plastic jug Atpointofuse As required foracceptance (See usually need notbe tested unless
W ATER
Sulfates 417 w ith lined,sealed lid (See R EM AR KS) R EM AR KS) suspected ofhigh chloride orsulfate
content. O n-job-w ells are to be tested
Airentraining Sam ples m ust
AIR 1-L can orplastic
properties, ASTM reach M ETS at As new supplies arrive on the job
EN TR AIN IN G bottle ofliquid,1 kg
chloride C 260 least1 w eek prior oreach tim e brand is changed
AG EN T ofpow der
identification to use
Priorto sam pling and testing,check
Sam ples m ust
w ith M ETS forbrands thatm ay be used
W ATER C laim ed reach M ETS at
w hen properly certified
R ED U C ER S properties, ASTM 1-L can ofliquid,1 least1 w eek prior
AD M IXTU R ES
O R SET chloride C 494 kg ofpow der to use,untested
R ETAR D ER identification brands require 5
w eeks priorto use
As necessary to assure accuracy

See testm ethod.
Yield 518 See ASTM C 172 ofm ix design;m in.2 pereach
See N ote (8)
m ix design
C O N C R ETE
W hen testspecim en is
fabricated & w hen consistency or
BallPenetration 533
uniform ity is questionable,m in.2
perday
ASTM C oncrete placed underw ater,seal
Slum p
C 143 course
1 setforapproxim ately every 250

m 3 concrete oras required for
1 setof125 x 250 Fortrialbatches,see Standard
C om pressive ASTM acceptance. M in.1 setperjob
m m cylinders for See ASTM C 172 Specifications orjob specialprovisions
Strength C 172,540 and class ofconcrete foreach
each test and Section 6-3 ofthis m anual
days production ofcritical
structuralelem ents
M in.once every 4 hours of

W here airis specified forfreeze-thaw
AirC ontent 504 production and w hen test
resistance,a m in.of1 pereach 25 m 3
specim ens are fabricated
C oarse As required to assure uniform ity

aggregate perm 3 529 ofconcrete,see Standard
ofconcrete Specifications,Section 90

From batch
im m ediately after
m ixing for
Atthe startofeach day's w ork
PR ESTR ESSED 1-125 x 250 m m prequalification, R epeatacceptance tests w henever
Efflux tim e 541 and thereafter1 testpereach
TEN D O N G R O U T cylinderm old can thereafterfrom source ofm aterialis changed
5% ofducts

outletend of
tendon and/or
storage tank
C om pliance (See
Standard
PIG M EN TED C U R IN G Periodically to ensure
Specifications 1-L C an
C O M PO U N D com pliance
and special
provisions)
N ote:
(1) N otrequired ifP.C .C .from sam e source is used on otherw ork and testis being m ade there. N o need to duplicate the testjustforthe sake ofrecord. The actualtestresults m ay be used anyw here they are
applicable.
(2) From m aterialsite orstockpile;60 days priorto use.
(3) 70 kg of63 m m x 37.5 m m -45 kg of37.5 m m x 19 m m -35 kg of19 m m x N o.4-35 kg ofpea gravel-25 kg ofsand. This m aterialfortestnum bers 202,206,207,211,213,217,227 229
and 515.
(4)See C alifornia TestN o.528 orcontactthe O ffice ofM aterials Engineering and Testing Services (M ETS).

(7) W hen priortestresults are acceptable and m aterialappears to be ofuniform com position,a m ax.of2 tests perday w illsatisfy acceptance testrequirem ents forthis m aterial. Adjustm ents to testing frequencies
shallbe docum ented in the projectfiles.
6-1.13
PO R TLAN D C EM EN T C O N C R ETE M ISC ELLAN EO U S C O N C R ETE,See PO TEN TIAL
N otes (6)(9)(10) SO U R C E TESTS AC C EPTAN C E TESTS
6-1.14
LO C ATIO N O R
M ATER IAL O R SAM PLE SIZE & TIM E O F
PR O D U C T TEST FO R TEST N O . C O N TAIN ER TYPE SAM PLIN G FR EQ U EN C Y O F SAM PLIN G R EM AR KS
LA R attler
C O AR SE (500 R ev.)See 211 See N ote (3) See N ote (2)
1 forevery 400m 3,1 perday m in.
See N otes (1)(7). Ifproduction is R ecom m end 1 acceptance testperday if
C leanness value 227
less than 250 m 3,1 per 3 consecutive testover80
3
accum ulative 250 m
O nly ifinitialtestshow s criticalor
contam ination is suspected
AG G R EG ATE
M ortarStrength 515
1 forevery 400 m 3,See N otes (1)

R ecom m end 1 acceptance testperday if
Sand Equivalent 217 (7). Ifproduction is less than 250
3 consecutive tests over80
m 3,1 peraccum ulative 250 m 3
D urability 229
C O AR SE &
Specific G ravity & W hen aggregate source changes,
FIN E 206,207 See N ote (3) See N ote (2)
AG G R EG ATE
Absorption See N ote (7)
AG G R EG ATE
Soundness 214
durability is > 60

Sieve Analysis 202 (7). Ifproduction is less than 250

223 &/or
M oisture N otapplicable (7). Ifproduction is less than 250 Sam ple m ustbe in an airtightcontainer
226
Table 6-1.5 PORTLAND CEMENT CONCRETE MISCELLANEOUS CONCRETE
N one w ith 1 foreach 400 m 3 used. 1 per Ifno certificate ofC om pliance,sam ple at
C EM EN T Various C ertificate of day m in.,2 perday m ax. See least14 days priorto use forpreviously
3.5 kg
See N ote (6) Properties C om pliance (See N ote (1). See Section 6-2 ofthis tested brands,35 days foruntested
R EM AR KS) m anual brands

C ity w atersupplies fordom estic use
C hlorides, 405,422, C lean 2-L plastic jug Atpointofuse (See As required foracceptance (See usually need notbe tested unless
W ATER
Sulfates 417 w ith lined,sealed lid. R EM AR KS) R EM AR KS) suspected ofhigh chloride orsulfate
content. O n-job-w ells are to be tested
Airentraining
AIR 1-L can orplastic Sam ples m ust
properties, ASTM As new supplies arrive on the job
EN TR AIN IN G bottle ofliquid,1 kg reach M ETS atleast
chloride C 260 oreach tim e brand is changed
AG EN T ofpow der 1 w eek priorto use
identification
Priorto sam pling and testing,check w ith
Sam ples m ust
M ETS forbrands thatm ay be used w hen
W ATER C laim ed reach M ETS atleast

properly certified
R ED U C ER S properties, ASTM 1-L can ofliquid,1 1 w eek priorto use,
AD M IXTU R ES
O R SET chloride C 494 kg ofpow der untested brands
R ETAR D ER S identification require 5 w eeks
priorto use
As necessary to assure accuracy
Yield,C em ent See testm ethod, Ifyield testused forpaym ent,1 pereach
518 See ASTM C 172 ofm ix design,m in.2 pereach
Factor See N ote (8) 1200 m 3,m in.of2 perm ix design perjob
C O N C R ETE m ix design
W hen testspecim en is fabricated
BallPenetration 533 & w hen consistency oruniform ity
is questionable,M in.2 perday
ASTM
Slum p C oncrete placed underw ater
C 143
O ne setforeach day w hen

ASTM
C om pressive 1 setof125 x 250 volum e exceeds 20 m 3,See N ote
C 172 ,
Strength m m cylinders (1). N one iftotaldays run less
540
than 20 m 3
W here specified forfreeze-thaw
AirC ontent 504 As required. See specifications.
resistance
N ote:
(1) N otrequired ifP.C .C .from sam e source is used on otherw ork and testis being m ade there. N o need to duplicate the testjustforthe sake ofrecord. The actualtestresults m ay be used anyw here they are applicable.
(2) From m aterialsite orstockpile;60 days priorto use.
(3) 70 kg of63 m m x 37.5 m m -45 kg of37.5 m m x 19 m m -35 kg of19 m m x N o.4-35 kg ofpea gravel-25 kg ofsand. This m aterialfortestnum bers 202,206,207,211,213,217,227 229 and 515.
(4)See C alifornia TestN o.528 orcontactthe O ffice ofM aterials Engineering and Testing Services (M ETS).
(6) Form inorconcrete,sam ple and testonly atresidentengineer's discretion.
(7) W hen priortestresults are acceptable and m aterialappears to be ofuniform com position,a m ax.of2 tests perday w illsatisfy acceptance testrequirem ents forthis m aterial. Adjustm ents to testing frequencies shallbe
docum ented in the projectfiles.
Table 6-1.5 PORTLAND CEMENT CONCRETE MISCELLANEOUS CONCRETE cont.

6-1.15
6-1.16
ASPH ALT C O N C R ETE,See N otes (2)(3) PO TEN TIAL
LO C ATIO N O R
M ATER IAL O R SAM PLE SIZE & TIM E O F FR EQ U EN C Y O F
PR O D U C T TEST FO R TEST N O . C O N TAIN ER TYPE SAM PLIN G SAM PLIN G R EM AR KS
M aterials site,
LA R attler Type A & B As necessary for
211 stockpile,orplant,
AG G R EG ATE PR IO R TO (500 R ev.) U N PR O C ESSED acceptance,See N ote (8)
See N ote (7)
M IXIN G 115 kg
Specific G ravity
(coarse and fine 206,208 PR O C ESSED 25 kg
aggregate) ofeach bin size
C KE 303
% C rushed
205
Particles O pen graded 25 kg
1 foreach 450 tonnes,1
perday m in.,2 perday
m ax,See N otes (1)(4)(5).
Sieve Analysis 202,105 Ifproduction is less than
750 m 3,1 per
accum ulative 250 m 3
Sand Equivalent 217
As necessary for M ade on open graded asphaltconcrete
Film Stripping 302
acceptance only
In accordance Testifno
Table 6-1.6 ASPHALT CONCRETE
PAVIN G ASPH ALT, w ith applicable C ertifications of

LIQ U ID ASPH ALT, section of Asphalt1-L can C om pliance. O nce daily,See N ote (6)
ASPH ALTIC EM U LSIO N Standard Asphaltline,See
Specifications N ote (6)
Testifno
C ertification of
Em ulsion 2-L plastic
com pliance. Each Shipm ent
jug
Em ulsion Storage
Tank

As necessary for W hen less than a totalof450 tonnes is to
D G AC
Sw ell 305 inform ation and/or be placed,sam ple and testonly at
7 KG C AR TO N
C O M PLETE M IXTU R E acceptance residentengineers discretion
M oist,Vapor O G AC
307 TotalSam ple:
Susceptibility 1-L can

Stabilom eter 366 D G AC : FourC artons (about30 kg)
Sieve Analysis 202 O G AC : Four1-L cans (about6 kg)
310,362, 1 foreach 450 tonnes,2
AsphaltC ontent
379 perday m in.
M oisture 310,370
As specified orlot 1 sam ple representing
In-Place D ensity 375
size each 4 hours ofproduction
M ax.D ensity 375 Tw o 7-kg cartons As perC alifornia Test375

N ote:
(1) O n sm allerprojects being supplied from sources currently in use on largerprojects,a copy ofthe acceptance testinform ation on asphaltconcrete aggregate is allthatis required.
(3) W hen specialprovisions state thatproduction shallbe "from com m ercialquality asphaltand aggregate",sam ple and testonly atresidentengineers discretion.

(4) N otrequired ifP.C .C .from sam e source is being used on otherw ork and testis being m ade there. N o need to duplicate tests,results m ay be used anyw here they are applicable.
(5) W hen priortestresults are acceptable and m aterialappears to be ofuniform com position,a m ax.of2 tests perday w illsatisfy acceptance testrequirem ents forthis m aterial. Adjustm ents to testing
frequencies shallbe docum ented in the projectfiles.
(6) W hen continuous m ixing plants used,sam ple and testforspecific gravity atleastm onthly.
(7) W hen sam pling forAC m ix design (C alifornia TestN o.367),aggregate sam ples m ustbe taken from the com bined feed in advance ofm ixing,forbatch m ixing,sam ples from hotbins.
(8) R eferto Standard Specifications 39-3.03, "Proportioning" forfrequency ofAC m ix design (C alifornia TestN o.367)sam pling.
Table 6-1.6 ASPHALT CONCRETE cont.
6-1.17
LEAN C O N C R ETE BASE,See N ote (2) PO TEN TIAL
6-1.18
LO C ATIO N O R
1 sam ple foreach 2500
45 kg foraggregate M aterials site or
Sand Equivalent 217 tonnes or1500 m 3,See
qualification stockpile
Sieve Analysis 202,105
C om pressive
strength of
laboratory
m ixtures, 548
recom m ended
m in.cem ent
content
N one w ith Ifno C ertificate ofC om pliance,sam ple at
Various C ertificate of least14 days before use forpreviously
Each 100 tonnes of
C EM EN T 3.5 kg
Properties C om pliance (See tested brands,35 days foruntested
cem ent,2 perday m ax.
R EM AR KS) brands
C ity w atersupplies fordom estic use need
C hlorides, 405,422, C lean 2-L plastic jug Atpointofuse As required foracceptance notbe tested unless suspected ofhigh
W ATER
Sulfates 471 w ith lined,sealed lid (See R EM AR KS) (See R EM AR KS) chloride orsulfate content. O n-the-job
w ells are to be tested
Airentraining
AIR 1-L can orplastic
properties, ASTM Sam ples m ust
EN TR AIN IN G bottle ofliquid,1 kg
chloride C 260 reach M ETS at Priorto sam pling and testing,contact
AG EN TS ofpow der As new supplies arrive on
Table 6-1.7 LEAN CONCRETE BASE
identification least1 w eek prior M ETS forbrands w hich m ay be used prior

the job oreach tim e brand
to use,untested to sam pling and testing w hen properly
is changed
brands require 5 certified
W ATER C laim ed
AD M IXTU R ES
w eeks priorto use
R ED U C ER S properties, ASTM 1-L can ofliquid,1 kg
O R SET chloride C 494 ofpow der
R ETAR D ER S identification

Atleastonce forevery 4
BallPenetration 533 See ASTM C 172
C O M PLETED M IXTU R E hours ofproduction
Atleastonce foreach
AirC ontent 504
day's production
D im ensions As required

As new shipm ents arrive
C om pliance w ith
C U R IN G C O M PO U N D 1-L can on job oreach tim e brand
specifications
is changed
N ote:
(1) Ifm aterialis uniform and w ellw ithin specification lim its,the frequency is decreased to 1 a day unless source is changed. Adjustm ents to testing frequencies shallbe docum ented in the projectfiles.

Table 6-1.7 LEAN CONCRETE BASE cont.
6-1.19
C EM EN T TR EATED BASE R O AD M IX O R PLAN T M IX,See N ote (2) PO TEN TIAL
6-1.20
LO C ATIO N O R
R -Value (w ith & 45 kg foraggregate M aterials site or
301 C lass B only
AG G R EG ATE w ithoutcem ent) qualification stockpile
C om pressive
312 C lass A
Strength
M inim um 1 acceptance testperprojecton
Sieve Analysis 202,105 tonnes or1500 m 3,See
sm allerprojects
N ote (1)
Sand Equivalent 217
C om pressive See C alifornia Test See Section 4-27 ofthis
312
C O M PLETED M IX Strength 312 PartII m anual
As necessary for
See C alifornia Test U se m in.of1 person fulltim e during full-tim e
C em entTitration 338 acceptance (See
338 PartI operation
R EM AR KS)
R elative 312,216,
tonnes or1500 m 3,See
C om paction 231
N ote (1)
As necessary for
Thickness
inform ation
N one w ith
Ifno C ertificate ofC om pliance,sam ple at
Various C ertificate of Each 100 tonnes ofcem ent,
C EM EN T 3.5 kg least14 days before use forpreviously tested
Properties C om pliance (See 2 perday m ax.
brands,35 days foruntested brands
R EM AR KS)
C ity w atersupplies fordom estic use need not
C hlorides, 405,422, C lean 2-L plastic jug Atpointofuse (See As required foracceptance be tested unless suspected ofhigh chloride or
W ATER
Sulfates 417 w ith lined,sealed lid R EM AR KS) (See R EM AR KS) sulfate content. O n-the-job w ells are to be
tested
N one w ith
In accordance C ertificate of
w ith special C om pliance. Ifno
LIQ U ID ASPH ALT provisions & 1-L can C ertificate of Each Shipm ent
Standard C om pliance,then
Table 6-1.8 CEMENT TREATED BASE ROAD MIX OR PLANT MIX
Specifications from storage tank of

distributortruck
N ote:
(1) Ifm aterialis uniform and w ellw ithin specification lim its,the frequency is decreased to 1 perday unless source is changed. Adjustm ents to testing frequencies shallbe docum ented in the projectfiles.

ASPH ALT TR EATED PER M EABLE BASE (ATPB),See N ote (1) PO TEN TIAL
LO C ATIO N O R
AG G R EG ATE G rading 202 25 kg M aterials site, 2 tim es daily
% C rushed stockpile orplant As necessary for
205
Particles bins acceptance
LA R attler O nce per4 hours of
211
(500 R ev.) production

1 forevery 5 days paving, R ecom m end 1 acceptance testperday if
for1st10 days 3 consecutive testover62
Film Stripping 302
In accordance Testonly ifno
ASPH ALT w ith 1-L can C ertification of O ne daily
specifications C om pliance
1 forevery 4 hours of
C O M PLETED M IX AsphaltC ontent 310,362 Tw o 1-L cans
production
C EM EN T TR EATED PER M EABLE BASE (C TPB)

O nce foreach 4 hours of
G rading 202 See N ote (2) See N ote (3)

AG G R EG ATE production,See N ote (4)
LA R attler
211
(500 R ev.)
O ne foreach 4 hours of R ecom m end 1 acceptance testperday if
production,See N ote (4) 3 consecutive testover80
N one w ith
O nce foreach 100 tonnes,
C EM EN T Various tests 3.5 kg C ertificate of
2 perday m ax.
C om pliance
C ity w atersupplies fordom estic use need
C hlorides, 405,422, C lean 2-L plastic jug Atpointofuse As required foracceptance notbe tested unless suspected ofhigh
W ATER
Sulfates 417 w ith lined,sealed lid (See R EM AR KS) (See R EM AR KS) chloride orsulfate content. O n-the-job
Table 6-1.9 ASPHALT TREATED PERMEABLE BASE (ATPB)
Table 6-1.10 CEMENT TREATED PERMEABLE BASE (CTPB)
w ells are to be tested
N ote:
(2) 35 kg of0.30 m N o.19 m m x N o.4. This m aterialfortestnum ber202,211 and 227.
(3) From m aterialsite orstockpile,60 days priorto use.
(4) N otrequired ifP.C .C from sam e source is used on otherw ork and testis being m ade there. N o need to duplicate the testjustforthe sake ofrecord. The actualtestresults m ay be used anyw here they are
6-1.21
applicable.
M ISC ELLAN EO U S M ATER IALS,See N ote (3) PO TEN TIAL
6-1.22
LO C ATIO N O R
% C rushed 45 kg forinitial M aterials site or As necessary for
205 M inim um 1 acceptance testperproject
AG G R EG ATE BASE Particles sam ples, stockpile acceptance
25 kg forcontrol Every 2500 tonnes or1500
Sieve Analysis 202
sam ples m 3,See N ote (1)
Ifinitialsource changes or
D urability Index 229
new source developed
Every 2500 tonnes or1500
R -Value 301
m 3,See N otes (1)(2)
Sand Equivalent 217
m 3,See N ote (1)
2 tim es daily ifpaid forby
M oisture 226
w eight
R elative As necessary for
216 or231 15 kg
C om paction acceptance
D im ensions
M aterials site or Every 2500 tonnes or1500
Sieve Analysis 202 25 kg M inim um 1 acceptance testperproject
AG G R EG ATE SU BBASE stockpile m 3,See N ote (1)
R -Value 301
m 3,See N otes (1)(2)
Sand Equivalent 217
m 3,See N ote (1)
216 or231 15 kg
D im ensions
N ote:
(1) Ifm aterialis uniform and w ellw ithin specification lim its,the frequency is decreased to 1 perday unless source is changed. Adjustm ents to testing frequencies shallbe docum ented in the projectfiles.
(2) R -Value testing m ay be w aived w hen testrecords dem onstrate thatm aterialfrom the sam e source,and having com parable grading and sand equivalentvalues,m eets the m inim um R -Value requirem ents.

M ISC ELLAN EO U S M ATER IALS,See note (2) PO TEN TIAL
LO C ATIO N O R
R elative
IM PO R TED BO R R O W 216,231 15 kg As required foracceptance
C om paction
Testm aterial
below grading
R -Value 301 25 kg
plane both in cut

BASEM EN T SO IL and in fill
216,231 15 kg
G rade Tolerance
216,231 15 kg
EM BAN KM EN T C om paction acceptance
SO IL O R N ative soils,test
U nconfined
AG G R EG ATE each type of
C om pressive 373 45 kg Ifinitialsource changes To determ ine appropriate lim e content
TO BE m aterialto be
Strength
TR EATED treated
C O M PLETED As necessary for
Lim e C ontent 338 10 kg
M IX acceptance
R elative
216,231 In place aftercom paction

C om paction
D im ensions
N one w ith
Various 2-L can w ith friction
LIM E C ertificate of Each load delivered
Properties lid
C om pliance
N one w ith
C ertificate of
EM U LSIO N C om pliance. Ifno

Various
LIM E TR EATM EN T,See N ote (1)

(C U R IN G 2-L plastic jug C ertificate of Each shipm ent
Properties
SEAL) C om pliance,then
from storage tank
ofdistributortruck
N ote:
(1) N otto be used forthe lim e treatm entofAC aggregates.
6-1.23
M ISC ELLAN EO U S M ATER IALS,See N ote (2) PO TEN TIAL
6-1.24
LO C ATIO N O R
N one w ith
LIQ U ID Various
1-lC AN C ertificate of Each shipm ent
ASPH ALT Properties
C om pliance
M aterials site or As necessary for

SAN D Sieve Analysis 202 2.5 kg
stockpile acceptance
TR EATM EN T
PEN ETR ATIO N
Asphalt1-L can, N one w ith
PAVIN G Various
Em ulsion 2-L plastic C ertificate of Each shipm ent
ASPH ALT Properties
jug C om pliance
LIQ U ID
ASPH ALT, Binder
339
ASPH ALTIC D istribution
EM U LSIO N
As necessary for
LA R attler 211 25 kg Stockpile
SC R EEN IN G S acceptance
% C rushed
205
Particles
Sieve Analysis 202,105 Tw ice daily
As necessary for
Film Stripping 302
acceptance
BITU M IN O U S SEALS
C leanness Value 227 O nce daily
SLU R R Y As necessary for
Sand Equivalent 217 12.5 kg Stockpile
SEAL acceptance
AG G R EG ATE Sieve Analysis 202
Film Stripping 302

In accordance
SO LID O R SEM ISO LID
w ith Standard 1.5 kg Barrels orsacks Each 29 barrels orsacks
AIR R EFIN ED ASPH ALT
Specifications
1 daily oras required for
Sieve Analysis 202 70 KG Stockpile
PER M EABLE M ATER IAL acceptance
Ifinitialsource changes or
new source developed
1 daily oras required for
Sand Equivalent 217

acceptance

Sieve Analysis 202 25 KG M aterials site As required foracceptance
STR U C TU R E BAC KFILL
Sand Equivalent 217
R elative
216 or231

C om paction
Adequate size ofslope protection
As required foracceptance
Size Q uarry docum ented by m easuring orw eighing the
(See R EM AR KS)
SLO PE PR O TEC TIO N m aterial
ApparentSpecific
206
G ravity
Absorption 206
D urability Index 229 35 kg
ASBESTO S SH EET Sam ple and testifnotpreviously
300 x 300 m m 1 each lot
PAC KIN G inspected atthe source
C ontactM ETS for C ontactM ETS for Sam ple and testifnotpreviously
ASPH ALT PLAN K
instructions instructions inspected atthe source
Sam ple and testifnotpreviously
BAR BED W IR E 1 m length Each 50 rolls orfraction inspected atthe source. Ifless than 150

m offence,See N ote (1)
BO LTS AN D 2 sam ples each Sam ple and testifnotpreviously
Each lot
H AR D W AR E diam eter inspected atthe source
N ote:
(1) R esidentengineerm ay accepton the basis ofvisualexam ination provided the source has recently furnished sim ilarm aterialfound to be satisfactory underthe norm alsam pling and testing procedures of
the D epartm ent. Place residentengineer's w ritten approvalin the projectfile.
Table 6-1.13 MISCELLANEOUS MATERIALS cont.
6-1.25
6-1.26
M ISC ELLAN EO U S M ATER IALS PO TEN TIAL
LO C ATIO N O R
C om pliance w ith C ontactM ETS for
BR IC K 10 fullsize
specifications instructions
C H AIN LIN K FEN C IN G 0.6 m w idth Each 50 rolls orfraction
inspected a source. Ifless than 105 M of
fence,See note (1)
C O N C R ETE AN D C LAY C ontactM ETS for C ontactM ETS for
inspected a source. Ifless than 30 M of
PIPE instructions instructions
fence,See note (1)
2
JO IN T FILLER 150 m m long full Each 100 m notless than
EXPAN SIO N inspected a source. Ifless than 10 M 5 of
w idth ofsheet 2 pershipm ent
fence,See note (1)
ELEC TR IC AL 2 each 75 m m long,
Each type each lot inspected atsource. C ertificate of
C O N D U C TO R include m arkings
C om pliance required for5000 V cable.
300 m m length from
Each 500 lengths or Sam ple and testifnotpreviously
G ALVAN IZED PIPE each end oflength
fraction inspected atthe source
tested ofeach size
G EO -SYN TH ETIC S
C ertificate ofC om pliance required for
FILTER ,R EIN FO R C ED & 1 piece,1 m x full
Each lot each lot. U nrollatleast1 circum ference
PAVIN G FABR IC S/R w idth ofroll
before sam pling.
FEN C E,ETC .
C ontactM ETS
JO IN T SEAL,TYPE B inspected atthe source
JO IN T SEALIN G
C O M PO U N D 2- 1-L ofeach 1 sam ple from each
C O M PO N EN T com ponent com ponentofeach batch

PO LYSU LFID E
PO LYU R ETH AN E
M O PPIN G ASPH ALT 1-L Each lot

Forbridge orm ajor
structure,send an
unopened 20-L can. U nused portion of20-L sam ple w illbe
C om pliance w ith
PAIN T Form iscellaneous Each batch returned to job. See Section 6-2 in this
specifications
pointing,1-L (see m anual. Ifless than 75-L,See N ote (1).
Section 6-2 in this
m anual)

1 sam ple (20 m arkers) Sam ple and testifnotpreviously
PAVEM EN T M AR KER S 20 M arkers
from each lotof10,000 inspected atthe source
50 m m long from
PLASTIC C O N D U IT 2 sam ples each size
centeroflength
R AISED BAR S
1 unitorfullsize bar Each lot
(PR EC AST)
2 sam ples 0.75m
As necessary for
R EIN FO R C IN G STEEL except1m or#14 & Sam ple and testa job site
acceptance
#18
C ontactM ETS for C ontactM ETS for Sam ple and testifnotpreviously
STEEL PR O D U C TS
instructions instructions inspected atthe source
STR U C TU R AL STEEL 2 sam ples,0.75 m
Each heatorm eltor10
AN D M ISC ELLAN EO U S cutparallelto
tonnes orfraction
IR O N AN D STEEL direction ofrolling

W ATER -PR O O FIN G 1 m 2 ofasphalt
ASTM M eshes offabric shallbe substantially
saturated cotton 1 sam ple from each lot
M ATER IALS D 173 open
fabric
ASTM
2.5 kg ofasphalt C ontractor's stock m ustbe keptcovered
D 449
ASTM
1-L ofasphaltprim er
D 41
W IR E M ESH
1m2 Each 10 tonnes orfraction
R EIN FO R C IN G
Table 6-1.14 MISCELLANEOUS MATERIALS cont.
Perspecial Perspecialprovisions or
W IR E R O PE O R C ABLE provisions oras as instructed,attim e of
instructed use
N ote:
(1) R esidentengineerm ay accepton the basis ofvisualexam ination provided the source has recently furnished sim ilarm aterialfound to be satisfactory underthe norm alsam pling and testing procedures ofthe
D epartm ent. Place residentengineer's w ritten approvalin the projectfile.
6-1.27
Section 2 Acceptance of Manufactured Material and Sampling

Methods
6-201 General
6-202 Responsibilities and Procedures for Acceptance of Materials

6-202A The Contractor
6-202B Office of Materials Engineering and Testing Services
6-202B (1) Source Inspection
6-202B (2) Assignment to a unit of METS or a District Materials Laboratory
6-202B (3) Form TL-0624, “Inspection Release Tag.”
6-202B (4) Assignment to a commercial laboratory
6-202B (5) Assignment to the Resident Engineer.
6-202C The District
6-202D The Resident Engineer
6-202D (1) Inspection Verification
6-202D (2) Source Inspection
6-202E Materials Accepted on the Basis of a "Certificate of Compliance"
6-202E (1) Bituminous Materials
6-202E (2) Asphalt Rubber Latex Joint Filler
6-202E (3) Two-component Joint Sealing Compounds
6-202E (4) Portland Cement
6-202E (5) Reinforcement
6-202E (6) Signing and Delineation Materials
6-202E (7) Required Attachments for Acceptance
Table 6-2.1 Materials Accepted by Resident Engineer
6-203 Materials Manufactured to Caltrans-specified Formulation

6-203A Paint
6-203B Concrete Curing Compounds
6-203C Epoxy
6-203D Unprocessed Soils and Aggregates
6-203D (1) Stone from Ledges and Quarries
6-203D (2) Material Sites of Sand, Gravel, or Soil
6-203E Processed Aggregates
Table 6-2.1 Inspection of Fabricated and Manufactured Materials

Acceptance of Manufactured Materials and Sampling Methods 6-2.i
Section 2
Section 2 Acceptance of Manufactured Acceptance
Material and Sampling Methods of Manufactured
Material and
Sampling
Methods
6-201 General 6-201
This section describes Caltrans procedures for acceptance of manufactured material. General
This section also describes the types of materials that are considered “manufactured
material” and the guidelines for sampling these materials.
6-202 Responsibilities and Procedures for Acceptance of Materials 6-202

The following describes the responsibilities and procedures for acceptance of Responsibilities
materials: and Procedures
6-202A The Contractor for Acceptance
The contractor must provide sufficient advance notification to the resident engineer of Materials
on source and location of materials to be tested so that the work will not be delayed.
As required in Section 6, “Control of Materials,” of the Standard Specifications, the
contractor must list all sources of materials and the location at which these materials
are available for inspection on Form CEM-3101, “Notice of Materials to Be Used,”
prior to being used on the project.
Before use for Caltrans projects, plant scales and meters must have a current
certification. For additional details, see Section 3-903E, “Weighing and Metering
Procedures,” of the Construction Manual (manual).
Aggregate sources must comply with the Surface Mining and Reclamation Act of
1975 (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 Conservation’s web site at http://
www.consrv.ca.gov/omr/SMARA/3098-list. Refer to Chapter 7, “Environmental,”
of this manual for further information on SMARA requirements.
Specifications for welded products usually require the fabricator to have an acceptable
welding quality control plan prior to manufacturing any products for Caltrans. For
details on welding quality control plans refer to the Section 180, “Welding,” of the
Bridge Construction Records and Procedures Manual, Volume II.
6-202B Office of Materials Engineering and Testing Services
The Office of Materials Engineering and Testing Services (METS) assigns personnel
for inspection of materials at the source of supply. This includes all materials listed
in Table 6-2.1, “Materials Accepted by Resident Engineer” at the end of this section.
METS assigns the responsibility for making the inspection based on information
contained on Form CEM-3101. Offices in Sacramento, the San Francisco Bay Area,
or Los Angeles conduct most of the inspections. However, METS may assign the
inspection to the district materials engineer, the resident engineer, or a commercial
laboratory.

Acceptance of Manufactured Material and Sampling Methods 6-2.1
6-202B (1) Source Inspection
METS must receive all necessary information for source inspection. Forward all
copies of approved shop drawings without established distributions (for example,
buildings or other small structures) as well as notification of approvals (such as
paint color) or changes in the work (such as design changes or contract change
orders) to METS. METS should receive copies of all correspondence with contractors
or suppliers that may affect fabrication or manufacture.
Inspection by METS includes sampling and testing as necessary to ensure compliance
with test requirements and dimensional requirements. Complex fabrication, as in
the case of precast, prestressed concrete members and structural steel, also require
inspection during fabrication. Inspected materials meeting specifications are identified
with a lot number. The METS inspector enters the lot number, a description and the
quantities of materials inspected on Form TL-0029, “Report of Inspection of
Material.”
6-202B (2) Assignment to a Unit of METS or a District Materials Laboratory

After receiving the Form CEM-3101 from the resident engineer, METS indicates on
the Form CEM-3101 the items in need of inspection and assigns the inspection to
the appropriate inspection office. The responsible inspection office then prepares
Form TL-0608, “Notice of Materials to be Furnished,” and sends it to the contractor
or supplier and the resident engineer.
Subsequently, the inspection office inspects the material, and if acceptable, identifies
it with Form TL-0624, “Inspection Release Tag.” If the material does not comply,
METS or the district materials laboratory will send a “non-conformance report” to
the resident engineer.
For acceptable material, a completed copy of Form TL-0029 is sent to the resident
engineer.
The resident engineer does not normally receive this report until after the materials
have arrived at the job site, but it should be checked against the identifying information
that was attached to, or marked on, the materials.
The resident engineer must inform the assigned inspection office if the Form TL-
0029 is not received within 15 days after receipt of materials or if there are
discrepancies so the necessary investigation can be made.
6-202B (3) Form TL-0624, “Inspection Release Tag.”

Materials covered by a Form TL-0624, “Inspection Release Tag,” should arrive at
the job site properly identified. Form TL-0624 shows the identifying lot number, the
inspector’s initials, and the date of inspection. If the item is one that does not lend
itself to the 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.
Timber products typically are stamped with a brand on each piece, usually at the end
where it can be seen. (Caltrans inspectors use a stamp with the letters CHC or CT.
Commercial laboratories use their own identifying initials or symbols.)
Laboratory inspectors will not necessarily tag every bundle or piece in a shipment
(with the exception of timber and reinforced concrete pipe). However, the inspector
must attach enough tags on a load to give reasonable assurance that the tags represent
the entire shipment.

6-2.2 Acceptance of Manufactured Material and Sampling Methods
When manufactured products arrive on the project, the attached Forms TL-0624
authorize the resident engineer to permit use of the materials. However, inspect the
materials for damage during shipping or storage, general workmanship, and
conformance to planned shape or dimensions.
The METS inspector (or the district laboratory inspector) collects the required
certificates of compliance for materials inspected at the source.
6-202B (4) Assignment to a Commercial Laboratory

Commercial laboratories perform most out-of-state inspections. This requires an
agreement between METS and the commercial laboratory.
METS authorizes out-of-state inspections only for critical fabricated and
manufactured materials and where, in the opinion of the resident engineer and METS,
it is in Caltrans’ best interest to do so. METS assigns inspection to commercial
laboratories.
The assigned laboratory inspects, identifies and tags the material. A commercial
laboratory does not use Form TL-0029. They do make a report, usually in letter
form, and submit this to METS. METS forwards a copy to the resident engineer.
Materials covered by a letter from a commercial laboratory must arrive at the job
site properly identified.
6-202B (5) Assignment to the Resident Engineer.

METS may assign inspection of products for which they normally have responsibility
back to the resident engineer. The resident engineer will release these materials at
the jobsite using Form CEM-4102, “Material Inspected and Released on Job.” See
Section 6-3, “Field Tests,” of this manual for details. METS assigns inspection
responsibility to the resident engineer using Form TL-0028, “Notice of Materials to
be Inspected.”
After being assigned inspection responsibility, the resident engineer may accept
material on the basis of 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. Sampling of material is in accordance
with the data shown in the tables at the end of section 6-1, “Sample Types and
The resident engineer should inform the contractor that the material will be sampled
and inspected on the job and that sufficient time must be allowed to complete any
necessary testing before the material can be used.
6-202C The District
The responsibility for training and certifying materials testers rests with the district
materials engineer.
6-202D The Resident Engineer
The resident engineer must ensure that only sampled, tested and inspected materials
meeting the contract requirements enter the work. The resident engineer must also
ensure production facilities, such as asphalt plants and concrete plants, meet
specifications. Request the assistance of the district weights and measure coordinator
for inspecting asphalt concrete and portland cement concrete plants as required by
the specifications and California Test 109, “Method for Testing of Weighing and
Measuring Devices.”
The resident engineer must ensure that the contractor submits a Form CEM-3101,
“Notice of Materials to Be Used” for all materials that require inspection. If the
contractor does not submit a Form CEM-3101 before the preconstruction conference,
provide a list of materials that may require listing on the CEM-3101 to the contractor
during this conference. If the sources of all material are not known, the contractor
may submit a partial list and submit supplements as soon as other sources are known.
A timely, accurate, and complete Form CEM-3101 can prevent future delays and
conflicts. The following data must be included:
• The Caltrans contract number and the contract item or items for which the material
will be used. If the contractor uses a project number (different from the Caltrans
number) it helps to also include this number.
• 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 the form for the required information. If the Form CEM-3101 is incomplete,
require that it is corrected or supplemented before distributing the copies. Send METS
a copy promptly. METS will make the required assignments for inspection as noted
above under “ Office of Materials Engineering and Testing Services.” Distribute
other copies as required by the district.
On the basis of information contained on the Form CEM-3101, the resident engineer
will identify (based on district policy) the appropriate samplers, testers and inspectors.
The following is a partial list of those who may need to be notified:
• District or METS staff who will be obtaining samples and performing tests on
each material
• District or METS staff who will be obtaining samples for each material accepted
on the basis of a Certificate of Compliance (Normally tested by METS)
• The district weights and measures coordinator to inspect or witness California
Test 109. The district weights and measures coordinator maintains a list of
material plants currently in compliance with California Test 109.
6-202D (1) Inspection Verification

If the material delivered to the job site lacks proper identification, or 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. The exception is sampling of paint.
Paint must be sampled at the job site even if there is evidence of previous inspection.
6-202D (2) Source Inspection

The resident engineer and METS share the responsibility for inspection of materials
at the source. However, the resident engineer has the sole responsibility for acceptance
of material. For example:
• The material may be damaged in shipment or installation.

• It is not always practical for METS to make a 100% 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.
• There are other situations over which the METS inspector has little control. For
example:
1. 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.
2. Fit of band couplers should also be checked at the job site.
3. Some contracts require special wall thickness of reinforced concrete pipe at
certain locations, the pipe may be furnished from several plants, and the
METS inspector would not know the specific job site location of that particular
pipe. The inspector can only determine that it fits one of the types specified.
4. 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.
• The specifications may be difficult to interpret or the inspector is not aware of a
The tables at the end of this section list products that are usually inspected at the site
of manufacture or fabrication and indicate items that are checked by the inspector at
the source and those which must be checked or rechecked at the job site. The table
does not cover every item but provides typical examples.
6-202E Materials Accepted on the Basis of a “Certificate of Compliance”
In accordance with Section 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.
Certificates of compliance are used for products for which the industry has
demonstrated a high degree of reliability in meeting specifications. METS is
responsible for monitoring these industries. METS notifies districts when material
from any producer is not acceptable on the basis of a Certificate of Compliance.
The district must notify affected contractors. Certificates of compliance must contain
• Name of mill and company.
• Date of shipment.
• Quantity shipped.

• Serial number traceable to a specific silo, bin or 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.
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 certification vary depending on the material. Following are some details
covering the sampling of materials that are accepted by certification.
6-202E (1) Bituminous Materials

When asphalt arrives at the job site or at the plant accompanied by a Certificate of
Compliance, the resident engineer to may accept the shipment for use before sampling
and testing.
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 show in the tables in Section 6-1, “Sample
Types and Frequencies,” of this manual.
Sample asphalts in accordance with California Test 125, “Methods for Sampling
Highway Materials and Products Used in the Roadway Structural Sections.” Review
the safety and health portion of California Test 125 before sampling asphalts.
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.
6-202E (2) Asphalt Rubber Latex Joint Filler

Submit samples in one-liter 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.
6-202E (3) Two-component Joint Sealing Compounds

This material is usually in 10-liter pails. Each pail requires a manufacturer’s lot
number. Before sampling, stir thoroughly. Samples should be taken in the amount
and frequency show in the tables in Section 6-1, “Sample Types and Frequencies,”
of this manual.
6-202E (4) Portland Cement

For cement delivered directly to the work 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 meters 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 jobsite. 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,
Sections.”
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 3.5-kg 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.”
The 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.
Box the cement samples, after identification, in corrugated cartons (designed to hold
single 3.5 kg 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 portland 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.
6-202E (5) Reinforcement

See Section 4-52, “Reinforcement”, of this manual for details.
6-202E (6) Signing and Delineation Materials

The Certificate of Compliance must be as specified in the special provisions for
prequalified and tested signing and delineation materials.

After obtaining written confirmation of product approval from the district traffic
engineer, the resident engineer may accept a substitute signing or delineation material
or product without a Certificate of Compliance.
6-202E (7) Required Attachments for Acceptance

The materials listed in Table 6-2.1, “Materials Accepted by Resident Engineer,”
may arrive on the job site without inspection and Form TL-0029, “Report of
Inspection of Material.” If required by the Standard Specifications or the special
provisions, ensure that these materials have a Certificate of Compliance. The table
is divided into two parts:
1. Materials that can be accepted solely on the basis of a Certificate of
Compliance and
2. Materials that require a test report from the manufacturer or supplier along
with the Certificate of Compliance.
Table 6-2.1 Materials Accepted by Resident Engineer
Accept on Certificate of Compliance Only Accept on Certificate of Compliance
and Additional Back-Up*
Asbestos cement pipe Barbed wire

Asbestos sheet packing Chain-link fencing and railing
Brick Crash cushions
Cast iron pipe Crop inlet grates and frames
Cast iron manhole rings and covers Fence posts
Ceramic tile Guard rail
Clay products, manufactured Open steel flooring and grating
Copper pipe Precast concrete manhole sections
Culvert markers Steel sheet piling
Drain tile Timber products (treated and untreated)
Drip irrigation line Welded wire fabric
Electrical conductor Wire mesh fencing
Electrical conduit (galvanized and plastic)
Electrical pull boxes (concrete and plastic)
Electrical service cabinets
Expansion joint filler
Gates
Glass beads
Guide markers
Plastic pipe
Precast raised traffic bars
Reinforcing steel
Sheet metal
Slotted edge drain
Snow poles
Irrigation hose
Styrofoam filler
Waterproofing fabric
Waterstop
*Additional back-up documentation such as mill test reports for steel, pressure treating
reports for timber, and concrete test reports that show the materials comply to
specifications.

6-203 Materials Manufactured to Caltrans-Specified Formulation 6-203
The Standard Specifications require that certain products be manufactured to Caltrans Materials
specifications. The most common of these are paint, curing compounds for portland Manufactured to
cement concrete, and epoxy. Caltrans-Specified
6-203A Paint Formulation
Paint manufactured under Caltrans specifications is sampled at the factory, tested by
METS and identified by lot numbers before shipment is made to the project.
After paint is inspected and identified by METS, sample all paint in the field and
send the samples to the laboratory 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 samples of paint from the field to the laboratory as soon as the paint is received
on the project. This is to determine if the paint has degraded since METS inspected
it. During the progress of the job, take special check samples when the paint exhibits
hard settling, if the resident engineer suspects tampering with the paint, or at any
other time at the discretion of the resident engineer.
Proper sampling to obtain a representative portion of the paint is absolutely mandatory.
Use the following sampling methods:
• For bridges and other major structures, or whenever large quantities are involved,
send an unopened 20-L can 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 liter sample immediately.
Send all samples to the laboratory promptly, along with all pertinent information
regarding them. Use Form TL-0101, “Sample Identification Card.”
When the paint is state-furnished, check samples will not be required.
6-203B Concrete Curing Compounds
Concrete curing compounds are generally of two types, petroleum hydrocarbon resin
base or water base. Curing compounds are normally sampled at the factory, tested
by METS, and identified by lot numbers before they are shipped to the project.
METS does not routinely inspect the petroleum hydrocarbon resin base concrete
curing compound at the source. It may be accepted for use if it is packaged and
labeled as specified. However, sample it for testing in accordance with the frequency
shown in Section 6-1, “Sample Types and Frequencies,” of this manual.

In addition to requirements in California Test 125, “Methods for Sampling Highway
Materials and Products Used in the Roadway Structural Sections,” field samples
may be obtained from a valve in the feed or recirculation lines of the sprayer. Samples
may be obtained from the spray nozzles if care is used to prevent excessive loss of
the solvent by evaporation. Because of the tendency of pigments to settle, all
pigmented types must be mixed thoroughly before sampling.
6-203C Epoxy
METS samples epoxy manufactured under Caltrans specifications at the factory,
tests and identifies it by lot numbers before it is shipped to the project. The Certificate
of Compliance required for epoxy certifies compliance with packaging and labeling
laws, not quality of material. The source inspector normally obtains the certificate,
and it does not need to accompany the material to the job site.
Normally, it is not necessary to sample epoxy in the field if the material has been
inspected at the source and is identified properly.
Occasionally, specified composition of the above materials is changed. The newer
specification results in an equal or better product, or an acceptable replacement for
a product is no longer available. 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 contract change orders unless specifically advised to the contrary. This applies
only to the items of paint and epoxy identified properly by Caltrans specification
numbers. Current specification numbers are listed in the special provisions.
6-203D 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.
6-203D (1) Stone from Ledges and Quarries

Inspect the ledge or quarry face to determine any variations in different strata, and in
different 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.
6-203D (2) Material Sites of Sand, Gravel, or Soil

Select samples representing the different materials that are 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
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
in the sample material 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.

Sample deposits that have no open faces by means of test holes. 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 in order to make the required
grading.
If at all possible, use a dozer or shovel to open up the pit before sampling rather than
depending on test holes.
6-203E Processed Aggregates
Sample processed aggregates, from locations such as stockpiles, transportation units,
conveyors, or windrows in accordance with California Test 125, “Sampling Highway
Materials and Products Used in the Roadway Structural Sections.”
California Department of Transportation • Construction Manual •October 2001

PRODUCT ITEMS TESTED BY METS ITEMS TO CHECK AT JOB SITE
6-2.12
Asphalt plank Tests workmanship and dimensions Workmanship and dimensions
Visible defects, dimensions, threads, galvanizing,
Tests, visual spot-check, marking. Spot-check marking for correct type fit of nuts. Make sure high-
Bolts and nuts galvanized high strength (ASTM A 325) nuts for strength bolts and nuts are used where specified and nuts
proper lubricant are lubricated properly. (See Office of Structure
Construction Records and Procedures.)
Ceramic tile Tests, visual inspection in stack. Damage, defects, dimensions
Dimensions, fillets, unauthorized repairs (welds fillers),
Casting, iron and steel, bronze Material tests, visual and dimensional inspection
defects
Clay pipe and drain tile Tests, visual inspection, dimensions, marking Damage, cracks and other defects, marking, straightness.
Tests, visual inspection, dimensions, elliptical steel Damage, defects, exposed steel, dimensions, specific
Concrete pipe
markings locations per plans), straightness, concentricity.
Damage, visible defects, damaged galvanizing proper
Check mechanical tests, check coating tests, metal metal thickness for specific location, damage to
Corrugated metal pipe and structural plate pipe thickness (as marked), workmanship, diameter, etc. bituminous coating. Check for weld defects, spacing
(spot-check), markings and edge distance of rivets or spot welds, fit or bands,
etc.
Material tests, marking. (Other types accepted at Proper mixing, marking, check sample. Check for
Curing compound (Chlorinated rubber type)
jobsite if properly packaged and labeled). specified type of container and correct marking.
Specifies tests, visual and dimensional Inspection
Elastomeric bearing pads Damage, defects, uniformity, dimensions
certification
Controllers - complete tests and inspection
Shipping damage, defects, conformance to plans, type,
Luminaries - random tests, visual inspection
Electrical items, luminaries, controllers, signal operational check, etc. Check loop detectors for
Signal heads, switches, etc. - visual inspection
heads, conductors, etc. operation under field conditions inspection. See that all
plans, type, operational check, etc.
conductors are correct type and size.
Conductors - random tests
Proper material for intended use, excessive thickening or
Epoxy Specified tests, markings, packaging
crystallization, proper mixing
Table 6-2.2 Inspection of Fabricated and Manufactured Materials (1 of 3)
Expanded polystyrene Material tests, general condition Dimensions, general condition

Coating and mechanical tests, visual inspection, Damage, dimensions, general workmanship,
Fencing, mesh, posts, gates, etc.
dimensions galvanizing, condition of wood posts
Size, uniformity, surface defects, warping (permit no
Forgings, steel Material tests, visual and dimensional inspection
repairs).
Acceptance of Manufactured Material and Sampling Methods

Material tests, stressing and fabrication inspection
Damage, workmanship, exposed steel dimensions, finish,
Girders, concrete, precast, prestressed (forms steel placement, concrete, etc.)
cracks or other defects
workmanship, dimensions, conformance to plans
Head gates Material check, visual and dimensional inspection Damage, workmanship, dimensions, type
Proper components, proper mixing, marking.
Joints Damage, workmanship, correct movement rating (from
Lab tests, visual check
Pourable joint sealing compound test report), size and type, lot and batch identification
Tests of each roll, visual inspection
Premolded expansion joint filler (See the Bridge Construction Records and Procedures
Manual.)
Markers, pavement Tests of each lot, random inspection Damage, surface defects
Inspection usually assigned to resident engineer.
Mechanical equipment, scales, pumps truck Consult with the Office of Structure Design,
Damage, installation details, workmanship
inspection stations, roadside rests Mechanical & Electrical Stations, for assistance if
required.
Metal crib wall Tests, visual inspection, galvanizing, dimensions. Dimensions, workmanship, galvanizing, specified bolts
Miscellaneous iron and steel, misc. bridge

Sampling and testing as specified, qualification of Damage, welding or fabrication defects, conformance to
metal, bearing assemblies, rings and covers
welders, inspection of fabrication, dimensions drawings, galvanizing defects, grinding specified coating.
frames and grates, etc.
Lumps, hard setting, color, marking of cans adherence,
Paint Specified tests, markings surface preparation, lot numbers(same as on inspection
California Department of Transportation • Construction Manual • October 2001

report).
Piling Material check, stressing, fabrication,
Damage, workmanship (cracks, spalling, etc.) painting of
Concrete workmanship
strand ends, conformance to plans, straightness.
Dimensions and workmanship
Sheet (when specified as cont. item) Tests, dimensions, workmanship
See Timber, General. Check for straightness,
Timber Check for straightness, required treatment, dimensions
required, treatment
Pipe, galvanized Coating tests, visual and dimensional inspection Size, uniformity, surface defects (permit no repairs)
Material, tests, dimensions, workmanship and
Pipe, plastic Dimensions, workmanship, markings
markings
Material and weld tests, visual and dimensional
Poles, lighting Dimensions, welds, workmanship, galvanizing type
inspection
Mechanical tests, wrapping, visual inspection Check strand for rust, damage, surface defects. Check
Prestressing strand
when possible tags for stressing information.
6-2.13
6-2.14
Pull boxes (concrete) Reinforcement, dimensions, workmanship Cracks, rock pockets, exposed steel, dimensions
Damage to rail or galvanizing; fabrication or
Railings, barriers Material tests, welder qualifications, welding and
galvanizing defect, fit of sleeves, dimensions; types of
Bridge railing, barrier, etc. fabrication, galvanizing
bolts or nuts furnished
Material tests, fabrication, radius, dimensions, Damage to rail or galvanizing; workmanship of rail
Metal beam guard rail
punching of holes, galvanizing, marking and galvanizing; dimensions; conditions of holes, etc.
Railroad rail Weight, general condition, rust Dimensions, rust
Raised bars (precast) Strength tests, visual inspection Damage, surface defects, color
Damage, general workmanship, general conformance
Material tests, qualification of welders, inspection
to requirements, position of sign panels, final check
Sign structures during and after fabrication, dimensions, cleaning and
of electrical equipment for illuminated signs, proper
painting or galvanizing, etc.
nuts and bolts, properly torqued
Signs, changeable message Fabrication, operation, workmanship (See Section 4-56 of this manual.)
Steel, flooring and grating Materials tests, workmanship and dimensions Workmanship, dimensions
Material tests, qualifications of welders, inspection Damage to members or paint: defects in steel or in
during fabrication, nondestructive testing, preparation welds; overlooked fabrication details; camber
Structural steel and painting in the shop, conformance to plans and condition of paint; dimensions; condition of holes;
approved shop drawings, proper joint preparation for proper bolts and nut markings; proper torquing;
shop-bolted connections straightness and squareness of members
Timber is usually inspected in the pile, so pieces
Visual inspection for grade and dimensions,
should be inspected at the job site for damage, grade,
treatment; retention and penetration; analysis of
Timber, general deposits of excess preservative, etc. Some checking of
preservative; marking
dimensions also may be advisable. METS is
(See Piling, timber, also.)
available for advice or assistance as necessary.
Waterstop Material tests, finish dimensions, uniformity Finish, dimensions, uniformity
Material tests, welder qualifications, welding
Shipping damage, visible defects in pipe or coating
Welded steel pipe inspection;
marking, dimensions
and spark testing, marking, dimensions

Wire mesh reinforcing Materials tests, visual inspection Rust and broken welds

Section 3 Field Tests
6-301 General
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 California 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 by California Test 338,
“Determination of Cement or Lime Content in Treated Aggregate by the
Titration Method”
6-305D Portland Cement Concrete Compressive Strength Tests
6-305D (1) Number of Cylinders Required for a "Test"
6-305D (2) Trial Batches
6-305D (3) Identification of Test Cylinders
Example 6-3.1 Sample Cylinder Label
6-305D (4) Shipping
6-305E Relative Compaction Using Nuclear Gauges
6-305F Determining the Accuracy and Suitability of Scales and Meters used in
Materials-Processing Plants

Field Tests 6-3.i
Section 3
Section 3 Field Tests Field Tests
6-301 General 6-301

The resident engineer must ensure that materials incorporated into the project comply General
with specifications. See Section 3-507, “Inspection,” and Section 3-608, “Testing,”
Perform field inspection of material and testing in accordance with the guidelines in
this chapter. 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.
6-302 Field Inspection and Release of Materials 6-302

If any materials listed in Table 6-2.1, “Materials Accepted by Resident Engineer,” Field Inspection and
arrive on the job site use the following procedure: Release of Materials
• 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.
• Complete Form CEM-4102, “Material Inspected and Released on Job.”
6-303 Field Laboratory 6-303

Suitable laboratories and equipment are necessary to perform proper field testing. Field Laboratory
When economically feasible, a field laboratory should be established for a number
of construction projects in the immediate area.
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 Field Testing Equipment 6-304

Each district materials engineer must have an effective calibration program for Field Testing
equipment used for construction-control testing. Testing equipment must be in proper Equipment
operating condition and within prescribed tolerances for accuracy.
Standards for calibration of testing equipment are described in the appropriate
California Tests for calibration and manufacturer’s 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. Decals are
available from the district warehouse (Stock Number 7690-0040-3).

Field Tests 6-3.1
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
effected in any way that would affect calibration.
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, “Sieve Analysis of Fine and Coarse
Aggregates.” At frequent intervals independent assurance samplers and testers follow
up by checking the condition of all screens and sieves available for use on the job.
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, “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, “Calibration of Pressure Type Air
Meters,” covers calibration of these two meters.

6-3.2 Field Tests
6-304D Profilograph
California Test 526, “Operation of California 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, “Calibration of Compaction Test Equipment,” outlines the
procedure for both calibration and repair.
6-304F Cement-Treated Base Compressive Strength Apparatus
District materials laboratories can check the calibration of the hydraulic jacks used
with the apparatus. Occasionally a jack requires repair, and this should be done at
the METS machine shop.
6-305 California Test Methods 6-305

California Tests include both field tests and laboratory tests. Section 6, “Control of California Test
Materials,” of the Standard Specifications states that, whenever a reference is made Methods
in the specifications to a California Test by number, it means the test in effect on the
day “Notice to Contractors” 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 use
the proper test methods for the project involved. The resident engineer must ensure
that the correct versions of test methods are used. The latest revisions of the test
methods can be obtained from Engineering Services’ web page.
Use the following guidelines for some of the California Tests performed in the field.
6-305A Method of Determining Approximate Grading of Mineral Aggregate
by Dry Sieve Analysis
California Test 202, “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.
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 Classes ‘A’ and ‘B’ Cement Treated Bases.”
6-305C Determination of Cement or Lime Content
See 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 contractor’s mixing and spreading operation. Increase testing
frequency when mixing or spreading equipment is changed or altered or production
rates are increased.
Field Tests 6-3.3
6-305D Portland Cement Concrete Compressive Strength Tests
Compressive strength samples are taken in accordance with American Society for
Testing and Materials (ASTM) C172, “Standard Practice for Sampling Freshly Mixed
Concrete.”
A test for penetration, in accordance with California Test 533, “Test for Ball
Penetration in Fresh Portland Cement Concrete,” is made on each batch of concrete
from which strength specimens are made.
If air-entrained concrete is used, test the concrete using California Test 504,
“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 ASTM C173,
“Standard Test Method for Air Content of Freshly Mixed Concrete by the Volumetric
Method.”
If the cement content is being checked by California Test 518, “Unit Weight of
Fresh Concrete,” determine the cement content for each batch from which strength
tests are made.
Review California Test 540, “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. 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.
The “2 cylinders = 1 test” concept applies to all concrete cylinder tests except trial
batches.
6-305D (2) Trial Batches

Specifications state that for specified-strength concrete, the concrete must be
prequalified by trial batches before it is placed.
Make and test cylinders to prequalify the concrete. The test results must meet the
contract specifications before the specified-strength concrete may be considered as
prequalified.
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.

6-3.4 Field Tests
6-305D (3) Identification of Test Cylinders
For compressive strength tests, use Form TL-0502, “Field Sample of Portland Cement
Concrete Sample Card.” The card must be complete. Do not leave any blank spaces.
Designation of the type of concrete must be included (such as Class 1 or 25 MPa).
In accordance with the State Contract Act, aggregate sources must comply with the
Surface Mining and Reclamation Act of 1975 (SMARA). Mining operations
determined to be in compliance are listed on the AB 3098 SMARA Eligible List.
Form TL-0502 should be filled out with the appropriate SMARA Listing number.
This list can be obtained from the Division of Construction or at the Department of
Conservation’s web site: http://www.consrv.ca.gov/omr/ab_3098_list/index.htm.
Refer to Chapter 7, “Environmental,” of this manual for further information on
SMARA requirements
In the space for “water-weight per sack,” indicate the total weight of water used per
sack of cement in the mix based on actual weights (not design weights). On the last
blank line of the concrete information box indicate the specified concrete strength
or class if any. Otherwise mark the space with a line. Under “remarks” indicate if
the unit weight of the hardened concrete cylinder(s) is required. The laboratory will
not furnish unit weight data unless it is specifically requested. Make out a sample
card for each pair of cylinders shipped in the same carton.
A uniform system of 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
cylinder(s) are to be tested, the cylinder number of the pair, or the group of 5, which
is to be tested, and job coding. Use a flow pen to mark each sample can. Examples
of this marking system follows:
Contract No. 03-100844

Sample No. 1-28-1/5_ _ _ _ _ _
Date Cast _____________
In the sample number shown above, the first digit indicates method 1 storage for
curing; use only one digit for this designation. The second group of two digits indicates
that the cylinder is to be tested at 28 days; use two digits for the test age. The third 1/
5 symbol indicates that it is the No. 1 cylinder of a 5-cylinder trial batch sample; the
No. 2 cylinder would be marked 2/5, and so on. If only one sample card was made
for two cylinders, the third symbol on the card would be 1,2/5. The last four spaces
are reserved for any desired job coding consisting of numbers, letters, or a combination
of both.
Contract No. 03-100844

Sample No. 2-14-2/2 _ _ _ _ _
Date Cast _______________
In this example the first digit indicates method 2 storage for curing. The second
group of two digits indicates that the cylinder is to be tested at 14 days. The third 2/

Field Tests 6-3.5
2 symbol indicates that it is the No. 2 cylinder of a 2-cylinder test group. Again, if
only one sample card is made for the two cylinders, the third symbol on the card
would be 1,2/2. The last four spaces represent any desired job coding consisting of
numbers, letters, or a combination of both.
6-305D (4) Shipping

Cylinders are shipped to the laboratory in accordance with the provisions of California
Test 540, “Making, Handling, and Storing Concrete Compressive Test Specimens in
the Field.” Cylinders are shipped without removing the mold and are packed in
cardboard containers that are available from district warehouse. Each carton holds
two cylinders.
If the district transportation laboratory is equipped to test concrete cylinders they
should be sent there. Otherwise cylinders may be shipped or delivered either to
METS in Sacramento or Los Angeles, whichever is more convenient. Cylinders are
not to be shipped cash on deliver to METS. Do not accumulate test cylinders at the
job site. Ship them within the time limit specified in California Test 540.
6-305E Relative Compaction Using Nuclear Gauges
California Tests 231, “Relative Compaction of Untreated/Treated Soils and
Aggregates (Area Concept Utilizing Nuclear Gauges),” and 375, “Determining the
In-Place Density and Relative Compaction of AC Pavement,” set forth the procedures
for determination of relative compaction by use of nuclear gauges.
In addition to California Test 231, use of nuclear gauges is contained in California
Test 121, “Administrative Instructions For Use of Nuclear Gauges,” as well as the
manufacturer’s manual pertaining to the gauge being used. A copy of these documents
must be kept with each gauge. Each operator must report missing documents and
arrange for their replacement.
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.
6-305F Determining the Accuracy and Suitability of Scales and Meters
used in Materials-Processing Plants
California Test 109, “Test for Weighing and Measuring Devices,” is the test method
for determining the accuracy and suitability of weighing and measuring devices
used to proportion materials in materials producing plants. See Section 3-9,
“Measurement and Payment,” of this manual for weighing and metering procedures.
The maximum interval for retesting proportioning equipment is as follows:
• Asphalt concrete and portland cement concrete batch plants - 1 year
• Asphalt concrete continuous mixing plants - 6 months
• Slurry seal mixer-spreader trucks - 6 months or when aggregate sources are
changed.

6-3.6 Field Tests
The equipment may be tested as often as deemed necessary. The district weights and
measures coordinator maintains a list of material plants and equipment currently in
compliance with California Test 109.
When witnessing California Test 109, the district weights and measures coordinator
must also ensure that the plant meets Cal/OSHA requirements.

Field Tests 6-3.7
Chapter 7 Environmental
Section 1 Environmental Rules and Requirements
7-101 General
7-102 Sources of Information
7-103 Protection of Environmental Resources

7-103A Archeological and Historical Resources
7-103B Endangered Species
7-103C Migratory Bird Act
7-103D Disposal, Staging and Borrow Sites
7-104 Air,Water, and Noise Pollution Control

7-104A Air Quality
7-104B StormWater
7-104B (1) District Construction Storm Water Coordinator Responsibilities
7-104B (2) Resident Engineer Responsibilities
7-104B (3) Storm Water Inspector’s Responsibilities
7-104B (4) Contractor’s Inspections
7-104B (5) Amendment Review and Processing
7-104B (6) Project Files
7-104B (7) Contractor’s Files
7-104C Noise Control
7-105 Permits
7-105A Special Use Permits
7-105B Fish and Game Code Sections 1601 and 5650
7-105C List of Potential Permits
7-106 Environmental Hazards and Safety Procedures

7-106A Hazardous Materials
7-106B Hazardous Waste
7-106B (1) Hazardous Waste Disposal Contracts
7-106B (2) Removal of Yellow Traffic Stripe and Pavement Markings
7-106B (2a) Construction Contract Review
7-106B (2b) Testing and Removal Requirements

Environmental Rules and Requirements 7-1.i
7-107 Hazardous Spills
7-108 Certificate of Environmental Compliance
7-109 Solid Waste Disposal and Recycling Reporting

7-1.ii Environmental Rules and Requirements
Chapter 7 Environmental
Section 1
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 contracts.
The district construction deputy director is responsible for ensuring that environmental
and permit requirements are enforced. To meet legal requirements, district
construction staff must receive appropriate training, possess appropriate skills, and
understand their role in successfully carrying out environmental measures. Within
the district construction division, appropriate environmental coordinators must be
appointed.
7-102 Sources of Information 7-102

A variety of sources explain Caltrans’ environmental procedures, methods, and Sources of
commitments. These sources include the Caltrans Environmental Handbook, Caltrans Information
Storm Water Quality Handbooks, and an Intranet page titled “The Caltrans Intranet
for Environmental Planning and Engineering.” The construction contract contains
environmental requirements in the plans and specifications. In addition, the resident
engineer’s pending file contains a summary of all project commitments, copies of
applicable permits, the environmental document, and other environmental
documentation. Some districts produce special publications that detail the
environmental requirements for each project. The district’s environmental experts
are also good sources for information or clarification about environmental
commitments. These individuals are always available to explain commitments and
lend assistance at the preconstruction conference or at any other time during
construction.
7-103 Protection of Environmental Resources 7-103

The following are guidelines for fulfilling the responsibility for protecting and Protection of
preserving various environmental resources during construction as required by law. Environmental
7-103A Archeological and Historical Resources Resources
Mitigating a project’s 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. Procedures and
responsibilities are detailed in the Caltrans Environmental Handbook.

Environmental Rules and Requirements 7-1.1
7-103B Endangered Species
Both state and federal laws are designed to protect designated plant and animal
species along with their respective habitats. As a result, often very 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. The contract will specify the necessary measures and restrictions,
and the plans will show environmentally sensitive areas. However, during
construction, project crews 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 district environmental unit.
7-103C Migratory Bird Act
The Migratory Bird Act makes it illegal to interfere with migratory birds. Breeding
and nesting seasons for these species can result in strict prohibitions or require working
around nesting areas. The act may require avoidance or prohibit disturbance of many
species of birds, such as swallows that roost or nest under highway structures. Should
occupied nests be found, suspend work in the nests’ vicinity until the birds abandon
the nests.
7-103D Disposal, Staging and Borrow Sites (DSB)
The instruction contained in this section pertain to all contractor 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 to 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, recent history has shown
that 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 DSB sites has been facilitated.
Those construction projects that cannot accommodate the disposal, staging, or borrow
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 to use alternative
sites. Alternative sites selected by the contractor require the contractor to prepare
and submit to the engineer for approval a DSB site submittal. Requirements for this
submittal are outlined below under “DSB Submittal.”
The need for identifying and clearing a designated DSB 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 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 determined necessary that one or more DSB sites needed to be
designated, then the project engineer would have the 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 Plans Specifications and

7-1.2 Environmental Rules and Requirements
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.
Contractor use of designated sites is not mandatory unless otherwise stated in the
special provisions. If the contractor chooses to use an alternate site, a DSB site
submittal must be made by the contractor and approved by the resident engineer.
The contractor can obtain the DSB Site Submittal information at:
http://www.dot.ca.gov/hq/oppd/design/m121201.pdf
Summaries are provided below of the minimum items expected in a: 1) 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 use of an
alternate site. The submittal and support documents would then be filed under
Category 18 (Borrow and Disposal Agreements and Permits).
DSB Submittal DSB Submittal
1. For Caltrans Designated DSB Sites Caltrans Will:
• Provide a general site plan, including site limits and access roads
• Obtain temporary property owner agreements as necessary to “reserve”
property
• Prepare California Environmental Quality Act or National Environmental
Policy Act documentation as needed
• Verify the existence of or obtain the necessary permits, licenses, and
agreements to satisfy regulatory agencies and ensure site availability
• Review and approve contractor’s submittal
The Contractor Will:
• Prepare a final grading plan in conformance with Standard
Specifications
• Provide release of liability
• Provide final property owner agreements (see Section 3-607 Local
Materials)
• Submit Water Pollution Control Plan
2. For Alternative Sites (Outside the Row) Selected by the Contractor,
Caltrans Will:
• Review and approve contractor’s submittal
The Contractor Will:
• For borrow sites, demonstrate that the site is exempt or in compliance with
Surface Mining and Reclamation Act (SMARA), (i.e., listed on the AB
3098 SMARA eligible list); and for all DSB sites,
• Provide a site plan, including site limits and access roads
• Obtain property owner agreements (see Section 3-607 Local Materials)

• Provide release of liability
• Provide final property owner agreements
• Provide environmental documentation prepared by appropriately
qualified environmental specialists
• Obtain or update all necessary permits, licenses, and agreements
• Determine final grading plan in conformance with Standard
Specifications
• Submit Water Pollution Control Plan
SMARA SMARA Compliance for Borrow Sites
Compliance for
The State Contract Act prohibits Caltrans from buying aggregate or any other mined
Borrow Sites materials from sources not exempt or not compliant with the Surface Mining and
Reclamation Act of 1975 (SMARA). Mining operations determined to be in
compliance are listed on the AB 3098 SMARA eligible list. You can obtain this list
from the Division of Construction or the Department of Conservation’s web site at
http://www.consrv.ca.gov/omr/SMARA/3098-list. Generally, Caltrans cannot accept
material from unlisted sites. However, the State Mining and Geology Board may
grant one-time exceptions. To comply with SMARA and the State Contract Act,
imported materials from the following sources must be listed on the AB3098 list:
• Materials from mined sources.
• Materials from commercial vendors and suppliers.
• Materials from federally owned lands where an agreement exists
between the federal landholding agency and the California Department of
Conservation (DOC) that SMARA applies.
• Materials from Native American reservations where an agreement exists

between the reservation and the DOC that SMARA applies or a nontribal
mine operator is present.
In addition to the specific exemptions listed in SMARA (i.e., less than 1,000 cubic
yards, etc), Caltrans has determined that imported material from the following types
of sources comply with SMARA and do not require inclusion on the AB3098 list:
• Imported material from a development or other nonmining source where
the material is a byproduct of construction and this source has approval
in a local agency plan and through the California Environmental Quality
Act.
• Excess material generated from a Caltrans project who’s environmental
approval appropriately considered the construction phase and met approval
requirements for reclamation of the site.
• Materials from failures of natural or man-made slopes within Caltrans’
Right-of-Way as a result of storms slides, or slipouts.

• Materials from outside the State of California.
• Materials originating from Native American reservations where no
agreement exists between the reservation and the DOC that SMARA
applies and a tribal mine operator is present.
• Materials from federal land where no agreement exists between the
federal landholding agency and the DOC that SMARA applies.
For assistance with resolution, refer any challenges to the acceptance of materials to
the construction field coordinator.
Other Contractor Uses of the State Right of Way Other Contractor

Uses of the State
The contractor’s use of Caltrans owned parcels that are not designated on the plans
will be contingent upon successful approval by the resident engineer of: 1) the DSB Right of Way
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 prior
to approving the DSB Site Submittal.
The contractor may arrange for temporary storage of equipment and materials on
Caltrans property with the resident engineer.
The contractor shall use authorized work areas and other approved Caltrans owned
property at the contractor’s own risk; the contractor will not hold Caltrans liable for
damage to or loss of materials or equipment located within such areas.
The contractor shall maintain areas designated for contractor’s use in a neat and
presentable condition. Adequate measure shall be in place to protect soil, groundwater,
noise, and air contamination.
Before final inspection of the work, the contractor shall remove equipment, materials,
and rubbish from the work areas and other Caltrans owned property that the contractor
occupies. The contractor shall leave the areas in a neat and presentable condition in
conformance with the provisions in Section 4-1.02, “Final Cleaning Up,” of the
Contractor Use of Areas Outside of the State Right of Way Contractor Use of
Areas Outside of the
If sufficient area is not available to the contractor within the contract limits or at the
Caltrans owned sites outside the contract limits designated on the plans, the contractor State Right of Way
shall secure, at the contractor’s own expense, areas required for plant sites, storage
of equipment or materials, or other purposes. Contractor shall complete the Disposal,
Staging and Borrow (DSB) Site Submittal and obtain the resident engineer’s approval.
The contractor’s use of parcels outside of the Caltrans Right-of-Way and that are
not designated on the plans will be contingent upon successful approval by the resident
engineer of the DSB Site Submittal.

7-104 7-104 Air, Water, and Noise Pollution Control
Air, Water, and This section contains guidelines for administering the contract’s air, water, and noise
Noise Pollution requirements.
Control 7-104A Air Quality
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.
In areas where naturally occurring asbestos has been identified, the specifications
will set forth additional requirements to protect workers and the public. In this case,
the resident engineer should include consideration of asbestos in the project code of
safe practices.
7-104B Water Pollution Control
To ensure the control of pollutants in discharges of storm water runoff, Caltrans
projects may be subject to federal law under the Clean Water Act and state law
under the Water Code. The regulations require a National Pollutant Discharge
Elimination System Permit (storm water permit), issued by the State Water Resources
Control Board (SWRCB). The specifications require the contractor to conform to
the permit’s requirements.
For each construction project, the contractor must prepare a water pollution control
program (WPCP) in accordance with Section 7-1.01G, “Water Pollution,” of the
Standard Specifications, Caltrans Storm Water Quality Handbooks, and the contract’s
special provisions. These documents describe the measures the contractor must
implement to ensure that construction activities do not pollute the waters of the
state. The resident engineer must approve all such preventive measures, and then
the contractor’s forces must implement and maintain the measures.
Successfully protecting from pollution the state’s water resources (rivers, lakes, and
streams) is critical to the project’s success. These waters must be protected from
chemical pollutants and from sediment in storm water runoff. Chemical pollutants
include petroleum products, paint residues, and curing compounds. The Division of
Environmental Analysis, in conjunction with the Division of Construction, has
organized a task force (known as the “storm water task force”), consisting of
construction environmental specialists. This task force visits the projects, reviews
the contractor’s WPCP, and acts as technical advisors to the resident engineer.
7-104B (1) District Construction Storm Water Coordinator Responsibilities

District construction must have a designated construction storm water coordinator
who will carry out necessary administrative functions to prevent water pollution.
The coordinator will work with other functional areas in the district, assist resident
engineers to ensure compliance, and ensure that field construction personnel are
appropriately trained.
7-104B (2) Resident Engineer Responsibilities

The resident engineer must use all available assistance and expertise in preventing
water pollution. This assistance may come from the construction storm water
coordinator, other functional areas in the district (such as the environmental and
hydraulics units), or the storm water task force.

• Designate appropriate staff as storm water inspectors to assist in preventing
storm water pollution.
• Review the construction contract and the resident engineer’s pending file for
instructions and commitments.
• Ensure that all proper forms have been filed with the Regional Water Quality
Control Board (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
storm water measures and requirements. Depending on the project’s size and
complexity, this preconstruction conference may be used exclusively for
discussing water pollution prevention or the topic may be included in a general
• Provide the contractor with a copy of the conceptual storm water pollution
prevention plan (SWPPP) if one has been prepared, by the district design unit,
for the project.
• Review and approve the contractor’s SWPPP or WPCP as required by the
specifications. The construction storm water coordinator and the storm water
task force may assist in the review. Note that before the resident engineer has
accepted the plan, the specifications prohibit any work that has the potential to
cause water pollution.
• Before any earthwork begins, direct the contractor to deploy any storm water
“best management practices” (BMPs) called for in the SWPPP or WPCP.
During the course of work, the resident engineer must do the following:
• In compliance with the storm water permit, maintain a copy of the SWPPP or
WPCP on the project site.
• Inspect the contractor’s operations for compliance with the specifications and
the approved 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 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 the provisions that restrict the size of the
contractor’s disturbed soil area.

• Ensure the contractor notifies the resident engineer and obtains the resident
engineer’s approval in advance for each first-time nonstorm water discharge,
excluding exempted discharges.
• Monitor the contractor’s active and nonactive disturbed soil areas. Ensure the
contractor conducts soil stabilizing activities as specified.
• Ensure the contractor deploys storm water and nonstorm water BMPs whenever
associated construction activities are taking place.
• Direct the contractor to correct any deficiencies in compliance efforts identified
as a result of reviewing the contractor’s or compliance task force’s written reports.
• If any pollutants are discharged into the waters of the state, notify the construction
storm water coordinator immediately. Review the storm water permit to determine
the appropriate reporting timeframe, and provide a draft report of noncompliance
to the construction storm water coordinator. The construction storm water
coordinator will then forward the report to the RWQCB.
• Report to the construction storm water coordinator any illegal discharges or
connections. Require the contractor to prepare a notice of discharge as specified
in the SWPPP.
• If noncompliance occurs, take appropriate contractual sanctions against the
contractor based on the nature and severity of the situation. Such sanctions 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 contractor’s 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.
3. Bringing in a separate contractor to complete the work and billing the
contractor or the contractor’s bonding company for all costs.
• Meet with personnel from regulatory agencies, such as the United States
Environmental Protection Agency (EPA) and the RWQCB, and the storm water
task force to discuss storm water issues and measures.
• Ensure the contractor submits an annual certification of compliance as specified.
Sign, date, and file this certification in the project records.
Before accepting the contract, the resident engineer must do the following:
• As required by the contract, determine that all slopes are stabilized.
• 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.
Upon acceptance of the contract, file Form CEM-2003, “Notification of Completion
of Construction,” with the RWQCB.

7-104B (3) Storm Water Inspector’s Responsibilities
The resident engineer may assign an assistant resident engineer as the storm water
inspector. The storm water inspector will assist the resident engineer in carrying out
any or all of the inspection tasks and other work described above, as determined by
the resident engineer. Typically, the storm water inspector will do the following:
• Review and become familiar with the Standard Specifications and special
provisions pertaining to water pollution control.
• Review and become familiar with the approved 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 special daily reports on storm water pollution prevention. Record all
storm water management activities, or inactivity, and conversations with the
contractor regarding storm water pollution prevention. Record 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 rainfall is predicted, direct the contractor to deploy appropriate
BMPs as identified in 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’s Inspections

The special provisions for water pollution control require the contractor to regularly
inspect the construction site 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 Storm Water Pollution Prevention Plan
(SWPPP) and Water Pollution Control Program Preparation (WPCP) Manual (plan
preparation manual). Trained personnel must conduct the site inspections, using the
site inspection checklist, a copy of which must be provided to the resident engineer.
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. The contractor must follow the verbal notification with a
written report. The contractor’s report must conform to the provisions of Section
600.2, “Discharge Reporting,” of the plan preparation manual.
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 construction storm water coordinator. The construction storm water
coordinator will report it to the appropriate RWQCB. The resident engineer must
require the contractor to amend the WPCP or the SWPPP, if necessary, 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 approved or the ability of the approved
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 or municipal storm drain systems. 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 of these plan’s effectiveness
is diminished by any such changed condition. The SWPPP must also be amended if
it violates any condition of the permit.
Upon the resident engineer’s approval, the contractor must incorporate all WPCP or
SWPPP amendments into the on-site documents. The contractor must prepare WPCP
amendments in the format prescribed in Section 40, “Amendments,” in Section 3 of
the plan preparation manual. The contractor must prepare SWPPP amendments in
the format prescribed in Section 200, “SWPPP Amendments,” in Section 2 of the
plan preparation manual. In addition, SWPPP amendments must be entered into an
amendment log, as shown in Section 200.2,“Amendment Log,” in Section 2 of the
plan preparation manual.
The resident engineer must review the contractor’s proposed WPCP or SWPPP
amendment for completeness and conformance with the revised conditions, and give
written approval to the contractor if the amendments are acceptable.
7-104B (6) Project Files

The resident engineer must keep copies of all documents related to storm water
pollution prevention in category 20, “Water Pollution Control Plan or Storm Water
Pollution Prevention Plan,” of the project files. Retain all the required documents
for at least three years after contract completion. These documents include the
following:
• SWPPP or WPCP and all amendments.
• Daily reports and photographs related to the prevention of storm water pollution.
• The contractor’s site-inspection checklists.
• The contractor’s reports of discharge.
• All correspondence related to storm water pollution prevention, including notices
of noncompliance.
• Inspection reports from the storm water compliance task force.
• Inspection reports from the resident engineer and assistant resident engineer.
• Copies of the certifications required by the specifications.
• Form CEM-2003, “Notification of Completion of Construction.”
7-104B (7) Contractor’s files

The specifications require the contractor to keep at the project site copies of the
SWPPP or WPCP and all approved amendments.

7-104C Noise Control
Construction and traffic noise is often a sensitive issue in neighborhoods and
communities adjacent to state highways. Major funding often has to be provided to
pay for highway noise reduction through the construction of sound walls and other
noise attenuation. Construction contractors are required to have appropriate noise
attenuators in good working condition on all equipment. Special restrictions may be
employed on night work in sensitive areas, such as residential neighborhoods, schools,
or hospitals near the project site.
7-105 Permits 7-105

This section covers environmental related permits issued by regulatory agencies. Permits
7-105A Special Use Permits
The U.S. Forest Service, Bureau of Land Management, and other federal agencies
issue special use permits to Caltrans to construct and operate highway facilities across
lands under their jurisdictions. Special use permits often require Caltrans to construct
facilities in certain ways to protect the environment.
7-105B Fish and Game Code Sections 1601 and 5650
Section 1601 of the Fish and Game Code requires that public agencies such as Caltrans
reach an agreement with the California Department of Fish and Game if the proposed
work affects a waterway. The agreement this section of the code requires is known
as the “Lake/Streambed Alteration Agreement,” also known as the 1601 agreement.
Anything showing as a blue line on an U.S. Geological Survey (USGS) map is
considered a waterway. The California Department of Fish and Game may also
designate other areas as protected waterways, such as roadside ditches or ephemeral
streams. When in doubt, consult with your representative from the California
Department of Fish and Game. The 1601 agreement specifically prohibits polluting
the waters of the state and may specifically prohibit certain activities at certain times
of the year, such as work in the river during spawning season. The agreement 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 the placement of specified materials
in the waters of the state. Violations can result in major fines or even jail. 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 the California Department
of Fish and Game 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 611.11, “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 your California Department of Fish and
Game representative.

7-105C List of Potential Permits
The first table below may be used as a guideline for when permits or approval of
contract plans may be required from state or local governmental agencies. The left-
hand 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. Most required permits and
plan approvals should be obtained during the project’s design phase. However, the
table 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.
The second table below 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, and the third column lists the statute or regulation
that applies to the resource or activity.

Table 7-1.1 State and Local Agency Permits (1 of 3)
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 Timberland conversion permit

nonforest uses through timber Forestry
operations and immediate
timberland production zone
rezoning
Power transmission lines, Public Utilities Commission Review of plans and approval
pipelines, and railroad
crossings
Solid waste disposal California Integrated Waste Disposal requirements

Management Board
Sewage disposal County health department Disposal requirements
Waste discharge State Water Resources Discharge requirements

Control Board; Regional
Water Quality Control Board
Storing, treating, or disposing Department of Toxic Hazardous Waste Facilities Permit

of hazardous waste Substances Control Hazardous waste discharge requirements;
Underground Storage of Hazardous
State Water Resources Substances Permit
Control Board; Regional
Water Quality Control Board;
local agency
Right-of-way across state California Department of Right of-way permit, license, easement,
parkland Parks and 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 Lake/Streambed Alteration Agreement

floodplain, intermittent streams, and Game (1601 agreement)
and desert washes
Encroachment on or across Department of Boating and Review of plans

cove, bay, or inlet Waterways
Air quality Air Resources Board or local Authority to construct and permit to
air pollution control district operate for activities emitting stationary
source pollutants to the atmosphere
Fish and wildlife habitat California Department of Fish Lake/Streambed Alteration Agreement
and Game for activities in lakes, streams, and
channels and crossings
7 11
Water California State Lands Land use lease (for encroachments,

Commission crossings on tidelands, submerged lands,
and so forth.)
National Pollutant Discharge Elimination

State Water Resources System Permit for storm water
Control Board; Regional discharges to surface water;
Water Quality Control Board
Waste discharge requirements for
nonstorm discharges to surface water or
groundwater to the waters of the state
Department of Health
Services, Division of Drinking Permit to Operate a Public Water System
Water and Environmental
Management; or local health
office
Dredging California Department of Fish Standard or special suction dredging

and Game State Lands permit
Commission
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 Burn permit

district; California Department
of Forestry; local fire control
agency
Grading Local agency (county or city) Grading permit
Entering private property
? to gather information Caltrans district right-of-way Property owner approval for temporary
unit encroachment
? for temporary use Caltrans district right-of-way

unit
Property owner right of entry

approval
Entering surface waters to Regional water quality control Water quality certification
gather information or for board
construction or waiver
All activities involving dams or California Department of Approval of plans

reservoirs Water Resources, Division of
Safety of Dams

Resource or Activity Agency Federal Statute, Regulation or

Executive Order
Water US Army Corps of Engineers ; Federal Clean Water Act (Section 404)
United States Environmental Regulations concerning the National
Protection Agency (EPA); Pollutant Discharge Elimination System
Bureau of Reclamation; U.S. Fish (40 CFR)
and Wildlife Service; National
Marine Fisheries Service
Air United States Environmental Clean Air Act, Title 42, sections 7401
Protection Agency through 7414
Fish and Wildlife Habitat U.S. Fish and Wildlife Service; Endangered Species Act (Section 7)
U.S. Forest Service; The National
Park Service; National Marine
Fisheries Service
Navigable Waters US Army Corps of Engineers; Rivers & Harbor Act

U.S. Coast Guard
Federal Lands U.S. Forest Service; Bureau of

Land Management; National Park
Service
Historic Properties Advisory Council on Historic National Historic Preservation Act

Preservation (Section 106)
Coastal Zone US Army Corps of Engineers;

U.S. Fish and Wildlife Service;
National Oceanic and
Atmospheric Administration
Wild and Scenic Rivers National Park Service Code of Federal Regulations: 36 CFR
297; 43 CFR 8350
Wetlands US Army Corps of Engineers; Executive Order 11990 (Protection of

United States Environmental Wetlands)
Protection Agency
Floodplains Federal Emergency Management Executive Order 11988 (Floodplains

Agency Management)
Dredging US Army Corps of Engineers;

U.S. Coast Guard
Airport Airspace Federal Aviation Administration Federal Aviation Regulations, Part 77
Farmland National Resources Conservation Farmland Protection Policy Act

Service

7-106 7-106 Environmental Hazards and Safety Procedures
Environmental This section contains guidelines for handling and dealing with hazardous materials,
Hazards and Safety hazardous waste, and hazardous spills on construction projects. See Table 7-1.1,
Procedures “Unknown Hazards Procedures,” at the end of this section for properly handling
underground tanks, gases, odors, and uncontained spills.
7-106A Hazardous Materials
Many hazardous materials are used in the construction of highway facilities.
Employees must take appropriate precautions to minimize their exposure and use
protective clothing and equipment. Contractors must submit material safety data
sheets 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, see Chapter 16, “Hazardous Materials
Communication Program,” of the Caltrans Safety Manual. For guidelines for the
use of pesticides, see Section 4-20, “Erosion Control and Highway Planting,” of the
Some special permits are required for dealing with hazardous materials during
construction. Demolishing a bridge, whether new, old, or temporary, requires an
asbestos survey and a permit from the local air quality management district. Reusing
soils contaminated with aerially deposited lead is generally prohibited. For low levels
of lead contamination, Caltrans has a variance to this rule issued by the Department
of Toxic Substances Control. This variance is not automatic. You must notify the
department before working under the variance.
For guidance regarding special permit requirements, contact the district environmental
unit.
7-106B Hazardous Waste
District construction division must have a designated district hazardous waste
coordinator who will carry out necessary administrative functions for hazardous
waste. The coordinator will work with other functional areas in the district and
headquarters to do the following:
• Identify hazardous waste training needs.
• 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 known and unknown waste.
Caltrans construction employees must follow safe practices and minimize their
exposure when dealing with hazardous wastes. Minimize potential risks during project
construction by having all construction personnel follow the general procedures
below:
• After unknown and potentially hazardous wastes (including underground tanks)
are discovered, cease construction work in that area.
• Secure the vicinity of the find by cordoning off the area with barriers or fences,
and evacuate the vicinity if the resident engineer deems such an action necessary.
• 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. 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.
• 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, the Code of Federal
Regulations, Title 29, Part 1910.120 (29 CFR1910.120) requires that no one
enter the designated exclusion zones until the establishment of a complete and
effective “hazardous waste worker protection program” 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.)
7-106B (1) Hazardous Waste Disposal Contracts

When dealing with the identification, assessment, and mitigation of hazardous
material or waste, the resident engineer must obtain technical assistance. This
assistance is available from the district hazardous waste coordinator and staff in the
Division of Environmental Analysis’ Noise, Air, and Hazardous Waste Management
(NAHW) Office. The NAHW is responsible for providing construction hazardous
waste emergency contracts and providing procedural direction. In addition, you may
seek assistance from the maintenance hazardous spill coordinator.
When using the construction hazardous waste emergency contracts, the resident
engineer must request all needed services and act as the contract manager. The resident
engineer may not delegate this overall responsibility for the hazardous waste portion
of the project. The resident engineer reports all expenditures for hazardous waste to
the construction hazardous waste coordinator in the district construction office.
The resident engineer must also coordinate activities under the contract with other
Caltrans functional units. When hazardous waste or underground tanks are found,
the resident engineer notifies both the district and the Division of Construction. The
resident engineer also notifies the district Proposition 65 coordinator and the NAHW
in Sacramento.
As contract manager, the resident engineer must do the following:
• Provide funds for the work from project contingency funds or from supplemental
funds obtained through a funds request.
• Request services under the contract.
• Prepare the work request.
• Process the work request authorization.
• Authorize the contractor to begin work.
• Ensure work is performed as stipulated in the work request and according to the
contract terms.
• Review and approve invoices for payment.
• Review reports.
• Maintain project records in regard to the hazardous waste work.
• Evaluate contractor performance when work is not performed satisfactorily.
7-106B (2) Removal of Yellow Traffic Stripe and Pavement Markings
Follow the procedures below when assessing, removing, and disposing of yellow
traffic stripe and pavement marking materials on all projects.
7-106B (2a) Construction contract review:

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. The project may proceed as planned if one of the following
situations exist:
• All yellow traffic stripe and pavement marking material to be removed has
been previously assessed and found to be free of lead.
• Yellow traffic stripe or pavement marking material to be removed has been
tested and found to contain lead, and its removal and disposal as a regulated
or 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 and have lead testing
done.
7-106B (2b) Testing and removal requirements:

The resident engineer may order the prime contractor to test the striping and
marking materials for lead. This testing should be paid for as extra work.
Depending on the result of testing, proceed as follows:
• Nonregulated levels of lead found: If no lead is detected by the initial testing
or is detected at levels less than 350 ppm total lead and less than 5 ppm
soluble, no additional testing or collection of residues is required. The
contractor can dispose of the residue as with any other construction debris.
• Nonhazardous regulated levels of lead found: When lead levels detected by
testing are less than 5 ppm soluble and less than 1,000 ppm total but more
than 350 ppm total, an employee safety and health plan does not have to be
prepared. Measures to suppress dust and follow good personal hygiene are
still required. All residue resulting from yellow traffic stripe and pavement
marking removal, including any removal agent, must be collected and stored
in sealed drums. The material must be retested and disposed of appropriately
as set forth in “Retesting and Disposal,” later in this section.
• Hazardous levels of lead found: Should the lead levels detected by this initial
testing be greater than 1,000 ppm total lead or greater than 5 ppm soluble
lead, treat removal as lead abatement work. Even when not contemplated in
the contract, the abatement of lead contained in striping by the construction
contractor is allowable under Section 25914.2 of the Health and Safety Code
and Section 7058.7(d) of the Business and Professions Code. The contractor
must test the striping material when directed but may refuse to do the
abatement work when it was not included in the original contract. If the
contractor refuses the lead abatement work, one of the construction hazardous
waste emergency contractors will perform the work. Proceed as follows
when lead abatement is required.

• Training: The contractor responsible for lead abatement must provide a safety
training program that meets the requirements in Section 1532.1, “Lead,” of
the Construction Safety Orders. 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 abatement program: Work practices and worker health and safety must
conform to Section 1532.1, “Lead,” of the Construction Safety Orders. The
contractor must submit the written compliance programs required in
Subsection (e)(2), “Compliance Program,” of Section 1532.1, to the engineer
before starting to remove yellow traffic stripes and pavement markings and
at such times when revisions to the programs are required. An industrial
hygienist certified by the American Board of Industrial Hygiene must prepare
the compliance programs. A competent person who is capable of taking
corrective action must monitor the programs. Require that copies of all
inspection reports made in accordance with Section 1532.1 are given to the
resident engineer.
• 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 in properly labeled containers approved for the
transport of hazardous waste by the U.S. Department of Transportation.
2. Cover and handle the containers in such a manner that no spillage will
occur.
3. Enclose the stored containers with temporary fencing at a location within
the project limits approved by the engineer.
4. Begin disposing of the contained residue no more than 90 days after
accumulating 100 kg of residue.
• Retesting and disposal: Before disposal, retest the residue collected in the
containers. 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, dispose of the stored material as follows:
1. The contractor can dispose of the stored material in the same manner as
any other construction debris when the stored material’s lead content is
detected at levels less than 350 ppm and less than 5 ppm soluble.
2. The abatement contractor must take the stored residue to a Class 1
disposal site when its lead content is detected at levels greater than 350
ppm but less than 1,000 ppm total lead and less than 5 ppm soluble.
However, in this case, the stored residue does not require hazardous
waste manifesting or handling by a registered hauler. In the project files,
retain the records of the testing and the amounts of residue tested and
disposed.
3. Treat the stored residue as hazardous waste when its lead content is
detected to be at levels greater than 1,000 ppm total lead or greater than
5 ppm soluble. Keep records in accordance with current requirements
for hazardous waste handling and disposal, and file them in the project
files. The abatement contractor must dispose of all residues resulting
from yellow traffic stripe and pavement marking removal at an approved

Class 1 disposal facility in accordance with the requirements of the
disposal facility operator. A transporter currently registered with the
Department of Toxic Substances Control using correct manifesting
procedures must haul the yellow traffic stripe and pavement marking
residue.
The abatement contractor must make all arrangements with the operator
of the disposal facility and perform any testing of the yellow traffic
stripe and pavement marking debris required by the operator. The
abatement contractor must submit the name and location of the disposal
facility along with the testing requirements to the engineer before starting
removal of yellow traffic stripe and pavement markings on the project.
The resident engineer must obtain the United States Environmental
Protection Agency identification number and sign all manifests as the
generator.
4. Unless the lead removal work was already contemplated in the
construction contract, pay as extra work all work performed for testing,
additional removal costs, retesting, and additional disposal.
7-107 7-107 Hazardous Spills

Hazardous Spills Each district maintenance unit has a maintenance hazardous spill coordinator and
other personnel trained in handling highway spills. When an unknown substance is
deposited or spilled from a vehicle on a roadway because of a construction project,
contact the maintenance hazardous spill coordinator for assistance in containment,
identification, and cleanup. For instructions on reporting hazardous highway spills,
see Section 2-3, “Major Construction Incidents,” of this manual. If the contractor
spills hazardous materials, the contractor must comply with applicable laws and
regulations as well as cleanup and disposal.
If an unidentified spill is expanding and threatening adjacent sensitive areas, begin
containment immediately if it can be done without personal exposure.
Conventional methods for containment include interception with dikes or ditches at
sufficient distance downstream to avoid contact with the material. Prevent employees,
workers, or the public from being exposed to any unknown spilled material.

Table 7-1.1 Unknown Hazards Procedures
If resident engineer encounters Stop work in the vicinity of the find. Evaluate level of risk to
underground tanks, gases, odors, workers and public. Cordon off area and evacuate if resident
uncontained spills. then........... engineer deems appropriate. Do not allow construction
personnel to do any exploratory or investigative work that
would result in further personal exposure.
Resident engineer contacts*: 1) district construction hazardous waste coordinator, 2) district

hazardous waste coordinator, 3) Division of Environmental Analysis' Noise, Air, and Hazardous
Waste Management Office, and if appropriate, 4) maintenance hazardous spill coordinator, and
5) district Proposition 65 coordinator
*If deemed an emergency, immediately call in an emergency hazardous work contractor and then
follow-up with coordinator steps
Division of Environmental Normal

Resident engineer, district
Analysis' Noise, Air, and Disposal Construction
construction hazardous waste NO
Hazardous Waste reviews Solid continues
coordinator/district hazardous
if needed. Hazardous Waste
waste coordinator makes field
review waste present?
Yes / Maybe
Resident engineer seeks assistance using

hazardous waste emergency contracts
Emergency ASAP
Hazardous waste emergency contractor No hazardous

makes preliminary determination waste found
Hazardous waste
present
District construction hazardous waste coordinator/resident engineer contacts regulatory agency

only if necessary (examples: dumping, pulling tanks, etc.)
Hazardous waste investigation or removal plan developed between Caltrans, emergency contractor
and regulatory agency
Emergency contractor characterizes hazardous waste and limits of contamination
Emergency contractor develops and implements approved cleanup plan and/or removes tanks
Mitigation
For example, disposal, local permits, transportation, safety, EPA numbers
Follow-up
For example, refer to Legal for cost recovery

7-108 Certification 7-108 Certification of Environmental Compliance
of Environmental A Certificate of Environmental Compliance (CEC) is prepared at the end of the
Compliance project to document the mitigation monitoring and reporting program required under
the California Environmental Quality Act for every construction project unless no
mitigation measures were identified or undertaken. This requirement is shown in
Section 270.50 of the Guide to Caltrans Capital Work Breakdown Structure. The
basic purpose of the CEC is to certify that the mitigation measures were implemented
in accordance with the contract.
The resident engineer is responsible for ensuring that the CEC is prepared and
distributed. The CEC lists all mitigation measures for the project and includes a
discussion of:
• The effectiveness of the constructed mitigation measures;
• Whether the mitigation measures were met and, if not, what measures were
implemented;
• How well the contract specifications satisfied all environmental commitments
and concerns; and
• Additional mitigation measures required as a result of project changes along
with their outcomes.
If an Environmental Commitment “punch list” was prepared, this list can serve as
the basis for the CEC documentation.
The CEC will need to be signed by all responsible parties including the Environmental
Generalist, the Project Manager, and the Resident Engineer. If the District has an
Environmental/Construction Liaison, then this person should also sign the CEC.
The CEC must be sent to the State Office of Planning and Research (1400 Tenth
Street, Sacramento 95814) for review and filing. Copies of the CEC are to be provided
to all of the district or regional organizational units responsible for the project
including Environmental, Design, Project Management and Construction.
The CEC is to be fully discussed at the project close out meeting as it sets forth the
lessons learned on the project and it identifies areas in environmental compliance
that may need improvement.
7-109 Solid Waste 7-109 Solid Waste Disposal and Recycling Reporting
Disposal and Contracts containing special provisions for solid waste disposal and recycling reports
Recycling Reporting require the contractor to chronicle landfill disposal and material recycling activity
performed through the duration of the contract. The contractor reports this information
via the Division of Construction Form CEM-2025, “Solid Waste Disposal and
Recycling Report.”
The contractor submits the annual report to the resident engineer by the 15th day of
January, and five days following contract acceptance. If no work was conducted
during the reporting period, the report states 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. Review all reports submitted by
the contractor for accuracy. Compare the total volumes of materials taken to, and
diverted from, landfills from the Solid Waste Disposal and Recyclying Reports with
the approximate volume of work requiring the removal of materials. Before approving
each report, resolve any discrepancies in material type or volume with the contractor.
Each report submitted by the contractor that is either delinquent or grossly inaccurate
is subject to a deduction of $10,000 (ten thousand dollars) for non-compliance.
Submit the approved Solid Waste Disposal and Recycling Reports directly to the
district recycling coordinator and a copy to the statewide recycle coordinator in the
Division of Design. District and statewide recycling coordinators contact information
is available via the following Internet address:
http://www.dot.ca.gov/hq/oppd/ab75/coordinators.htm

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 Officer
8-102B (1) District Labor Compliance Officer General Responsibilities
8-102B (2) Labor Compliance Officer 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 and Subsistence
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) Deductions
8-103B Wage Calculation Methods
8-103C Payroll Deductions
8-103C (1) Inadequate payrolls
8-103C (2) Delinquent payrolls
8-103C (3) Missing payroll Deductions
Example 8-1.1 Estimate Number One
Example 8-1.2 Estimate Number Two
Example 8-1.3 Estimate Number Three
Example 8-1.4 Estimate Number Four
Example 8-1.5 Estimate Number Five
8-103C (4) Refusal to provide payrolls
8-103C (5) Correlation of Payrolls and Extra Work Bills
8-103C (6) Withholding Payment for Violations
8-103C (7) Documents outstanding at the time of Contract Acceptance

Labor Compliance 8-1.i
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) For truck owner-operators:
8-103D (2b) For 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 Firms
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 (1) Withhold of Funds Hearing
8-107 Debarment of Contractors

8-107A State
8-107B Process for Filing a Debarment Compliant
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
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 5), and regulations of the Federal Highway Administration (FHWA) 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 such things as 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, Division of Labor Statistics and Research (DLS&R) will determine and
publish the general prevailing wage rates and those rates are referenced in the
contract’s special provisions.
The Division of Construction labor compliance unit establishes policy for and
administers FHWA-delegated labor compliance responsibilities, as well as the
Department of Industrial Relations approved Caltrans’ labor compliance program
(LCP). The labor compliance and civil rights function is a unit of the Division of
Construction.

Labor Compliance 8-1.1
8-102 8-102 Labor Compliance Responsibilities
Labor Compliance The responsibilities and procedures when administering the contract’s labor
Responsibilities compliance requirements are described as follows:
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 special provisions. To fulfill this
responsibility, the resident engineer and support staff must have an adequate working
knowledge of the contract labor standards.
Early surveillance and detection of labor compliance violations are preferable to
conducting belated investigations and implementing formal enforcement actions.
Caltrans encourages the resident engineer to bring labor compliance issues to the
attention of the contractor and the district labor compliance officer immediately
upon detection. Resolve minor issues, such as clerical errors or inadvertent acts, at
the project level. Give the contractor ample opportunity to take corrective action so
that the dispute can be quickly resolved informally. At the time the labor compliance
issue is identified, take a deduction from payment due the contractor. Base any
decision to take deductions on the recommendation of the district labor compliance
officer. If the contractor provides evidence of full restitution, promptly return the
deduction to the contractor. In the event, the contractor does not take corrective
action, the resident engineer must notify the district labor compliance officer.
When the contractor knowingly violates labor law or refuses to comply with the
contracts labor provisions, the contractor has committed a willful labor compliance
violation. 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 officer 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 engineer’s specific responsibilities are:
• Ensure that labor compliance, equal employment opportunity (EEO), and
disadvantaged business enterprise (DBE) or disabled veterans business enterprise
(DVBE) requirements are discussed at the preconstruction conference. Document
this discussion, and file the information in the project records.
• Forward all labor compliance, EEO, DBE, and DVBE documents submitted by
the prime contractor 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 displayed at the job site.
• Notify the district labor compliance office of all contractor and subcontractor
activity during the week.
• After receiving recommendations from the district labor compliance officer,
authorize deductions from progress pay estimates for labor compliance, EEO,
DBE, and DVBE violations.

8-1.2 Labor Compliance
• Document labor compliance project activities on the assistant resident engineer’s
daily report. Minimally, this documentation must include the following
information:
1. Contract number
2. Name of contractor with name of employee
3. Hours worked
4. Classification of employees
5. Items of work with description and operated equipment with name of
operator and name of operator’s employer
• Confirm that wage rates and hours listed on extra work bills match prevailing
wage rates and hours listed on the contractor’s certified payrolls.
• Ensure that Caltrans personnel under resident engineer supervision properly
record charges for labor compliance activities. Details are available from the
district labor compliance officer 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, see below under the heading “Interviews With Contractor Personnel.”)
The frequency of these interviews should be at the rate of three 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. The number of interviews taken
must constitute a representative sample of workers employed on the project.
8-102A (3) Interviews With Contractor Personnel

The contract labor standards require the contractor to allow authorized Caltrans
personnel to interview contractor employees during working hours.
Generally, 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 to check the validity of
information shown on the payrolls and 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 or labor compliance violation, notify the labor compliance
officer, who will conduct a full investigation. Send the original form to the district labor
compliance officer.
Conduct a minimum of three prime contractor interviews for each contract each month.
Conduct at least one interview for each subcontractor. A variety of crafts and trades
should be interviewed.
In the case of a small contractor having two or three employees on the project for several
months, you won’t need to keep taking interviews once all the contractor’s staff have
been interviewed and the resident engineer is satisfied that the contractor is fully compliant
with the labor compliance provisions of the contract. If the resident engineer chooses to
suspend further interview activity, document the decision in the project records.
During the interviews, assure the interviewees that their statements, whether oral or written,
will be confidential. Do not disclose to the employer the identity of the employee without
the employee’s consent.

In addition to conducting the usual interviews, interview truck and equipment
operators designated as “owner-operator” to determine the correctness of this
classification. 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 Officer
The district labor compliance officer administers and monitors the labor compliance
policy by assisting resident engineers in the enforcement of the labor compliance
requirements in the contract special provisions.
8-102B (1) District Labor Compliance Officer General Responsibilities

Under the general direction of the district construction deputy director, the district
labor compliance officer has immediate charge of the district labor compliance office
and must directly supervise and train those assigned to assist in administering and
monitoring labor compliance and other related contractual obligations. Further, the
district labor compliance officer must ensure that employees use proper charging
practices when performing labor compliance activities.
The administration and monitoring of labor compliance provisions extends to all
types of state and federal highway construction projects including the following:
• Minor contracts
• Service contracts
• Maintenance contracts
• Right-of-way demolition contracts
• Local assistance projects
8-102B (2) Labor Compliance Officer Project Responsibilities

The district labor compliance officer’s specific responsibilities, in assisting the
resident engineer to administer contracts, are:
• Attend or delegate attendance at 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. Forward one copy of the employee interview to the
Division of Construction’s labor compliance unit.
• For investigation and follow-up, refer EEO complaints to the contract compliance
unit of Civil Rights. For detailed information on the EEO complaint process,
refer to Section 8-2, “Equal Employment Opportunity,” of the Construction
Manual (manual).
• To ensure certified payrolls are accurate and complete, use random sampling to
crosscheck the payrolls against assistant resident engineers’ diaries. Crosscheck
classifications, hours, names, and state and federal prevailing wage rates. To
supplement payrolls, use apprenticeship agreements and fringe benefit statements.
• When necessary, recommend to the resident engineer that appropriate deductions
be withheld from progress payments made to the contractor.

• To determine if the labor compliance provisions of the contract have been
breached and to verify the accuracy of payrolls, review source documents at the
contractors’ office and collect evidence.
• During the life of a contract, review contractors and subcontractors with a history
of poor labor standards practices. The Division of Construction’s labor
compliance unit maintains a master file of contractors’ payroll source documents
reviews. The objective of the master file is to avoid unnecessary or repetitious
source document reviews. Therefore, when a district anticipates making a review,
first call the Division of Construction’s labor compliance unit to determine if a
similar review occurred recently on the same contractor. When a review has
been completed, fill out Form CEM-2508, “Contractor’s Payroll Source
Document Review,” and Form CEM-2509, “Checklist - Source Document
Review.” Forward these forms to the Division of Construction’s labor compliance
unit.
• When wage underpayments have occurred, prepare labor compliance violation
cases and submit them to the Construction Program labor compliance unit for
approval. Upon review and approval, the Construction Program labor compliance
unit will submit the case to the California Department of Industrial Relations
for state labor code violations. A copy must be retained in the project records
when federal labor laws have been violated.
• 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
Labor compliance regulations are included in the contract special provisions. The
prime contractor is responsible for labor compliance for its own company as well as
all subcontractors. 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 under the
heading “Covered and Noncovered Employment” later in this section. 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.
Labor provisions of the contract require the same standard of performance from
prime contractors and subcontractors as expected of all other requirements of the
contract. For noncompliance with contract labor provisions, 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 7-1.01(3), “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 either the resident engineer or the district labor compliance
office by the 15th of the following 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 employee’s full name, address, and social security number. The employee’s
address and social security number need only appear on the first payroll on
which the employee’s name appears. Company owners, superintendents, and
nonworking foremen need only be listed by name, title, and hours worked. The
employee’s 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 employee’s hourly wage rate. If the employee worked overtime hours, then
report the applicable 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 following are guidelines
for checking certified payrolls. In most cases the labor compliance officer will
conduct the payroll review; however in some districts, payroll documents are checked
by the resident engineer.
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 and Subsistence

When a project is located in a geographic area designated as a subsistence area,
contractors are required to make travel and subsistence payments to their employees
in accordance with the current collective bargaining agreements 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 bargaining agreement for each craft.
8-103A (3) Workday

Each workday is considered to begin at 12:01 am and to extend a full 24-hour period,
ending at 12:00 pm. For those contractors working at night, for instance a Friday
evening and Saturday morning, the payrolls should reflect regular pay rates of hours
worked on Friday, and applicable premium rates of pay for all work beginning at
12:01 am on Saturday morning.
8-103A (4) Assistant Resident Engineers’ Daily Reports

Using assistant resident engineers’ daily reports, verify that the payroll reflects the
labor used and the hours worked for each day of work at the job site, including
weekends and holidays. 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 or 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. The federal
wage decisions do not differentiate between weekday rates of pay and Saturday or
Sunday rates of pay; however, the state prevailing wage rates do list premium rates
of pay for work performed on Saturdays and Sundays.
8-103A (7) Apprentices

Apprentice classifications are correctly identified 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.
8-103A (8) 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, Code of Federal
Regulations, Title 29, Part 3, “Copeland Anti-Kickback Act.” Additional regulatory
language can be found in Chapter 1, “Payment of Wages,” Sections 213, “Limitations
Upon Effect and Applicability of Section 212,” and 224, “Withholding or Diverting
Portion of Wages Under Law or Written Authorization,” of the California Labor
Code.
8-103B Wage Calculation Methods
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 a halftimes 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
2 hours @ $29.00/hour = $ 58.00
Total Pay for the day = $234.00
Method Two: Adjusted rate of pay
10 hours @ $22.00/hour = $220.00
2 hours @ $ 7.00/hour = $ 14.00
Total Pay for the day = $234.00
8-103C Payroll Deductions
This section covers payroll violations, discrepancies, delinquencies or inadequacies.
The contractor must submit payrolls and accompanying statements of compliance
in accordance with the special provisions and Section 7-1.01A(3), “Payroll Records,”
8-103C (1) Inadequate payrolls

When discrepancies are found during payroll review, the following procedures must
be taken:
• The district labor compliance officer must request that the contractor submit a
supplemental payroll correcting the discrepancy. Under no circumstances should
you return incorrect or incomplete certified payrolls 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.
• The contractor must then make the corresponding correction to its payroll records
and provide proof of wage restitution for all effected employees. This can be in
the form of canceled checks, copied both front and back.
• To ensure that payroll inadequacies or discrepancies are corrected, use a tabulation
or summary sheet to record discrepancies and to note when and how each error
was corrected. This record need not be elaborate. In most cases, a simple
tabulation showing the name of the person or firm, the payroll period or week
ending date, the discrepancy, and the method of correction is sufficient. The
labor compliance officer must fill out Form CEM-2507, “Labor Violation: Case
Summary” and submit it, along with a copy of the tabulation, to the Division of
Construction labor compliance unit.
8-103C (2) Delinquent 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. The labor compliance officer must notify the resident engineer and the
contractor which certified payroll documents are missing.
The resident engineer must deduct monies due to the contractor on the monthly
progress pay estimate in accordance with Section 7-1.01A(3). Make deductions
separately for each estimate period in which a new delinquency appears. When all
delinquencies for a period have been corrected, release the deduction covering that
period on the next progress pay estimate.
8-103C (3) Missing payroll Deductions

Example 8-1.1 Estimate Number One
The following examples illustrate the process for taking and releasing deductions
on the monthly progress pay estimates.
Progress pay estimate number one has a value of $9,500.

Value of the deduction is 10 percent of $9,500 or $950.
Therefore, the resident engineer must deduct the minimum amount of $1,000.

Example 8-1.2 Estimate Number Two
Estimate number two has a value of $49,000.
One or more pay documents are still delinquent under a previous month’s
deduction plus one or more new delinquencies for this period.
Value of the deduction is 10 percent of $49,000 or $4,900. Last months
deduction was a total of $1,000. Therefore, the resident engineer should have
a total deduction of $5,900 from the current progress payments due to the
contractor.
Example 8-1.3 Estimate Number Three

The delinquencies are all cleared up for the previous month but new
delinquencies have originated during this period. Estimate number three has
a value of $55,000.
Value of the deduction is 10 percent of $55,000 that is equal to $5,500. Total
deductions for this pay period are $5,500.
The resident engineer should return $5,900 - $5,500, or $400 to the contractor
for the current progress pay estimate.
Example 8-1.4 Estimate Number Four

The contractor has not corrected the problems with the payrolls in question
during progress pay estimate number three. No new delinquencies have
occurred. No additional deduction is warranted. Make no change to the amount
of money deducted from the contractor for this period, and continue to hold
$5,500.
Example 8-1.5 Estimate Number Five

Progress pay estimate number Five is for a total of $120,000. The contractor
has a carry over deduction from progress pay estimate four of $5,500.
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 deduction for missing labor compliance documents is
$10,000 per pay estimate.
The total value for labor compliance violations is $10,000 + $5,500 =
$15,500.
8-103C (4) Refusal to provide payrolls

If the contractor refuses to submit certified payrolls, in accordance with Section 7-
1.01A(3), “Payroll Records,” of the Standard Specifications and the requirements
of the special provisions, notify the contractor by certified mail that payrolls have
not been received. The letter should advise 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 Section 1776(g) of the California
Labor Code in the amount to $25.00 per worker for each calendar day the payroll
has not been submitted. If the payroll has not been turned in after 30 days of the date

of the letter, the resident engineer should request the district labor compliance officer’s
assistance to subpoena these documents. 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. Careful consideration should be given before assessing these
permanent deductions.
8-103C (5) Correlation of Payrolls and Extra Work Bills

Compare the labor charged by the contractor for extra work with the corresponding
payrolls. The certified payrolls and fringe benefit statements serve as source
documents for approval of every extra work bill. The extra work bill must show the
identical labor classifications, hours worked, and wage rates, including fringe benefits,
that are shown on the certified payroll documents. The labor compliance office must
notify the resident engineer immediately of any discrepancy. Do not approve payment
of the extra work bill until the discrepancy is corrected or it is determined by the
labor compliance officer to be a labor compliance violation; not an extra work
overcharge.
8-103C (6) Withholding Payment for Violations

For any labor compliance violation that results in penalties assessed against the
contractor, use the following procedure:
The district labor compliance officer 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 inadvertent, a mistake, or a willful violation. Based on the intent
of the violation, recommend the 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. In all
situations other than inadvertence or mistake, the Division of Accounting Services
Disbursing Office will withhold the full amount equaling the state and federal
penalties and the amount of wage underpayments.
When the California Department of Industrial Relations, Division of Labor Standards
Enforcement receives a complaint, that complaint will be forwarded to the district
labor compliance officer for investigation of wage underpayment. If a wage
underpayment is found, the district labor compliance officer must write up a formal
labor violation case, make appropriate including recommendations for penalties,
and submit it to the Division of Construction labor compliance unit.
8-103C (7) Documents Outstanding at the Time of Contract Acceptance

When there are outstanding documents, such as payrolls, take an “Other Outstanding
Documents” (OOD) deduction from payment to the contractor on the after acceptance
estimate as covered in Section 3-9, “Measurement and Payment,” 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 as shown on all payrolls.
• Business address of the owner-operator.
• The owner-operator’s social security number.

• The tractor license number. If the equipment is used off highway, the contractor
must provide a complete description of the equipment and include the dates that
equipment was operated on the project.
• Operator labor classification
• Hours worked by the owner-operator as reported on a daily basis.
• Hourly rental 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 hourly wage rate so determined 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 contractor’s
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 officer.
8-103D (2a) For truck owner-operators:
• 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’ 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 officer.
• Insurance for the vehicle should be carried in the driver’s 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 driver’s name. If the name on the CA number
doesn’t 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 officer. The district labor compliance officer will send
information to the Division of Construction labor compliance unit to be run
through Department of Motor Vehicles’ or CHP Motor Carrier Permit Division
record check.
8-103D (2b) For equipment other than trucks:
If the owner operator is leasing or financing the equipment, then 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 resident
engineer 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.
The terms “jobsite” 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 two 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 under investigation. 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 officer 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 company’s 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 the contractor is required to
pay prevailing wages to employees.
8-104B Material Plants
Roadside production of materials produced by other than the contractor’s forces is
considered as “subcontracted” with respect to the contract labor standards.
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 by the contract labor standards. Use the
following guidelines to determine if a plant is commercial and therefore not covered
by contract labor provisions:
• 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 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 rate 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 the Davis-Bacon Act. Since they are covered
employees, the contractor must list them on Form CEM-2505, “Owner-Operator
Listing Statement of Compliance.” Workers must be paid at least the minimum
prevailing wage rate in effect for the specific contract plus the appropriate equipment
rental rate.
For labor compliance purposes, material transporters and independent truckers hauling
materials directly from commercial sources are exempted from wage reporting all
together. Claimed exceptions are subject to verification by the resident engineer.
Owner-operators of haul trucks, water trucks, or bitumen trucks are considered
independent contractors not directly associated with the project. Therefore, these
employees are not subject to the prevailing wage rate requirements of the contract.
To verify owner-operator status, either the truck owner-operator is required to report
hours worked on a certified payroll or the contractor must list the owner-operator on
a certified owner-operator listing.
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 is a part of the work to
be performed under the contract. Established, independent commercial repair shops
that have operated for a period of at least two months 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 contractor’s or subcontractor’s 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 jobsite. 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 jobsite 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 is
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 such as construction inspection, materials
testing, and land surveying, at the job site regardless of whether that firm is hired by
the contractor or Caltrans, is 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 Classification of
work they actually perform. To meet these standards, the contractor and persons or Labor and Wage
firms performing the work on the project must: Rate Determinations
• Use only the classification and nomenclature listed in the wage determination
decision or prevailing 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 officer and request that a wage
classification be determined. A wage survey, collective bargaining agreements, local
prevailing practice and the contractor’s previous experience with similar work will
be considered in reaching this determination.
To request wage rate determinations on federal-aid contracts, use United States
Department of Labor 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 agency’s rate is in error.
Corrections will be made in accordance with Section 16206, “Corrections,” of the
California Code of Regulation.
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 are not listed in the general
prevailing wage rates. In this situation, the district labor compliance officer must
obtain a special wage determination from the Department of Industrial Relations.
To initiate the request, the district labor compliance officer must prepare 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, Division of Labor Statistics and Research
(DLS&R). DLS&R will prepare a special wage determination and send it 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 officers 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 supervisor’s 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 State 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 Division of Apprenticeship Standards Form
DAS-1, “Apprenticeship Agreement,” or a letter giving notice of registration from
the Division of Apprenticeship Standards (DAS). Either Form DAS-1 or a letter
from the Division of Apprenticeship Standards is acceptable evidence of apprentice
registration.
If an apprentice is scheduled to work on the project before the contractor receives
evidence of registration, the district labor compliance officer must telephone the
nearest Division of Apprenticeship Standards (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 apprentice’s
registration and to satisfy the state requirements and Section 1777.5 of the California
Labor Code.

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 contractor’s union agreements.
Section 1777.5 of the State Labor Code requires the contractor to contribute the
training fund portion of the fringe benefit to the appropriate apprentice trust fund or
to the Division of Apprenticeship Standards (DAS), California Apprenticeship
Council.
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 officer will determine the amount
of penalty assessment and wage restitution due from the contractor. The district
labor compliance officer 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. Attach
Forms CEM-2506, CEM-2507, CEM-2508, “Contractor’s Payroll Source Document
Review,” CEM-2509, “Checklist - Source Document Review,” a case history, and
applicable correspondence with the contractor to a cover letter when forwarding
cases to the Division of Construction labor compliance unit with the district’s
recommendations.
8-106A (1) Withhold of Funds Hearing

Legal authority to withhold funds from the contractor for labor compliance violations
is provided by Title 8, “Industrial Relations,” California Code of Regulations, Section
16410, “Definitions,” through 16414, “Hearing.”

Caltrans must provide written notice to the contractor and to any affected
subcontractor of the withholding, retention, or forfeiture. The notice must contain
• The amount to be withheld, retained, or forfeited.
• A short statement of the factual basis as to why the funds are to be withheld,
retained, or forfeited. Include the computation of any wages found to be due and
the computation of any penalties assessed under the 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 know 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.
A contractor or offending subcontractor may request a hearing by sending a letter
postmarked within 30 days of the date of the mailing of the notice described above
to the awarding body and to the Department of Industrial Relations, Division of
Labor Standards Enforcement.
The contractor must supply to the Division of Labor Standards Enforcement a
statement of all factual and legal grounds upon which the contested withhold is
based and must identify the specific elements and issues being contested.
Upon receipt of a timely hearing request, the Division of Labor Standards
Enforcement must, within 30 days, hold a hearing to determine whether reasonable
cause exists to withhold and retain funds identified in the written notice.
The hearing may be continued at the request of the party seeking the hearing upon a
showing of good cause. Neither the Department of Industrial Relations nor Caltrans
can request a continuance.
8-107 Debarment of Contractors 8-107

8-107A State Debarment of
The Department of Industrial Relations, Division of Labor Standards Enforcement, Contractors
(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 three-year period from bidding on public works projects.

The requirements and procedures for debarment can be found in Section 1777.1,
“Penalties for Willful Violations of Chapter; Notice; Hearing,” 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 Compliant
The district labor compliance officer 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
should 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 labor commissioners office.
Each district labor compliance officer 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 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 The following section provides an overview and content summary of labor compliance
Compliance Law, law, acts, and statutes.
Act, 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 three 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 ($1,000 fine and/or six months’
imprisonment.)
8-108A (4) False Information Act

• The making or use of false statements is a felony ($10,000 fine and/or five
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, “Limitations Upon Effect and Applicability of Section 212,” and 224,
“Withholding or Diverting Portion of Wages Under Law or Written Authorization’
(Employee authorization to withhold portions of the employees wages).
Section 1729, “Withholding Sums by Contractor From Subcontractor; Recovery of
Penalty From Subcontractor” (Holds the subcontractor liable for failure to comply
with the prevailing wage requirements).
Section 1771.5, “Labor Compliance Program” (Excludes 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 from the prevailing wage requirements).
Section 1774, “Payment of Not Less Than Specified Prevailing Rates to Workmen”
(Requires all workers be paid not less than the specified prevailing wage rate).
Section 1775, “Forfeiture For Paying Less Than Prevailing Rate; Rights of Workers”
(Requires that penalties be assessed against the contractor for failure to pay employees
prevailing wages).

Section 1776, “Payroll Record of Wages Paid; Inspection; Forms; Effect of
Noncompliance; Penalties” (This section 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, “Penalties For Willful Violations of Chapter; Notice; Hearing”
(Allows the contractor to pursue a hearing process through the Department of
Industrial Relations on a wage violation case).
Section 1777.5, “Employment of Apprentices on Public Works,” and 1777.6,
“Prohibited Discrimination in Employment of Apprentices” (These sections pertain
to apprenticeship standards and ratios, and nondiscrimination).
Section 1778, “Taking or Receiving Portion of Wages of Workmen or Working
Subcontractor as Felony” (This section prohibits misuse of another person’s wages.
This is the only section of the labor code that can result in a felony conviction).
Section 1779, “Charging Fee for Registration, Giving Information, or Placing or
Assisting and Placing Person in Public Work as Misdemeanor” (This section prohibits
a fee for employing a person in public works).
Section 1780, “Placing Order for Employment Where Fee or Valuable Consideration
Involved as Misdemeanor” (This section prohibits a fee for placing an order for
employment on public works).
Section 1810, “Hours Constituting Day’s Work; Stipulation in Contracts” (Eight
hours constitutes a legal day’s work).
Section 1811, “Limitation as to Hours of Service; Exception” (Restricts work to
eight hours per day and 40 hours per calendar week without overtime compensation).
Section 1812, “Record of Hours Worked; Availability for Inspection” (Requires
contractor to keep accurate records of hours worked and have records available for
inspection by the awarding body).
Section 1813, “Penalty When Workman Required to Work Excess Hours; Stipulation
in Contract; Cognizance and Report of Violations” (Provides penalties for violations
of provisions of Sections 1810-1815 by any contractor).
Section 1814, “Violation of Article or Noncompliance With Section Requiring
Records of Hours Worked as Misdemeanor” (Provides that persons violating
provisions of Sections 1810-1815 are guilty of a misdemeanor).
Section 1815, “Work Performed in Excess of Specified Hour Limitations;
Compensation” (Provides overtime payment for hours of work in excess of eight
hours per day or 40 hours per calendar week).
Section 2750.5, “Rebuttable Presumption That Contractor is Employee Rather Than
Independent Contractor; Proof of Independent Contractor Status” (This section
essentially says 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 Reports to Other Agencies
8-205 On-Site Interviews
8-206 Federal-Aid Project Equal Employment Opportunity Posters
8-207 Employee Complaints - Discrimination Complaint Processing
8-208 Contracts Containing "Federal Requirements Training Special

Provision"
8-209 Deducting Payment for Failure to Submit Reports

Equal Employment Opportunity 8-2.i
Section 2
Section 2 Equal Employment Opportunity Equal
Employment
Opportunity
8-201 General 8-201
This section presents the guidelines for administration of the nondiscrimination and General
equal employment opportunity provisions of the contract. The total equal employment
opportunity program is complex and involves functional units outside of construction.
The guidelines in this section apply primarily to activities and responsibilities resulting
from contractual requirements and are not necessarily complete insofar as the total
responsibilities and activities for either Caltrans or the contractor.
8-202 Laws, Regulations, and Specifications 8-202

California requirements for public works contractors on the subjects of Laws, Regulations,
nondiscrimination and equal employment opportunity are located in the Government and Specifications
Code, Sections 12990 and following, and in the regulations of the Fair Employment
and Housing Commission in Title 2, California Code of Regulations, Sections 8100,
“Contractor Nondiscrimination and Compliance,” and following. Section 7-1.01A(4),
“Labor Nondiscrimination,” of the Standard Specifications, and the “Fair
Employment Practices” section of the contract special provisions call the contractor’s
attention to these and other requirements. Federal requirements which apply to
contracts of federal-aid construction projects are located in the “Equal Employment
Opportunity” sections of the contract special provisions. Under the terms of the
contract, the contractor has responsibility for compliance by its subcontractors.
8-203 Preconstruction Conference 8-203

Either the resident engineer or the district labor compliance officer must cover the Preconstruction
equal employment opportunity and fair employment practices provisions of the Conference
contract at the preconstruction conference. See Section 5-0, “Conduct of the Work,”
of the Construction Manual (manual) for details on preconstruction conferences.
8-204 Reports to Other Agencies 8-204

Contractors and certain subcontractors are required by terms of the contract to submit Reports to Other
information and reports directly to the United States Department of Labor’s director, Agencies
Office of Federal Contract Compliance Programs, and to the administrator, Office
of Compliance Programs, California Department of Fair Employment and Housing.
Normally, there will be no copies of these reports sent to Caltrans. Contractors are
also required by law to send notices of their status as equal employment opportunity
employers to the labor unions or other worker organizations with which they have
agreements.
8-205 On-Site Interviews 8-205

District labor compliance officers or project personnel are to conduct on-site interviews On-Site Interviews
with employees of the contractor and subcontractors. The interviews are to be recorded
on Form CEM-2504, “Employee Interview: Labor Compliance / EEO” or Form CEM-
2504 (Spanish), “Entrevista de Empleado: Labor Compliance/EEO,” if applicable.

Equal Employment Opportunity 8-2.1
These interviews are done in conjunction with the labor compliance interviews as a
means to verify that the contractors and subcontractors are in compliance with the
equal employment opportunity and the labor nondiscrimination contract provisions
as mandated by state and federal statutes and regulations.
When an employee’s response to the equal employment opportunity questions in
Form CEM-2504 indicate possible irregularities, then a copy of that interview must
be forwarded from the district labor compliance officer to the Division of Construction
labor compliance unit for further action.
See Section 8-102A (3), “Interviews With Contractor Personnel,” for interview
sampling and frequency.
8-206 8-206 Federal-Aid Project Equal Employment Opportunity Posters

Federal-Aid Project Check to see that the contractor has posted the company’s equal employment
Equal Employment opportunity policy at each construction location as required by the specifications.
Opportunity Posters The contractor must also post the “Equal Employment is the Law” poster as specified
in the contract. This poster will be furnished at the preconstruction conference.
The district labor compliance officer will verify that these posting are posted at off
site locations during source document reviews. If the contractor is found to be in
noncompliance the district labor compliance officer will provide additional posters
to affect compliance. The district labor compliance officer will then write a memo to
the resident engineer for inclusion in the project file, advising the resident engineer
of the contractor’s compliance status.
The “Equal Employment Opportunity is the Law” poster must also be posted in the
resident engineer’s office.
8-207 8-207 Employee Complaints - Discrimination Complaint Processing

Employee While the overall equal employment opportunity program and responsibility rests
Complaints - with Civil Rights, enforcement of equal employment opportunity contract provisions
Discrimination rests with district construction and the Division of Construction. The resident engineer
should be aware of the general civil rights requirements of the contract.
Complaint
Processing When a contractor’s employee lodges a complaint concerning the equal employment
opportunity or fair employment practices provision of the contract, the resident
engineer is to notify the district labor compliance officer. The district labor
compliance officer or resident engineer will conduct an employee interview with
the complainant and complete a Form CEM-2504, “Employee Interview: Labor
Compliance / EEO” or Form CEM-2504 (Spanish), “Entrevista de Empleado: Labor
Compliance/EEO,” if applicable. The district labor compliance officer will present
the complainant with a copy of the flyers: Department of Fair Employment and
Housing’s A Guide For Complainants and the United States Equal Employment
Opportunity Commission’s Filing a Charge. The district labor compliance officer
will forward a copy of the Form CEM-2504 to the Division of Construction labor
compliance unit. The complaint will be logged and tracked by the Division of
Construction. The labor compliance unit will forward a copy of the interview (alleged
complaint) to Civil Rights. Within 2 business days the district labor compliance
officer will prepare and send a letter to the prime contractor with a copy to Civil
Rights that an employee has alleged a discrimination complaint and that the employee
was given notice of their proper recourse. The employee’s name shall not be divulged
unless the employee gives permission. Further district construction actions should
only be taken upon the advice and guidance of the Division of Construction.

8-2.2 Equal Employment Opportunity
8-208 Contracts Containing “Federal Requirements Training Special 8-208
Provision” Contracts
The training special provision is used on federal-aid projects whenever it is determined Containing “Federal
that the project is of sufficient size and duration to support full training periods. Requirements
Apprentices, in almost all cases, are employed under programs approved by the Training Special
Division of Apprenticeship Standards; therefore, it will not be necessary to have Provision”
contractors submit a separate program. Contractors are required to submit to the
district evidence of approval from the Division of Apprenticeship Standards to train
apprentices.
Under the contract, the contractor has agreed to provide each trainee or apprentice
with a certification showing the type and length of training satisfactorily completed.
Before the work involving the trainee or apprentice begins, the resident engineer
must write a contract change order as specified in the special provisions to provide
the appropriate compensation for the trainees. The total amount of this contract change
order should reflect the contractors plan for use of trainees. No markup will be
applied to the specified hourly rate.
When a trainee quits the project, the contractor is to state the reason why the apprentice
left.
8-209 Deducting Payment for Failure to Submit Reports 8-209

The authority for initiating a deduction is contained in the special provisions, Section Deducting Payment
14, “Federal Requirements for Federal-Aid Construction Projects,” of federal-aid for Failure to
construction contracts. Equal employment opportunity deductions should be made Submit Reports
in those situations when the contractor or subcontractor fail to submit the required
training plans, fail to post the necessary equal employment opportunity posters, or
when the contractor or subcontractor fail to provide the Form FHWA-1391, “Federal-
Aid Highway Construction Contractors Annual EEO Report.”
Contractors found in noncompliance are to be advised, in writing, of the specific
deficiencies prior to making a deduction.

Equal Employment Opportunity 8-2.3
Section 3 Disadvantaged Business
8-301 General
8-302 Specifications, Regulations and Statutes
8-303 Monitoring and Enforcement Activities During Construction

8-303A DBE and DVBE Listing
8-303B Subletting and Subcontracting Listing Versus DBE and DVBE Listing
8-303C When the Listed DBE or DVBE Does Not Perform the Work
8-303D Monthly DBE Trucking Verification on Federal-Aid Contracts
8-303E Prompt Payment Clauses
8-303F Final Report, Use of DBE or DVBE, First-Tier Subcontractors
8-303G Disadva ntaged Business Enterprises Certification Status Change (Federal-
Aid Contracts)
8-304 Adding, Removing, or Substituting DBE or DVBE

Subcontractors
8-304A Adding DBEs or DVBEs
8-304B Removing and Substituting DBEs or DVBEs
8-305 Caltrans Civil Rights Program
8-306 Example 8-3.1 Second Notice, Contractor Has Failed To

Respond to Verbal Notice on Nonuse of DBE

Disadvantaged Business 8-3.i
Section 3
Section 3 Disadvantaged Business Disadvantaged
Business
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 involves a program designed to increase the use of
disadvantaged business enterprises (DBE) on federally funded contracts and disabled
veteran business enterprises (DVBE) on state-funded construction contracts.
For the overall Caltrans federally assisted program, Caltrans establishes an annual
participation goal by DBEs. Federal regulations define DBEs as firms owned and
controlled by individuals who are both socially and economically disadvantaged.
Additionally the state has adopted regulations that call for the use of project goals
for DVBEs. The DVBE is a state-mandated opportunity program for disabled veterans
and applies to contracts financed solely with state funds.
Caltrans Civil Rights evaluates projects to be advertised and, as appropriate, assigns
separate goals for DBEs and DVBEs. Although one overall Caltrans goal exists for
DBE participation, individual contract goals will vary. The advertisement specifies
individual contract goals. Goals are set based upon the type of work and the
availability of DBE and non-DBE subcontractors to participate in the bidding process
in the geographical area of the contract. DVBE participation goals are 3 percent on
all state-funded projects.
For every advertised contract containing goals, the contractor must submit information
to Caltrans regarding the proposed use of DBEs or DVBEs. Civil Rights evaluates
this information to see if the contract goal has been met or if a good faith effort to
use DBEs or DVBEs has been made. If the low bidder has not met the contract goal
or shown good faith efforts, the contract may be awarded to the next low bidder that
meets these requirements. Once a contract is awarded, the bidder’s statement of
intent or good faith effort is a commitment that becomes a contract requirement.
Projects funded only by the state have no specific requirement for the use of DBEs.
Likewise, projects funded only by the federal government 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 make the goal,
and projects funded only by the federal government cannot use a DVBE to make the
goal.
Some contracts do not have DBE or DVBE goals. However, Caltrans does encourage
the use of DBEs and DVBEs on these contracts, and the bidders are urged to obtain
DBE or DVBE participation.
8-302 Specifications, Regulations and Statutes 8-302

Federal regulations require the DBE program, and state laws require the DVBE Specifications,
program. The special provisions for each contract contain the Caltrans DBE or DVBE Regulations and
requirements. Some contracts will have established goals; others will contain a Statutes
statement urging the contractor to use DBE or DVBE firms to the maximum extent

Disadvantaged Business 8-3.1
possible. Specific restrictions exist regarding the removal and replacement of both
DBEs and DVBEs listed on the contractor’s utilization plan at the time of project
award. DBE or DVBE requirements are in addition to the requirements of Section
4100 of the Public Contract Code, “Subletting and Subcontracting Fair Practices
Act,” described in Section 3-801C, “The Subletting and Subcontracting Fair Practices
Act,” of the Construction Manual (manual).
8-303 8-303 Monitoring and Enforcement Activities During Construction

Monitoring and The following procedures are to be used in the monitoring and enforcement of the
Enforcement subcontracting, DBE or DVBE requirements and the prompt payment clauses of the
Activities During special provisions. This section contains several forms or listings that should be
compared against each other and analyzed for accuracy.
Construction
8-303A DBE and DVBE Listing
The resident engineer will receive the approved list of DBEs or DVBEs listed by the
bidder for project award. If the list has not been provided or is incomplete, the resident
engineer must contact the district labor compliance officer to have it available before
the preconstruction conference. The approved list is based on the information the
contractor submitted before, and as a condition of, contract award. Remember that
the percentage specified in the original contract advertisement may differ from the
approved listing, which is a specific contract commitment from the contractor.
The resident engineer must monitor subcontractor use to ensure the contractor uses
the DBEs or DVBEs listed. At the preconstruction conference, review the list with
the prime contractor and other attending parties. Unless the work is performed or
supplied by the listed DBEs or DVBEs, contractors are not entitled to any payment
for work or materials.
On federal-aid projects, if the contractor did not commit to using DBEs, monitoring
or enforcement activities are not required. However, at contract completion, the
contractor must submit Form CEM-2402 (F), “Final Report – Utilization of
Disadvantaged Business Enterprises (DBE), First – Tier Subcontractors,” and Form
CEM-2403 (F), “Disadvantaged Business Enterprises (DBE) Certification Status
Change.” If the form is not submitted, a $10,000 deduction for non-compliance will
be taken on the contract after acceptance. On contracts funded solely with state
funds, if the contractor did not commit to using DVBEs, monitoring or enforcement
activities are not required. However, the contractor must still submit Form CEM-
2402 (S), “Final Report – Utilization of Disabled Veteran Business Enterprises
(DVBE).”
8-303B Subletting and Subcontracting Listing Versus DBE and DVBE Listing
Do not construe the listing of DBE or DVBE subcontractors as a request to subcontract
or a notice of intent to subcontract as required by Section 8-1.01, “Subcontracting,”
of the Standard Specifications. However, the listing does equate to a commitment
from the contractor to meet the DBE or DVBE use requirements of the contract. In
those instances where a DBE or DVBE subcontractor exceeds the dollar figure
threshold specified in the subletting and subcontracting law (half of 1 percent of the
total bid or $10,000, whichever is greater), the DBE or DVBE must also be listed on
the “list of subcontractors.” Conversely, a DBE or DVBE whose value of work falls
below the subletting and subcontracting law threshold will not be listed on the list of
subcontractors, per the subletting and subcontracting law. Because the DBE or DVBE
may not be on the list of subcontractors in this instance, the DBE or DVBE listing
and list of subcontractors may not match. First tier subcontractors listed on the
contractor’s DBE or DVBE use plan must be listed on Form CEM-1201,
“Subcontracting Request.”

8-3.2 Disadvantaged Business
The contractor can use additional DBEs or DVBEs by following the standard
subcontractor or supplier requirements of the contract, taking into consideration the
requirements of the Subletting and Subcontracting Fair Practices Act. The contractor
cannot, however, eliminate a DBE or DVBE from the approved DBE or DVBE use
plan without written Caltrans’ approval to do so, even if the work must be done with
the contractor’s own forces. For the procedures for handling contractor’s requests
for changes, see Section 8-304, “Adding, Removing, or Substituting DBE or DVBE
Subcontractors,” of this manual and Section 3-8, “Prosecution and Progress,” of
this manual. To check for irregularities, the resident engineer will compare the
subcontractors and contract items listed on Form CEM-1201 with the contractor’s
DBE or DVBE use plan and the Subletting and Subcontracting listing.
8-303C When the Listed DBE or DVBE Does Not Perform the Work
The DBE or DVBE use plan furnished by the contractor, together with any authorized
changes made during the life of the contract, provides the resident engineer with a
listing of work to be done or materials to be furnished by specific DBEs or DVBEs.
If Caltrans personnel observe that any other businesses than the listed ones 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 engineer’s daily report. Also, for this work, hold an administrative
deduction on the next estimate in the amount listed on the DBE or DVBE use plan.
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 amount of the
item of work(s) listed or in contract termination. For a sample copy of such a letter,
see Example 8-3.1, “Second Notice, Contractor Has Failed to respond to Verbal
Notice on Nonuse of DBE,” at the end of this section.
If the written notice fails to achieve results, the resident engineer will submit to the
district labor compliance office a memorandum noting the following:
• The apparent violation
• Any verbal action taken
• The contractor’s subsequent action or inaction
• A copy of the written notice previously sent to the contractor
The district labor compliance construction office should review for consistency the
actions taken and then forward 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 Civil Rights.
When necessary, Civil Rights will investigate the apparent violation and notify the
federal authorities as appropriate. This process applies to federal DBE and state
DVBE funded projects.
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 Subletting
and Subcontracting Fair Practices Act.

8-303D Monthly DBE Trucking Verification on Federal-Aid Contracts
When DBE trucking is listed as a goal on the DBE use plan, the contractor must
submit to the resident engineer Form CEM-2404 (F), “Monthly DBE Trucking
Verification,” before the 15th of each month. The form must show the following:
• The truck owner’s name
• The California identification (CA) number issued by the California Highway
Patrol
• The truck owner’s DBE certification number
• The company name and address
• The commission or amount paid
• The date paid
• The lease arrangement
If the prime contractor fails to submit the form, the resident engineer must make on
the monthly pay estimate 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. This provision does not preclude the leased truck from working for others
during the term of the lease with the consent of the DBE, so 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.)
To document and confirm compliance, the resident engineer or assistant resident
engineer must track the trucks in a daily report or by other means.
8-303E Prompt Payment Clauses
The prompt payment clauses of the special provisions must be emphasized during
the preconstruction conference and enforced during construction.

The prompt return of retention payments applies only to federal-aid contracts. Federal
regulations do not require the resident engineer to monitor prompt payments status.
However, at the completion of the contract, the prime contractor must document the
date of final payment to each first-tier subcontractor and all DBE firms on Form
CEM-2402 (F), “Final Report—Utilization of Disadvantaged Business Enterprises
(DBE), First-Tier Subcontractors.”
8-303F Final Report, Use of DBE or DVBE, First-Tier Subcontractors
The specifications require the contractor to submit to the resident engineer either
Form CEM-2402 (F), “Final Report – Utilization of Disadvantaged Business
Enterprises (DBE), First-Tier Subcontractors,” or Form CEM-2402 (S), “Final Report
– Utilization of Disabled Veterans Business Enterprises (DVBE) (DVBE),” upon
completion of the contract. These forms, “the final DBE or DVBE reports,” provide
key information required to initiate project closure and payment.
During the contract, the contractor must maintain information regarding assignments
to all first-tier subcontractors and all DBE or DVBE firms, regardless of tier. When
filling out the final DBE or DVBE report, the contractor must include the following
information:
• The names and addresses of these firms
• The date each of these firms completed its portion of the work
• The date of final payment to these 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 records 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 goals.
The resident engineer must compare the contractor’s original dollar commitment
with the final attainment shown on the final DBE or DVBE report. The resident
engineer must also verify that the dollar amount reflects the actual dollar value paid
to each DBE or DVBE firm. This verification should include any changes made in
planned work scheduled for each DBE or DVBE firm.
If any question exists concerning the report’s accuracy, require a written explanation
from the contractor. This narrative report must explain any differences between the
initial plan and the final summary, unless the contractor’s 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
contractor’s initial plan. Attach the narrative report to the final DBE or DVBE report.
The resident engineer must review the completed final DBE or DVBE report for
completion and accuracy before signing.
The narrative report 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 use plan.

If a DBE or DVBE substitution is made during the project, the prime contractor
must make good faith efforts to substitute another DBE or DVBE for the original
DBE or DVBE to the extent needed to meet the contract goal. If the contractor’s
DBE or DVBE attainment falls short of the contract goal, hold only the amount of
contract funds necessary to meet the contract goal.
If the contractor does not attain the original goal for reasons beyond their control,
then no funds should be withheld. For example, if a contract 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 contractor’s control. Therefore, no funds should be
withheld. Conversely, if a contract 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.
If the contractor does not submit Form CEM-2402(F), “Final Report—Utilization
of Disadvantaged Business Enterprises (DBE), First-Tier Subcontractors,” upon
completion of a federally funded contract, the specified deduction must be taken on
the after acceptance estimate. This deduction can be executed by entering an “equal
employment opportunity” (EEO) code in Part 2, “Deductions,” of Form CEM-6001,
“Project Record—Estimate Request.” A value of $10,000 must be entered in the
“amount” field of this form. Upon satisfactory completion and submittal of the
outstanding report, the money will be returned to the contractor.
The final DBE or DVBE report (together with the contractor’s narrative) must be
sent to the district and then forwarded to the Division of Construction.
For how to handle the proposed final, semifinal, and final estimates, see Section 3-
9, “Measurement and Payment,” of this manual.
8-303G Disadvantaged Business Enterprises Certification Status Change (Federal-
Aid Contracts)
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. To document
and report such changes, the contractor must complete Form CEM-2403 (F),
“Disadvantaged Business Enterprises (DBE) Certification Status Change.” The form
should list the amount of money paid to the DBE while it was certified.
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-
2402(F), “Final Report—Utilization of Disadvantaged Business Enterprises (DBE),
First-Tier Subcontractors” which should show the total paid to the DBE.

The contractor must submit the form at the contract’s 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-
2403(F). If the prime contractor fails to submit the form, the resident engineer must
include this report as part of the “other outstanding document” (OOD) deduction
when preparing the after acceptance payment.
For how to handle the proposed final, semifinal, and final estimates, see Section 3-
9, “Measurement and Payment,” of this manual.
8-304 Adding, Removing, or Substituting DBE or DVBE Subcontractors 8-304

The following procedures cover any changes to the DBE or DVBE listing provided Adding, Removing,
by the prime contractor before award of the contract. or Substituting DBE
8-304A Adding DBEs or DVBEs or DVBE
Caltrans permits and encourages the contractor to increase the amount of work to Subcontractors
DBEs or DVBEs over what was originally listed for goal attainment. If a portion of
the work will be subcontracted, the contractor must comply with Section 8-1.01,
“Subcontracting,” of the Standard Specifications and with Section 4100 of the Public
Contract Code “Subletting and Subcontracting Fair Practices Act.” For the procedures
for subcontracting, see Section 3-8, “Prosecution and Progress,” of this manual.
Place a copy of the contractor’s request in the project file for later reference when
approving Form CEM-2402 (F), “Final Report – Utilization of Disadvantaged
Business Enterprises (DBE), First-Tier Subcontractors,” or Form CEM-2402 (S),
“Final Report – Utilization of Disabled Veteran Business Enterprises (DVBE).”
8-304B Removing and Substituting DBEs or DVBEs
When the contractor requests that a DBE or DVBE that was listed for goal attainment
be removed from the project, the following steps must be taken:
• Before performing the work, the contractor must submit a written request to the
resident engineer asking for approval to remove or substitute the listed firm.
The request must state the reason for the removal, and the reason must match
one of the authorized situations specified in the contract’s special provisions. (If
the firm is a subcontractor covered under the “Subletting and Subcontracting
Fair Practices Act” see Section 3-8, “Prosecution and Progress,” of this manual.)
• The resident engineer must review the request to confirm the stated facts. The
resident engineer must then notify the listed DBE or DVBE of the contractor’s
request to substitute. The listed DBE or DVBE has five days to respond. If the
DBE or DVBE does not respond within five days, and the reason for the
substitution conforms to one of the specified reasons, the resident engineer may
approve the substitution. If the DBE or DVBE that the contractor wants to
substitute objects, a hearing will be scheduled. The district construction deputy
director, or the appointed designee, will preside over this hearing. Both the prime
contractor and the DBE or DVBE should attend the hearing and will subsequently
be advised of the results as to whether the request is approved or disapproved.
• If the contractor receives approval to substitute a listed DBE or DVBE, the
contractor must attempt to replace the firm with another DBE or DVBE needed
to meet the contract goal. If the contractor cannot find a replacement DBE or
DVBE, the contractor must submit a description of its good faith efforts. In the
situation of a good faith effort, the district construction deputy director must
sign approval and authorization on Form CEM-2401, “Substitution Report for
Disadvantaged Business Enterprise/Disabled Veteran Business Enterprise.”

• The resident engineer may approve the request to replace the DBE or DVBE if
the contractor will meet or exceed the contract goal without the disputed DBE
or DVBE or if all of the following conditions are met:
1. One DBE or DVBE is to be substituted for another DBE or DVBE,
respectively. They are not interchangeable.
2. The same items of work are involved, or if different items, the dollar value
is equal to or greater than that in the original commitment.
3. The new DBE or DVBE is certified at the time of replacement.
A listing of certified firms is available through the district labor compliance
office or Civil Rights site on the Internet at the following address: http://
www.dot.ca.gov/hq/bep/
Or, you can find the list by calling Civil Rights.
Note that unless the new DBE or DVBE is certified, the substitution cannot be
approved. An application for certification does not constitute certification.
• If the conditions above are not met, requests for approval of a replacement firm
must be evaluated based on the contractor’s performance of good faith efforts to
find a replacement firm. Forward such requests, along with the contractor’s
documentation of good faith efforts, for approval by the district construction
deputy director or the appointed designee. The contractor’s documentation must
1. The names and dates of each publication in which the prime contractor
placed a request for DBE or DVBE participation for the project.
2. The names and dates of written notices sent to certified DBEs or DVBEs
soliciting bids for the project.
3. The methods and dates used for following up initial solicitations to determine
with certainty whether or not the DBEs or DVBEs were interested.
4. The items of work the prime contractor made available to DBE or DVBE
firms. Where appropriate, the contractor should include any breakdown of
contract work items (including those items normally performed by the bidder
with its own forces) into economically feasible units to facilitate DBE or
DVBE participation. Essentially, the prime contractor must demonstrate
that it made enough work available to the firms to meet the DBE or DVBE
goal.
5. The names, addresses, and phone numbers of both the rejected DBE or
DVBE firms and the firm selected for that work, as well as the reasons for
the contractor’s choice.
6. Any efforts made to assist an interested DBE or DVBE in obtaining bonding,
lines of credit, or insurance. Similarly, any technical assistance or information
related to the project plans, specifications, and requirements that the
contractor provided to the DBE or DVBE.
7. Any efforts made to assist interested DBEs or DVBEs in obtaining necessary
equipment, supplies, materials, or related assistance or services, excluding
supplies and equipment the DBE or DVBE subcontractors purchase or lease
from the prime contractor or its affiliate.

8. The names of agencies contacted to provide assistance in contacting,
recruiting, and using DBE or DVBE firms.
9. Any additional data to support a demonstration of good faith efforts.
• Caltrans has consultant contracts with technical services contractors on federal
aid projects to provide assistance to DBE subcontractors. The resident engineer
can also use the services of the technical services contractor to help gather
information for the substitution process or to encourage the subcontractor to
perform the work so that no substitution is necessary. The resident engineer can
also encourage the prime contractor to use the services of the technical services
contractor in finding replacements for DBE subcontractors. For the names and
addresses of the technical services contractors, see the DBE portion of the
contract’s special provisions. However, the prime contractor should not use
technical services contractors as its sole effort to satisfy the good faith
requirement.
• The substitution request will be approved if such documentation indicates the
contractor exerted a good faith effort to replace in kind the DBE or DVBE. If
there is any reason to doubt the adequacy of the contractor’s effort, consult the
district or the Division of Construction. If the decision is not to approve the
good faith efforts, the contractor must take such additional steps as are necessary
to find a replacement firm. Advise the prime contractor that performance of the
work without the resident engineer’s prior written approval will result in an
administrative deduction for the value of the work listed on the DBE or DVBE
usage commitment. When the final review is complete and a decision is reached,
the district will notify the resident engineer.
• The resident engineer must give the contractor written notice of the decision.
Send a separate written notification to the contractor regarding substitutions
covered by the Subletting and Subcontracting Fair Practices Act. Place copies
of all correspondence in the project’s file.
• Once the substitution has occurred, the resident engineer must prepare Form
CEM-2401, “Substitution Report for Disadvantaged Business Enterprise/
Disabled Veteran Business Enterprise,” and request the prime contract furnish a
revised Form CEM-1201, “Subcontracting Request,” if applicable.
Clearly, 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 the contractor originally listed for goal
attainment.
8-305 Caltrans Civil Rights 8-305

Caltrans Civil Rights develops policy related to and generally administers and Caltrans Civil
oversees the DBE program for Caltrans. Additionally, among other duties, Civil Rights
Rights certifies DBEs, publishes the lists of the certified firms, and determines
whether those firms meet the requirements of applicable federal regulations. The
California Department of General Services certifies DVBEs, and determines whether
these firms meet the requirements of applicable state regulations.
Civil Rights also sets goals, determines goal attainment during contract award and
at project completion, and performs equal employment opportunity compliance
reviews of Caltrans’ contractors.

Although overall program responsibility rests with Civil Rights, specific construction
project responsibility rests with district construction and the Division of Construction.
The resident engineer must be aware of the general civil rights requirements, and
when a question arises about civil rights requirements or a violation of those
requirements has apparently occurred, the resident engineer must immediately notify
the district construction office.
If the district needs assistance, the district must contact the Division of Construction
labor compliance unit. 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, the resident engineer must 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, Civil
Rights, or Audits and Investigations. District construction should only take additional
actions that may be necessary after receiving the Division of Construction’s advice
and guidance.

Example 8-3.1 Second Notice, Contractor Has Failed to Respond to Verbal Notice on Nonuse of DBE
(Enter Contract Identification)

(Current Date)
(Contractor's Superintendent,
Prime Contractor, Job Site Address)
Dear (Superintendent):
On October 27, 2000, the work on Contract Item 73, "Minor Concrete (Curb and Gutter)," apparently was
being done by employees of [Name of firm]. Our records indicate that your company stated in its [DBE or
DVBE] use plan that this work would be done by [Name of DBE or DVBE firm]. On October 27, I called
your attention to this apparent violation of the contract; however, [Name of firm] has continued to perform
work on curbs and gutters. Be advised that pursuant to the paragraph entitled "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 company's original [DBE or DVBE] use plan or submit a request in writing to
make a change. Any request for change must detail your company's 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 [DBEs or DVBEs] or prove that you have made a good faith effort to do so to meet the contract goal. 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
R. E. 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 DBE or DVBE. If a second subcontractor is involved, other contract
specifications are probably being violated, for instance the following:
• Standard Specifications, Section 8-1.01 "Subcontracting" --Lack of prior approval to subcontract (if
federal aid) or prior notice of subcontract (state funded).
• "Section 4100 of the Public Contract Code "Subletting and Subcontracting Fair Practices Act"--
Substitutions for listed subcontractors without the engineer’s approval will result in a penalty of up to
ten 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 DBE/DVBE provisions" rather than merely "DBE/DVBE
provisions". When the subcontractor listing law is involved, the letter must clearly address both the
"Subletting and Subcontracting Fair Practices Act." and DBE or DVBE violations.

Chapter 9 Projects Funded by Other Agencies
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
Section 1 Construction Contract Administration for Projects Section 1

Funded by Others Construction
Contract
Administration for
Projects Funded
by Others
9-101 General 9-101
Caltrans has encouraged local and private funding of state highway improvements General
for the past 20 years. Local 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 Agencies (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.
9-102 Advertise, Award, and Administer Construction Contracts 9-102

Caltrans policy states that advertising, award, and contract administration shall not Advertise, Award,
be divided among different entities; that is, the entity that advertises the project and Administer
shall also award and administer the construction contract. Only the Chief, Division Construction
of 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
the processing procedures applied normally to regular state highway projects, since
Others the local funded project will be processed along with the 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 FHWA requests administration by Caltrans.
Caltrans administered projects that are funded by others follow the Construction
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 agency’s 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
according to the cooperative agreement between the local agency and Caltrans.
Charges made for the local agency’s 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 the Construction Manual. The agreement must
state that the fund provider will abide by the outcome of the Caltrans claims process.

9-1.2 Construction Contract Administration for Projects Funded by Others
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,” with the
following changes:
• 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 Regional Transportation Planning Agency (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. 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,” with the
following changes:
• Include a representative of the local agency that sponsored the project when
discussing funding need and alternatives durng 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

Projects Administered by a Local Agency on the State Highway System 9-2.i
Section 2 Projects Administered by a Local Agency on the Section 1

State Highway System Projects
Administered by
a Local Agency
on the State
Highway System
9-201 General 9-201
The local agency will administer the contract under an encroachment permit, a General
cooperative agreement (if required), and Caltrans approved Plans, Specifications,
& Estimate. In addition, the local agency will provide the resident engineer and
construction engineering team, while Caltrans provides quality assurance and
oversight of construction.
Caltrans must oversee the contract administration of construction contracts
administered by local agencies to ensure compliance with applicable state and federal
regulations and Caltrans standards and practices. This quality assurance 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. In addition Caltrans
provides direction for similar organizations and personnel for projects that will
become part of the state highway system in the future.
The Division of Construction’s Oversight Field Guidelines provide policy and
procedures related to the duties of Caltrans construction quality assurance and
oversight personnel on local agency administered construction projects. The
guidelines establish policy and procedure, and should be used as a resource for
Caltrans employees that are providing quality assurance and oversight on projects
administered by others on the existing or future state highway system. Caltrans
personnel who provide quality assurance and oversight should never attempt to use
the Oversight Field Guidelines as a substitute for the encroachment permit or the
cooperative agreement.

Projects Administered by a Local Agency on the State Highway System 9-2.1
Appendix 1 Sample Forms
Forms Used For Contract Administration Page No.
Division of Construction Forms

Form CEM-0101, Resident Engineer’s Report of Assignment....................................................A-1.1
Form CEM-0501, Relief from Maintenance ...............................................................................A-1.2
Form CEM-0601, Construction Safety Report ...........................................................................A-1.3
Form CEM-0602, Project Safety Program Statement ...............................................................A-1.4
Form CEM-0603, Major Construction Incident Notification.....................................................A-1.5
Form CEM-1101, Documents Bond of State Highway Oversight Projects.................................A-1.7
Form CEM-1201, Subcontracting Request .................................................................................A-1.9
Form CEM-1202, Contractor Action Request - Change of Name/Address -
Assignment of Contract Monies .......................................................................................A-1.9A
Form CEM-1203, Contractor Action Request - Assignment of Contract Monies....................A-1.9B
Certification .......................................................................................................................A-1.11
Form CEM-2002, Notification of Construction (NOC)..............................................................A-1.13
Form CEM-2003, Notification of Completion of Construction (NCC).....................................A-1.17
Form CEM-2025, Solid Waste Disposal and Recycling Report.................................................A-1.19
Form CEM-2101, COZEEP Daily Report ..................................................................................A-1.21
Form CEM-2102, COZEEP/MAZEEP Task Order......................................................................A-1.23
Form CEM-2103, COZEEP/MAZEEP Cancellation Form.........................................................A-1.25
Form CEM-2401, Substitution Report for Disadvantaged Business
Enterprise/Disabled Veteran Business Enterprise.............................................................A-1.27
Enterprises (DBE), First - Tier Subcontractors (Federally
Funded Projects).................................................................................................................A-1.29
Enterprises (DVBE) State Funded Projects.......................................................................A-1.31
Form CEM-2403(F), Disadvantaged Business Enterprises (DBE) Certification
Status Change ....................................................................................................................A-1.33
Form CEM-2404(F), Monthly DBE Trucking Verification ........................................................A-1.35
Form CEM-2501, Fringe Benefit Statement................................................................................A-1.37
Form CEM-2502, Contractor/Subcontractor Payroll ................................................................A-1.38
Form CEM-2503, Statement of Compliance...............................................................................A-1.39
Form CEM-2504, Employee Interview: Labor Compliance/EEO..............................................A-1.41
Form CEM-2504 (Spanish), Entrevista de Empleado: Labor Compliance/EEO.......................A-1.43
Form CEM-2505, Owner - Operator Listing Statement of Compliance ..................................A-1.45
Form CEM-2506, Labor Compliance – Wage Violation ...........................................................A-1.47
Form CEM-2507, Labor Violation: Case Summary....................................................................A-1.49
Form CEM-2508, Contractor’s Payroll Source Document Review ...........................................A-1.51
Form CEM-2509, Checklist – Source Document Review...........................................................A-1.53

Sample Forms A-1.i
Form CEM-2601, Construction Progress Chart ........................................................................A-1.55
Form CEM-2701, Weekly Statement of Working Days...............................................................A-1.57
Form CEM-2702, Overrun in Contract Time..............................................................................A-1.59
Form CEM-3101, Notice of Materials to be Used.....................................................................A-1.61
Form CEM-3501, AC Production/Placement Checklist .............................................................A-1.63
Form CEM-3701, Test Result Summary .....................................................................................A-1.65
Form CEM-3702, Relative Compaction Summary.......................................................................A-1.66
Form CEM-4101, Materials Release Summary............................................................................A-1.67
Form CEM-4102, Material Inspected and Released on Job.......................................................A-1.68
Form CEM-4202, Material Plant Safety Checklist ....................................................................A-1.69
Form CEM-4501, Resident Engineer’s Daily Report/Assistant Resident
Engineer’s Daily Report ....................................................................................................A-1.70
Form CEM-4601, Assistant Resident Engineer’s Daily Report .................................................A-1.71
Form CEM-4701, Drainage System Summary .......................................................................... A-1.73
Form CEM-4801, Quantity Calculations......................................................................................A-1.75
Form CEM-4900, Contract Change Order...................................................................................A-1.76
Form CEM-4901, Contract Change Order Input .......................................................................A-1.79
Form CEM-4902, Extra Work Bill (Short Form) .......................................................................A-1.81
Form CEM 4902A, Extra Work Bill - Title Page........................................................................A-1.83
Form CEM-4902B, Extra Work Bill - Labor Charges................................................................A-1.85
Form CEM-4902C, Extra Work Bill - Equipment Charges........................................................A-1.87
Form CEM-4902D, Extra Work Bill - Material Charges ..........................................................A-1.89
Form CEM-4903, Contract Change Order Memorandum .........................................................A-1.91
Form CEM-5101, Request for Payment for Materials on Hand................................................A-1.93
Form CEM-6001, Project Record - Estimate Request.................................................................A-1.94
Form CEM-6002, Contract Administration System (CAS) –Report Requests............................A-1.95
Form CEM-6003, Progress Pay - Estimate Project Initiation or Update.................................A-1.96
Form CEM-6004, Contract Transactions Input .........................................................................A-1.97
Form CEM-6201, Notice of Potential Claim .............................................................................A-1.99
Form CEM-6201A, Initial Notice of Potential Claim ................................................................A-1.101
Form CEM-6201B, Supplemental Notice of Potential Claim ....................................................A-1.103
Form CEM-6201C, Full and Final Documentation of Potential Claim ...................................A-1.105
Form CEM-6202, Disputes Review Board (DRB) Establishment ..............................................A-1.107
Form CEM-6203, Dispute Review Board (DRB) Update Report ..............................................A-1.109
Form CEM-6204, Dispute Review Board (DRB) Issue Report .................................................A-1.111
Form CEM-6205, Dispute Review Board (DRB) Completion Report .......................................A-1.113
Form CEM-6301, Contract Acceptance ......................................................................................A-1.115
Form CEM-9001, Construction Manual Proposed Change........................................................A-1.117

A-1.ii Sample Forms
Office of Materials Engineering and Testing Services Forms
Form TL-0101, Sample Identification Card ...............................................................................A-1.118
Form TL-0502, Field Sample of Portland Cement Concrete Sample Card .............................A-1.119
Form MR-0518, Job Cement Samples Record.............................................................................A-1.120
Other State Forms

Erosion Control) ...............................................................................................................A-1.121
Form LA-17, Report of Chemical Spray Operations .................................................................A-1.122
Form TR-0019, Notice of Change in Clearance or Bridge Weight Rating...............................A-1.123
Form TR-0020, Notice of Change in Vertical or Horizontal Clearance ..................................A-1.124
Form TR-0029, Notice of Change in Clearance or Bridge Weight Rating...............................A-1.125

Sample Forms A-1.iii
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION PERSONAL INFORMATION NOTICE
Pursuant to the Federal Privacy Act (P.L. 93-579) and the Information Practices Act of 1977 (Civil
RESIDENT ENGINEER'S REPORT OF ASSIGNMENT Code Sections 1798, et seq.), notice is hereby given for the request of personal information by
CEM-0101 (REV 6/1999) this form. The requested personal information is voluntary. The principle purpose of the
voluntary information is to facilitate the processing of this form. The failure to provide all or any
part of the requested information may delay processing of this form. No disclosure of personal
Forward all information available at time of assignment; information will be made unless permissible under Article 6, Section 1798.24 of the IPA of 1977.
Each individual has the right upon request and proper identification, to inspect all personal
use supplementary sheet to report additional information.
CO./RTE/PM CONTRACT NUMBER JOB STAMP
PROJECT LIMITS
TYPE OF WORK
RESIDENT ENGINEER NAME FIELD OFFICE LOCATION
FIELD OFFICE MAILING ADDRESS FIELD OFFICE PHONE NO.
HOME ADDRESS HOME PHONE NO.
CONTRACTOR NAME
CONTRACTOR'S FIELD OFFICE MAILING ADDRESS FIELD OFFICE PHONE NO.
CONTRACTOR'S SUPERINTENDENT NAME DATE CONTRACTOR BEGAN WORK
In case of emergency conditions (after regular work hours) on the above construction project, any of the following persons should be contacted.
CALIFORNIA DEPARTMENT OF TRANSPORTATION
BUSINESS ADDRESS & PHONE NO. HOME ADDRESS & PHONE NO.
NAME NORMAL WORK HOURS WEEKENDS & HOLIDAYS
CONTRACTOR
BUSINESS ADDRESS & PHONE NO. HOME ADDRESS & PHONE NO.
NAME NORMAL WORK HOURS WEEKENDS & HOLIDAYS
COMMENTS:
RESIDENT ENGINEER'S SIGNATURE DATE
DISTRIBUTION: (If Applicable)
District Director of Transportation Materials & Research CCO Room U.S. Forest Service
District Communications Center Resident Engineer File Highway Patrol Dept. of Parks & Rec.
Maintenance Superintendent Contractor County Sheriff Other:
District Laboratory H.Q. Construction City Police
For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 263-2041 or TDD (916) 263-2044 or
ADA Notice write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.

Sample Forms A-1.1
RELIEF FROM MAINTENANCE
CEM-0501 (Rev. 6/97)
CONTRACT NUMBER COUNTY, ROUTE, BRIDGE OR POST MILES, OR POST KILOMETERS FEDERAL NO.
CONTRACTOR NAME AND BUSINESS ADDRESS
DESCRIPTION
BY LETTER(S) DATED , THE CONTRACTOR HAS REQUESTED RELIEF FROM

MAINTAINING THE FOLLOWING COMPLETED PORTIONS OF THE PROJECT:
RELIEF FROM MAINTENANCE AND RESPONSIBILITY AS INDICATED ABOVE IS RECOMMENDED.
Signature, Resident Engineer
RELIEF FROM MAINTENANCE AND RESPONSIBILITY GRANTED IN ACCORDANCE WITH THE ABOVE
RECOMMENDATION
Signature, District Director, Dist.
Date
For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 263-2041 or TDD (916) 263-2044 or write
ADA Notice Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.
CEM0501

A-1.2 Sample Forms
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION FIELD OFFICE OR JOB STAMP
CONSTRUCTION SAFETY REPORT

CEM-0601 (REV 04/2001)
1. TYPE OF REPORT
PROJECT SAFETY REVIEW CONTRACT ADMINISTRATION TAILGATE SAFETY MEETING
PUBLIC SAFETY CT EMPLOYEE SAFETY

NAME TITLE DATE
NAME TITLE DATE
NAME TITLE DATE
2. DISCUSSION (List Inspection Findings or Safety Topics Discussed)
3. ACTIONS TAKEN (List Corrective Actions or Recommendations)
4. SUPERVISOR'S COMMENTS (List comments, instructions, etc.)
5. SIGNATURES OF EMPLOYEES PRESENT (Use attached sheet for additional signatures)
SIGNATURE SIGNATURE SIGNATURE
SIGNATURE OF 1st LINE SUPERVISOR DATE
SIGNATURE OF 2nd LINE SUPERVISOR DATE
SIGNATURE OF SAFETY OFFICER DATE
FM 91 1298 ORIGINAL - DISTRICT OFFICE CC - FILE CC - BULLETIN BOARD

Sample Forms A-1.3
FIELD OFFICE OR JOB STAMP
PROJECT SAFETY PROGRAM STATEMENT
CEM-0602 (REV 04/2001)
1. CODE OF SAFE PRACTICES (Mark the sections of the C.O.S.P. which apply to this project)
GENERAL SAFETY TRAFFIC CONTROL SYSTEMS OTHER SPECIAL CONSIDERATIONS
EQUIPMENT EXCAVATIONS ELECTRICAL
ELEVATED WORK AREAS NIGHT WORK FIELD TESTING
HAZARDOUS MATERIALS FACILITIES CONFINED / ENCLOSED SPACE
VEHICLE OPERATIONS PROJECT SPECIFIC REQUIREMENTS MATERIAL PLANT SITES
2. PLANNED, PERIODIC INSPECTIONS (Planned, periodic safety inspections will be conducted as follows)
STAGE INTERVAL STAGE INTERVAL
WORK DAYS WORK DAYS
WORK DAYS WORK DAYS
3. PROJECT SAFETY COORDINATOR IS:
4. PROGRAM AGREEMENT
CONSTRUCTION ENGINEER'S SIGNATURE DATE
CONSTRUCTION SAFETY COORDINATOR'S SIGNATURE DATE
5. EMPLOYEE'S ACKNOWLEDGMENT - (Each employee shall acknowledge reading the C.O.S.P. by their signature)
I HAVE READ THE APPLICABLE CODE OF SAFE PRACTICES
SIGNATURE DATE SIGNATURE DATE
FM 91 1329 USE AN ATTACHED SHEET FOR ADDITIONAL SIGNATURES

ADA Notice For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 263-2041 or TDD (916) 263-2044 or write
Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.

A-1.4 Sample Forms
MAJOR CONSTRUCTION INCIDENT NOTIFICATION

CEM-0603 (NEW 3/2001)
URGENT - DELIVER IMMEDIATELY

FAX this form (no cover sheet) IMMEDIATELY to:
• Headquarters Office of Safety and Health @ 916-227-2639, CALNET 8-498-2639

• Construction Program Manager/Safety Coordinator @ (916) 654-6345, CALNET 8-464-6345
• District Construction Safety Coordinator @
Follow district procedure for notifying personnel within your area. Completion of this
form does not relieve the federal and Cal/OSHA reporting requirements. See the
construction and safety manuals for more information on reporting requirements.
Report
Report Date / / Report Time : AM PM
Initial Report Updated Report Final Report
Person Preparing Report Phone # ( )- -
Incident Site Information

Incident Date / / Incident Time : AM PM
Location: District/Co./Rte/Kilo or Mile Post Direction: NB SB EB WB
/ / / Weather
Resident Engineer Phone #
Prime Contractor E.A. #
Is incident within a construction zone? Yes No
Describe nature of work:
CHP Officer: I.D. # CHP Report #

STATE CONSULTANT CONTRACTOR PUBLIC
FATAL
SERIOUS
Name of Hospital:
Description (facts only-use additional sheet if necessary)

URGENT - DELIVER IMMEDIATELY
For individuals with sensory disabilities, this document is available in alternate formats. For information call (916)
ADA
654-6410 or TDD (916) 654-3880 or write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA
Notice 95814.

Sample Forms A-1.5
CEM-0603 (NEW 3/2001)
INSTRUCTIONS
Use this fax report form to report any fatal or serious accident or any accident with the potential to be fatal
or disabling. The "Person Preparing Report" is to FAX the information to the Headquarters Office of Safety
and Health, the Construction Program, and the district construction safety coordinator. Fax an Initial
Report immediately, even if information is minimal. The Initial Report is intended to notify management
as-soon-as possible. An Updated Report may be used to provide supplementary information when
deemed necessary. Follow district procedure for notifying personnel within the district.
INCIDENTS TO BE REPORTED USING THIS FAX REPORT FORM (no cover sheet)
• Incidents involving death or serious injury to a state or a consultant employee or resulting in the death
of a contractor's employee. Telephone in notice of the incident, in advance of the fax when possible:
1. Phone HQ - Office of Safety & Health @ 916-227-2640
2. Phone HQ - Construction Program Manager/Safety Coordinator@ 916-654-2157/916-654-4580
3. Phone District Construction Management/Safety Coordinator @___________________
• Incidents resulting in serious injury to a contractor's employee
• Incidents involving serious damage to equipment owned by the state, consultants or the contractor.
• Incidents resulting in the serious injury or death of a member of the public within the construction zone,
or influenced in any manner by construction-related activities, conditions, equipment or personnel.
• All catastrophic type of incidents or incidents receiving wide media coverage.
Incidents which may result in a significant delay to the traveling public.
• Incidents with no injuries, but with a high potential for being fatal or disabling include, but are not limited
to: false-work or guying system failures, overturned cranes, high-voltage contacts, trench excavation or
shoring failures, gas or fuel line fire or explosions, hazardous utilities breaks, and collisions with
structures under construction or their supporting false-work that cause displacement of a major
member.
A SERIOUS INJURY IS ANY INJURY MEETING ONE OF THE FOLLOWING CRITERIA:

• The injured person misses three days or more of work (submit report if deemed possible).
• Two or more employees miss more than one day of work (submit report if deemed possible).
• Any injury resulting in hospital admission other than for medical observation. If the medical condition of
the victim is unknown, but the victim was transported by ambulance then the injury should be
considered as serious until more information becomes available.
REQUIRED CONTENT OF FAX REPORT FORM

• Contact information about person preparing report (name, and phone number).
• Contract identification (contract number, any federal project number, county, route, and kilo-post limits,
resident engineer, and the prime contractor).
• Basic incident information (date, time, specific location, and prevailing weather conditions). This
should be in sufficient detail to enable the Construction Program to obtain the California Highway
Patrol's or local police report if necessary.
• Names of the persons involved in the incident and their affiliation with the contract (contractor,
consultant, state employee, or private citizen).
• Description of the incident and how it occurred (facts only).
• Identification of other agencies making an investigation, and the names, badge numbers and report
numbers when this information is available.
The resident engineer should take sufficient photographs or videotapes to document the conditions
that existed at the time of the incident, including all signing and traffic control features that may
have been in effect at the time of the accident. Depending on district policy and the nature and
severity of the accident, additional documentation may be required. The construction safety
coordinator should be consulted for additional information in such cases.

A-1.6 Sample Forms
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION Page 1 of 2
DOCUMENTS BOND OF STATE HIGHWAY OVERSIGHT PROJECTS

CEM-1101(NEW 02/2004) {To Accompany the Permit}
Streets and Highways Code Section 678
PRINCIPAL BOND NUMBER BOND'S EFFECTIVE DATE PERMIT NUMBER
DISTRICT COUNTY ROUTE KP/PM

LOCATION
PROJECTS NAME PROJECT'S E.A. NUMBER
DISTRICT PROJECT MANAGER PROJECT MANAGER'S MAILING ADDRESS BUSINESS PHONE NUMBER
(PLEASE FILL OUT THE FORM)

Know All Persons By These Presents:
That , as PRINCIPAL, and
a surety company qualified and duly licensed to do business in the State of California, as SURETY, are held and firmly bound to the
STATE OF CALIFORNIA, as OBLIGEE, in the sum of: TWENTY THOUSAND dollars ($20,000.00), lawful money of the United
States of America, to be paid to the OBLIGEE, for which payment, we bind ourselves, our heirs, executors, administrators, successors,
and assigns, jointly and severally, to those persons referred to in item #4.
THAT THE CONDITION OF THIS OBLIGATION IS SUCH,
1. That whereas PRINCIPAL has made, or is about to make a submittal to the State of California for an oversight project, to be
constructed under an encroachment permit, in accordance with Article 2, Chapter 3, Division 1 of the Streets and Highways Code
to place, change or renew an encroachment in, under or over any portion of a state highway. A bond payable to the State of
California is a required condition of the Streets and Highways Code Section 678. Therefore, this bond is executed and tendered in
accordance with the Streets and Highways Code.
2. This bond shall be subject to all the previously mentioned terms and provisions of the Streets and Highways Code.
3. That if the PRINCIPAL shall fail to faithfully provide all final documentation as required in item #9, then the SURETY herein shall
pay for the production of these documents by others.
4. No right of action shall accrue under this bond to or for the use of any person or entity other than the State of California.
5. That this bond shall be deemed continuous in form, remain in full force and effect, until notice is given to the SURETY by the
Department of Transportation. The notice shall include that the PRINCIPAL has fulfilled their obligations and provided the
Department of Transportation with all the required documents listed in item #9.
6. The SURETY shall give at least thirty (30) days written notice of the termination, cancellation or material change of the policy.
Such notices shall be sent to the Department of Transportation's district project manager as listed in the heading. The notice shall
include the permit number and the projects EA number, location, county, route, and kilometer post (KP) or post mile (PM).
7. That the SURETY shall bear no liability on this bond in the event the encroachment permit issued to the PRINCIPAL is cancelled
or withdrawn prior to commencement of work on state property by the PRINCIPAL.
8. This bond is executed to comply with the provisions of Chapter 3, Division 1 of the Streets and Highways Code and of Chapter 2,
Title 14, Part 2 of the Code of Civil Procedure, and said bond shall be subject to all of the terms and provisions thereof.
For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 654-6410 or TDD (916)
ADA Notice 654-3880 or write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.

Sample Forms A-1.7
Page 2 of 2
DOCUMENTS BOND OF STATE HIGHWAY OVERSIGHT PROJECTS
CEM-1101 (NEW 02/2004)
9. That the following checklist of documents is prepared in accordance with all appropriate Department of Transportation manuals,
plans and specifications, encroachment permits, and project cooperative agreements. The completed documents are required
upon completion of the project and are subject to the approval of the Department of Transportation's State Representative.
AS-BUILT PLANS PER COOPERATIVE AGREEMENT AND ENCROACHMENT PERMITS
PROJECTS WITH STRUCTURES
Red Marked As-Built for Structures Structures AS-Built Route Slip Driven Pile Records for Structures
Final As-Built for Structures Report Of Completion For Structures DC-C78
Shop Drawings On Microfilm DS-0S C3 DH-0S C79
Joint Movement Calculations for Structures DH-0S C80
DSD-D0129 Paint Records for Structures
Structure Construction Records DH-0S M5 DH-0S M11
Other Structure Construction Records DH-0S M8 DH-0S M78
SURVEY AND RIGHT-OF-WAY DOCUMENTS

Title Insurance Policy
WARRANTIES MAINTENANCE AGREEMENTS
FEDERAL-AID PROJECTS
Final Inspection of Federal Aid Project FHWA 1446C FHWA 47

Final Inspection Form 17-C LAPM Final Report of Expenditures 17-M LAPM
Material Certification FHWA-47M Last Statement of Working Days
Contractor's Written Statement of Claims List of Time Extensions
Final Report CEM-2402F (Utilization of DBE) Mitigation Monitoring Reporting Records
List of Contract Change Orders
10. The documents listed above shall be submitted to the Department of Transportation's State Representative within
30 90 180 days of completing the project.
PRINCIPAL DATE
BUSINESS ADDRESS OF PRINCIPAL BUSINESS PHONE
CITY STATE ZIP CODE
PRINT OR TYPE NAME OF AUTHORIZED SIGNATURE AND TITLE AUTHORIZED SIGNATURE AND TITLE
NAME OF SURETY DATE
BUSINESS ADDRESS OF SURETY BUSINESS PHONE
CITY STATE ZIP CODE
I certify (or declare) under penalty of perjury that I have executed the foregoing bond under an unrevoked power of attorney, executed
on , in , , under the laws of the State of California.
PRINT OR TYPE NAME OF ATTORNEY-IN-FACT FOR SURETY SIGNATURE OF ATTORNEY-IN-FACT FOR SURETY

A-1.8 Sample Forms
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION Front
SUBCONTRACTING REQUEST See Instructions

On Back
CEM-1201 (REV. 4/99) CT# 7541-3514-7
REQUEST NUMBER
CONTRACTOR NAME COUNTY ROUTE
BUSINESS ADDRESS CONTRACT NO.
CITY/STATE ZIP CODE FEDERAL AID PROJECT NO. (From Special Provisions)
% OF CHECK IF: DESCRIBE WORK $ AMOUNT

SUBCONTRACTOR BID ITEM (See Categories Below)
BID ITEM WHEN LESS THAN 100% BASED ON
(Name, Business Address, Phone) NUMBER(S)
SUBBED OF WORK IS SUBBED BID $ AMOUNT
(1) (2) (3)
Categories: 1) Speciality 2) Listed Under Fair Practices Act 3) Certified DBE/DVBE

I Certify That:
• The Standard Provisions for labor set forth in the contract apply to the subcontracted work.
• If applicable, (Federal Aid Projects only) Section 14 (Federal Requirements) of the Special Provisions have been inserted in the subcontracts
and will be incorporated in any lower-tier subcontract. Written contracts have been executed for the above noted subcontracted work.
CONTRACTOR'S SIGNATURE DATE
NOTE: This section is to be completed by the Resident Engineer
1. Total of bid items $
2. Speciality items (previously requested) $
3. Specialty items (this request) $
4. Total (lines 2+3) $

5. Contractor must perform with own forces (lines 1 minus 4) x % $
6. Bid items previously subcontracted $
7. Bid items subcontracted (this request) $
8. Total (lines 6+7) $
9. Balance of work Contractor to perform (lines 1 minus 8) $ $
APPROVED
COPY DISTRIBUTION: Original - Contractor Green - Resident Engineer Canary - Dist. Const Office/Labor Compliance Officer
Pink - HQ Construction Program Goldenrod - Contractor's Information Copy
ADA Notice For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 263-2041 or TDD (916) 263-2044 or write Records
and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.

Sample Forms A-1.9
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION Back
SUBCONTRACTING REQUEST
CEM-1201 (REV. 4/99) CT# 7541-3514-7
INSTRUCTIONS FOR COMPLETING SUBCONTRACTING REQUEST FORM
All First-tier subcontractors must be included on a subcontracting request.
Submit in accordance with Sections 8-1.01 of the Standard Specifications. Type or print requested information. Information
copy (goldenrod) is to be retained by the contractor. Submit other copies to the project's Resident Engineer. After approval,
the original will be returned to the contractor.
When an entire item is subcontracted, the value to be shown is the contractor's bid price.
When a portion of an item is subcontracted, describe the portion, and show the % of bid item and value.
THIS FORM IS NOT TO BE USED FOR SUBSTITUTIONS.
Prior submittal of a CP-CEM-1201 involving a replacement Subcontractor, submit a separate written request for approval to
substitute a listed subcontractor. Section 4107 of the Government Code covers the conditions for substitution.
Submit a separate written request for approval of any DBE/DVBE substitution. Include appropriate backup information and
state what efforts were made to accomplish the same dollar value of work by other certified DBE/DVBEs.
NOTE: For contractors who will be performing work on railroad property, it is necessary for the contractor to complete and submit the
Certificate of Insurance (State Form DH-OS-A10A) naming the subcontractor as insured. No work will be allowed which
involves encroachment on railroad property until the specified insurance has been approved.

A-1.10 Sample Forms
Sample Forms A-1.9A
A-1.10A Sample Forms
Sample Forms A-1.9B
A-1.10B Sample Forms
NATIONAL POLLUTION DISCHARGE ELIMINATION SYSTEM ANNUAL CERTIFICATION
CEM-2001 (NEW 9/95)
RESIDENT ENGINEER NAME CALTRANS CONTRACT NO.
PROPOSED STARTING DATE PROPOSED COMPLETION DATE COUNTRY, ROUTE, POST MILES
WORK DESCRIPTION
I certify under penalty of law that this document was prepared under my direction or supervision in accordance with a
system designed to assure that qualified personnel properly gather and evaluate the information submitted. Based on my
inquiry of the person or persons who manage the system, or those persons directly responsible for gathering the
information, the information submitted is to the best of my knowledge and belief, true, accurate, and complete. I am aware
that there are significant penalties for submitting false information, including the possibility of fine and imprisonment for
knowing violations.
CONTRACTOR SIGNATURE DATE
THIS CERTIFICATION COMPLIES WITH THE REQUIREMENTS OF THE STATEWIDE NATIONAL POLLUTION DISCHARGE
ELIMINATION SYSTEM PERMIT NO. CAS000002, ORDER NO. 92-08-DWQ FOR CONSTRUCTION.
APPROVAL
Note to Resident Engineer:

If you cannot certify compliance, notify the appropriate Regional Water Board. Identify the type of non-compliance and the action
necessary to achieve compliance. Include a time schedule for achieving compliance. This notification must be made within 30 days.

Sample Forms A-1.11
A-1.12 Sample Forms
1 of 3
NOTIFICATION OF CONSTRUCTION
CEM-2002 (NEW 4/10/2000)
IN COMPLIANCE WITH CALTRANS STATEWIDE NPDES STORM WATER PERMIT Order No. 99-06 DWQ, NPDES No. CAS000003
I. IDENTIFICATION - Attach Vicinity Map, ½ size copy of Title Sheet
PROJECT CHECK ONE: CONTRACT NUMBER DATE MM/DD/YYYY
First Submittal or Amendment No. EA
CITY (if applicable) COUNTY TENTATIVE START DATE TENTATIVE END DATE
ROUTE POST MILE KILOMETER POST TENTATIVE DATE SWPPP AVAILABLE
II. CALIFORNIA REGIONAL WATER QUALITY CONTROL BOARDS

Region1, North Coast Region 5, Central Valley Region 6, Lahontan Region 7, Colorado River
Region 2, San Francisco Bay Sacramento South Lake Tahoe Region 8, Santa Ana
Region 3, Central Coast Fresno Victorville Region 9, San Diego
Region 4, Los Angeles Redding
III. CALTRANS DISTRICT

NAME/NUMBER PROJECT CONTACT
ADDRESS POSITION TITLE
CITY PHONE
IV. CONSTRUCTION FIELD OFFICE - Attach Location Map

STREET ADDRESS CONSTRUCTION CONTACT
PHYSICAL LOCATION IF DIFFERENT THAN ADDRESS ABOVE POSITION TITLE
CITY STATE ZIP PHONE
V. CONSTRUCTION SITE INFORMATION

DESCRIPTION AND TYPE OF WORK
ADDITIONAL RELATED REQUIRED APPROVALS: DTSC Variance CWA 404/401 DFG 1601 NPDES/WDRs OTHER
DESCRIBE:
TOTAL CONSTRUCTION AREA: ACRES HECTARES TOTAL DISTURBED AREA: ACRES HECTARES
RECEIVING WATER NAME: PROJECT IN OR ADJACENT TO RECEIVING WATER?

YES
PROJECT DISCHARGES TO? BASIN LOCATION: MUNICIPAL/OTHER SYSTEM NAME:

GROUNDWATER INFILTRATION
VI. CERTIFICATION
I certify under penalty of law that this document and all attachments were prepared under my direction or supervision in accordance with a system designed
to assure that qualified personnel properly gather and evaluate the information submitted. Based on my inquiry of the person or persons who manage the
system, or to those persons directly responsible for gathering the information, the information submitted is true, accurate and belief. I am aware that there are
significant penalties for submitting false information, including the possibility of fine and imprisonment of knowing violations.
SIGNATURE DATE
PRINT/TYPE NAME TITLE

Sample Forms A-1.13
2 of 3

NOTIFICATION OF CONSTRUCTION (NOC) INSTRUCTIONS
CEM-2002 (NEW 4/10/2000)
CALTRANS STATEWIDE NPDES PERMIT

Order No. 99-06 DWQ, NPDES CAS000003
The Permit requires that a Notification of Construction (NOC) for construction projects covered by the Permit be
submitted to the appropriate Regional Water Quality Control Board (RWQCB) at least 30 days prior to the start of
construction. In some cases, the RWQCB may view two or more smaller projects in the same corridor as part of a
larger common plan of development. The Project Manager should be aware of other projects in the corridor. If
needed, these projects should be mentioned in section V. Construction Site Information.
Typically, most of the information on the form is completed by the District Storm Water Coordinator, Environmental
staff, Project Manager or Project Engineer. That individual also submits the NOC to the appropriate RWQCB(s) at
the same time the PS&E package is transmitted to the Office Engineer. No fees are to be to submitted to the
RWQCBs. A copy should also be transmitted to the District Construction Division.
At the time of the first submittal to the RWQCB, the District may elect to leave blank the information in Section IV.
Construction Field Office and resubmit a copy of the form with that information filled in at the time the Resident
Engineer (RE) is assigned. Alternately, the District may wish to fill in a contact name of someone other than the
RE, such as the Area Senior Construction Engineer or Project Manager, who will remain the contact for that project
until the NOC is resubmitted with the new contact information, or until the Notice of Completion of Construction
(NCC) is filed.
The form may be filled in electronically or by printing legibly.
I. IDENTIFICATION. Provide a brief project descriptive name, a "nickname." When the NOC is first submitted to
the RWQCB, check the First Submittal box. For subsequent changes of information, including contact information,
enter the amendment number.
Enter the Contract Number. Use the construction phase EA.
Enter the date that the NOC is first submitted to the Regional Water Quality Control Board (RWQCB), or date of
subsequent submittals.
Provide a "to scale" or "to approximate scale" drawing of the construction site and the immediate surrounding area.
Limit the map to an 8.5" x 11" or 11" x 17" size. At a minimum, the map must show the site perimeter, the
geographic features surrounding the site, general topography, and location of the construction project in relation to
surface waters and named streets, roads, intersections, or landmarks. Do not submit a drawing unless it meets
the above size limits.
Enter the city, if applicable, or N/A if not within city limits. Enter the county or counties, route number, post mile
and kilometer post. Also enter the tentative start and end dates.
Enter a tentative date the Storm Water Pollution Prevention Plan (SWPPP) will be available.

A-1.14 Sample Forms
3 of 3

NOTIFICATION OF CONSTRUCTION (NOC) INSTRUCTIONS
CEM-2002 (NEW 4/10/2000)

II. CALIFORNIA REGIONAL WATER QUALITY CONTROL BOARD(S).

Check the box of the RWQCB(s) that has jurisdiction over the area that the project is in.
III. CALTRANS DISTRICT. Enter the name and address of the Caltrans District individual responsible for submittal of the
NOC to the RWQCB. Typically that individual is the Project Engineer, Project Manager, the District Storm Water
Coordinator, or Environmental Program staff.
IV. CONSTRUCTION FIELD OFFICE. Enter Caltrans field office information, if known, and Construction Contact person
information. As discussed above, the District may elect to use the contact information for the RE after the project has been
assigned, or another individual, such as the Area Senior or Project Manager. If the Construction Contact information
changes, then the District should resubmit a revised form to the RWQCB(s). Provide the physical address of the field office,
or a description of the physical location of the field office if no physical address is available and a location map.
V. CONSTRUCTION SITE INFORMATION. Provide a brief narrative description of the work. You can attach a checklist of
permanent and/or temporary BMPs if needed, or required by a RWQCB. A checklist of construction BMPs can also be
attached later as an amendment after the SWPPP is completed.
Check the box or boxes to indicate any additional required approvals, permits or certifications. Some examples are:
variance from the Department of Toxics Substances Control (DTSC) for reuse of soil containing lead, dredge or fill operations
requiring Army Corps of Engineers 404 certification and/or Clean Water Act 401 certification, streambed alteration requiring
Department of Fish and Game 1601 permit and non-storm water discharges requiring separate waste discharge
requirements. Describe the condition and whether the approval, permit or certification has been issued. If the project
involves soils subject to the DTSC variance, notify the appropriate RWQCB(s) to determine if separate waste discharge
requirements must be issued. The RWQCBs have up to 120 days to issue waste discharge requirements, so the RWQCBs
should be notified early in the process.
Indicate the total size in acres and hectares, of the construction project. Also indicate the size of the disturbed soil area.
Disturbed soil area is defined in the Storm Water Management Plan as "areas of exposed, erodible soil, including
stockpiles, that are within the construction limits and that result from construction activities."
Identify the name of the surface receiving water body for the storm water discharge. Indicate whether the project is in or
immediately adjacent to the receiving water. If the storm water is infiltrated, check the box for infiltration basin, and identify
the basin's location. If the discharge is to a separate storm sewer system, such as a collection system operated by a
municipality, flood control district, utility, or similar entity, check the box for municipal/other system and the name of the
system owner.
VI. CERTIFICATIONS. The permit requires that all reports and information requested by the SWRCB or RWQCBs be
signed by an Executive Officer, Executive Director or a duly authorized representative if the authorization is made in writing.
If signature authority is delegated to staff, a copy of that delegation letter should be sent to the Storm Water Manager at
Headquarters.

Sample Forms A-1.15
A-1.16 Sample Forms
NOTICE OF COMPLETION OF CONSTRUCTION

CEM-2003 (NEW 4/12/2000)
IN COMPLIANCE WITH CALTRANS STATEWIDE NPDES STORM WATER PERMIT Order No. 99-06 DWQ, NPDES No. CAS000003
I. IDENTIFICATION
PROJECT CONTRACT NUMBER DATE MM/DD/YYYY
EA
CITY (if applicable) COUNTY ROUTE KILOMETER POST / POST MILE (S) START DATE END DATE
II. CALIFORNIA REGIONAL WATER QUALITY CONTROL BOARDS

Region1, North Coast Region 5, Central Valley Region 6, Lahontan Region 7, Colorado River
Region 2, San Francisco Bay Sacramento South Lake Tahoe Region 8, Santa Ana
Region 3, Central Coast Fresno Victorville Region 9, San Diego
Region 4, Los Angeles Redding
III. CALTRANS DISTRICT

NAME/NUMBER PROJECT CONTACT
ADDRESS POSITION TITLE
CITY ZIP PHONE
IV. BASIS OF COMPLETION

1. The construction job is complete and requirements met as of Date:
2. Construction activities have been suspended, as of Date: Expected Start Up Date:
3. Site can not discharge storm water to waters of the United States Reason:
4. Discharge is now subject to NPDES Permit No. Date:
V. DESCRIPTION OF COMPLETION (Attach site photographs)
VI. CERTIFICATION
I certify under penalty of law that this document and all attachments were prepared under my direction or supervision in accordance with a system designed to
assure that qualified personnel properly gather and evaluate the information submitted. Based on my inquiry of the person or persons who manage the system,
or to those persons directly responsible for gathering the information, the information submitted is true, accurate, and complete to the best of my knowledge and
belief. I am aware that there are significant penalties for submitting false information, including the possibility of fine and imprisonment of knowing violations.
SIGNATURE
PRINT/TYPE NAME
DATE
TITLE
For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 263-2041 or TDD (916) 263-2044 or write Records
ADA Notice and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.

Sample Forms A-1.17
NOTICE OF COMPLETION OF CONSTRUCTION (NCC) INSTRUCTIONS

CEM-2003 (NEW 4/12/2000)

I. IDENTIFICATION. The project name, contract number, city, county, route, kilometer post and post mile information
should be identical to that on the Notification of Construction form. Enter the date the Completion of Construction (NCC)
is submitted to the Regional Water Quality Control Boards (RWQCB) and the start and end dates of construction.
II. CALIFORNIA REGIONAL WATER QUALITY CONTROL BOARDS. Check the box next to the appropriate
RWQCB(s).
III. CALTRANS DISTRICT. Provide the Caltrans District information and the name, title and phone of the construction
contact, which by District policy may be the Resident Engineer (RE), the Area Senior, the Program Manager, National
Pollution Discharge Elimination System (NPDES) Coordinator or other responsible staff. The contact should be someone
who can address RWQCB staff questions about project storm water controls or who can refer a RWQCB staff to a
someone who can.
IV. BASIS OF COMPLETION. Check one of the boxes:
1. The construction project has been completed and

• all elements of the Storm Water Pollution Prevention Plan (SWPPP) have been completed;
• construction materials and equipment maintenance waste have been disposed of properly;
• final stabilization requirements have been met, i.e., when all soil disturbing activities are completed and either:
a. a uniform vegetative cover with 70 percent coverage has been established or
b. equivalent stabilization measures have been employed. (i.e., erosion resistant soil coverings or treatments).
Caltrans projects typically include erosion control on all disturbed areas, which is considered to be equivalent
stabilization.
• the post-construction storm water operation and management plan is in place.
2. Construction activities have been suspended, either temporarily or indefinitely and

• all elements of the SWPPP have been completed;
• construction materials and equipment maintenance waste have been disposed of properly;
• all denuded areas and other areas of potential erosion are stabilized;
• an operation and maintenance plan for erosion and sediment control is in place;
• the date construction activities were suspended, and the expected start up date
3. The construction site can not discharge storm water to waters of the United States. Indicate how prevention of all
discharge is ensured, and if all storm water is retained on site or collected offsite.
4. The discharge of construction storm water from the site is now subject to another NPDES general permit or an
individual NPDES permit. The general permit or individual permit NPDES number and the date coverage began should be
provided.
V. DESCRIPTION OF COMPLETION
Briefly describe how the completion requirements have been met. Attach site photographs.
VI. CERTIFICATION
The permit requires information submitted be signed by the District Director or a duly authorized representative. If the
District Director elects to delegate signature authority, the District must first have submitted the list of authorized
representatives to the appropriate RWQCB.

A-1.18 Sample Forms
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION For individuals with sensory disabilities, this document is available in alternate formats.
ADA
SOLID WASTE DISPOSAL AND RECYCLING REPORT For information call (916) 654-6410 or TDD (916) 654-3880 or write Records and Forms
Notice Management, 1120 N Street, MS-89, Sacramento, CA 95814.
CEM-2025 (NEW 12/2003)
Sample Forms
Project Name: Type of Work:
Contract Number: Co./Rte/PM Reporting period (month and year):

from to
Contractor Name: Phone Number FAX Number
Street Address: City, State, Zip
Preparer's Name (Please Print) Signature Date
*NOTE: Earth and rock material shall not be reported as either waste material diverted from or disposed to landfills.
Name and location or Recycling or Disposal Facility Type of material Type of activity Amount of material taken to Amount of material diverted
Enter letter as follows: Enter number as follows: landfills quantity (tonne or from landfills quantity (tonne
3
A=Asphalt 1=Source-Separated M3 ) or M )
C=Concrete Materials Recycling
M=Metal 2=On-Site Reuse
D=Mixed Debris 3=Mixed Debris Recycling
W=Wood/cleared 4=Reuse of salvageable items
vegetation 5=Disposal at landfill or
O=Other [described] Transfer Station
6=Other [described]
*See Note above

I certify under penalty of perjury that the information provided above is complete and accurate. The information provided by the contractor has been reviewed.
CONTRACTOR SIGNATURE DATE RESIDENT ENGINEER SIGNATURE DATE
A-1.19
SOLID WASTE DISPOSAL AND RECYCLING REPORT
CEM-2025 (NEW 12/2003)
FIELD INSTRUCTIONS
Project Name Description of the project
Type of Work General work description (Example: demolition, AC grinding)
Contract Number District - Expenditure Authorization
Co/Rte/PM County/Route/Post Mile
Reporting Period (month and year): From and To Start and end dates of the reporting quarter
Contractor Name Contractor's full name
Street Address, City, State, Zip Contractor's street address, including city, state and zip code
Phone and Fax Contractor's telephone and fax number
Preparer's Signature Signature of the person who completed the report
Date Completed Date the form was completed
Name and Location of Recycling or Disposal Facility Full name and address of recycling or disposal facility
Type of Material Enter one of the following code letters:

A = Asphalt
C = Concrete
M = Metal
D = Mixed Debris
W = Wood or cleared vegetation
O = Other (please describe)
Type of Activity Enter one of the following activity numbers:

1 = Source-Separated Materials Recycling
2 = On-site reuse
3 = Mixed debris recycling
4 = Reuse of salvageable items
5 = Disposal at Landfill or Transfer Station
6 = Other (please describe)
Amount of Material taken to Landfills Include all material disposed of that has not been recycled,
reused, etc. Quantity shall be reported in tonne or cubic meters.
Amount of Material Diverted from Landfills Quantity shall be reported in tonne or cubic meters. If scales
are available, report tonne.
Contractors Certification The contractors must sign and date the form attesting that all the
information provided is complete and accurate.
Resident Engineer Resident engineer will sign and date that the information
provided by the contractor has been reviewed, not certified.

A-1.20 Sample Forms
STATE OF CALIFORNIA - DEPARTMENT OF TRANSPORTATION
COZEEP DAILY REPORT
CEM-2101 (REV 10/2003) CT# 7541-3201-3
(JOB STAMP)
DATE
DISTRICT EA SPECIAL DESIGNATION - COZEEP

DAILY REPORT NUMBER * 4 Object Code: 042
PROJECT LOCATION/DESCRIPTION
COUNTY ROUTE POST MILE
DESCRIPTION OF WORK
CHP DIVISION/AREA CODE

OFFICER/SERGEANT/VEHICLE INFORMATION
CHP SPECIAL PROJECT CODE
(Please Print) 1 2 3 4
MEMBER NAME
ID NUMBER
CHP Office
RANK
VEHICLE NUMBER
CHP
ENDING TIME**
STARTING TIME
TOTAL TIME**
ENDING MILEAGE**
STARTING MILEAGE
TOTAL MILEAGE**
INITIALS (end of shift)
CALTRANS INFORMATION
NAME AND TITLE (print) RESIDENT ENGINEER'S NAME (print) COST CENTER
SIGNATURE (End of Shift) PHONE FIELD OFFICE
* Use District Expenditure Authorization (EA) as the Daily Report Number.

** These figures are estimates and may be increased or decreased in accordance with the terms of the contract.
WHITE - CHP Officer YELLOW - Resident Engineer (Project Files) PINK - District COZEEP Coordinator

Sample Forms A-1.21
A-1.22 Sample Forms
COZEEP/MAZEEP TASK ORDER
CEM-2102 (REV 10/2003)
DIST/EA DATE OF REQUEST CONTRACT NUMBER
This task order is entered into pursuant to the provisions of the Interagency Agreement No. for the period of July 1, --- to
June 30, ---, between Caltrans and the California Highway Patrol (CHP).
1. Project Description and Location (include the county, route, and post mile)
2. Type of Services Required
3. Date(s) and time(s) services are to be provided
Reporting Date Reporting Date Reporting Date
Reporting Time Reporting Time Reporting Time
*Completion Time *Completion Time *Completion Time
Reporting Date Reporting Date Reporting Date
Reporting Time Reporting Time Reporting Time
*Completion Time *Completion Time *Completion Time
* Estimated
4. Project Officials
Caltrans Project Supervisor CHP Coordinator (completed by CHP)
Name Name
Title Title
Telephone No. Telephone No.
Facsimile No. Facsimile No.
5. Reporting
Caltrans and CHP agree that all reporting for this job shall be accomplished through the standard COZEEP/MAZEEP Daily Report
Form. Revisions, other versions, or additional forms shall not be used.
Approvals
Caltrans California Highway Patrol
By By
(Name and Title) (Name, ID # and Title)

Sample Forms A-1.23
A-1.24 Sample Forms
STATE OF CALIFORNIA • DEPARTMANT OF TRANSPORTATION
COZEEP/MAZEEP CANCELLATION FORM
CEM-2103 (NEW 10/2003)
FIRST CANCELLATION
Resident Engineer's Name: Phone Number:
Project EA Scheduled Work Date and Time
Cancellation Notice Issued By (name of Caltrans Employee) Signature:
Officer's When No
Officer's Name $50 4 Hours
ID Notified Charge
Person Receiving Notification (Print Name/ID#): Signature
Date and Time Notification RECEIVED BY CHP
SECOND CANCELLATION
Resident Engineer's Name: Phone Number:
Project EA Date and Time Notification Issued
Cancellation Notice Issued By (name of Caltrans Employee) Signature:
Officer's When No
Officer's Name $50 4 Hours
ID Notified Charge
Person Receiving Notification (Print Name/ID#): Signature
Date and Time Notification RECEIVED BY CHP

Sample Forms A-1.25
A-1.26 Sample Forms
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION ADA Notice
SUBSTITUTION REPORT FOR DISADVANTAGED BUSINESS ENTERPRISE/DISABLED 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
VETERAN BUSINESS ENTERPRISE Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.
CEM-2401 (REV 3/1999) CT# 7541-3507-3
Sample Forms
(See Reverse for Instructions)
CONTRACT NUMBER APPROVAL

RESIDENT ENGINEER (Signature) DATE
STATE FUNDED PROJECT
REQUEST DATE
FEDERAL AID PROJECT

GOOD FAITH EFFORT
PRIME CONTRACTOR DEPUTY DISTRICT DIRECTOR - CONSTRUCTION (Signature) DATE
LISTED OR PREVIOUSLY APPROVED SUBCONTRACTOR DBE DVBE PROPOSED SUBCONTRACTOR DBE DVBE
DOLLAR AMOUNT REMAINING

ITEM # WORK DESCRIPTION ITEM # WORK DESCRIPTION DOLLAR AMOUNT
COMPLETED DOLLAR AMOUNT

TOTAL $ TOTAL $
REASONS FOR SUBSTITUTION
(Check Appropriate Block)
1. The listed DBE/DVBE, after having a reasonable opportunity to do so, failed, or refused to execute a written contract, when such written contract, based upon the general terms,
conditions, plans and specifications for the project, or on the terms of such subcontractor's or supplier's written bid, was presented by the Contractor.
2. The listed DBE/DVBE is bankrupt or insolvent.
3. The listed DBE/DVBE failed or refused to perform the contract or furnish the listed materials.
4. The listed DBE/DVBE subcontractor failed or refused to meet the bond requirements of the Contractor.
5. The work performed by the listed subcontractor was substantially unsatisfactory and was not in substantial accordance with the plans and specifications, or the subcontractor was
substantially delaying or disrupting the progress of work.
6. It was in the best interest of the State.
REMARKS:
DISTRIBUTION: ORIGINAL - Contractor GREEN - Resident Engineer CANARY - Disrict Construction/Labor Compliance Officer PINK - Construction Program GOLDENROD - Business Enterprise Program
A-1.27
SUBSTITUTION REPORT FOR DISADVANTAGED BUSINESS ENTERPRISE/DISABLED
A-1.28
VETERAN BUSINESS ENTERPRISE
CEM-2401 (REV 3/1999) CT# 7541-3507-3
INSTRUCTIONS
Contract Number Example: 01-234567
State Funded/Federal Aid Check one only.
Approval Resident Engineer can approve if:

One DB is to be substituted for another DB if the same items of work are involved or, if different
items, the dollar value is equal to or greater than the original proposal; the new DB is certified.
Good Faith Effort DDD or his/her designee must approve if:

A good faith effort was made to substitute listed subcontractor, but proposed subcontractor is not
certified as DBE.
Date Date of approval by Resident Engineer/Deputy District Director.
Listed/Proposed Subcontractor Indicate name of subcontractors involved. Check one box only, as applicable.
Item Number From Special Provisions.
Work Description Corresponds to Item #, Special Provisions. List only items or partial items of work allocated to
subcontractor being removed.
Dollar Dollar amount of work completed by previously approved contractor, and dollar amount of
remaining work. (If a portion of the work has been done, explain in the remarks section or on
attachment.)
Reasons for Substitution Check appropriate box.
FM 2180 M 94 95 86073
Sample Forms
FINAL REPORT - UTILIZATION OF DISADVANTAGED BUSINESS ENTERPRISES
(DBE), FIRST-TIER SUBCONTRACTORS
CEM-2402F (REV. 10/1999) CT# 7541-3502-2
CONTRACT NUMBER COUNTY ROUTE ADMINISTERING AGENCY CONTRACT COMPLETION DATE
Sample Forms
POST MILES POST KILOMETERS FEDERAL AID PROJECT
PRIME CONTRACTOR BUSINESS ADDRESS ESTIMATED CONTRACT AMOUNT
$
DESCRIPTION OF CONTRACT PAYMENTS
WORK PERFORMED DBE
ITEM SUBCONTRACTOR NAME
AND CERT. DBE DBE
NO. AND BUSINESS ADDRESS DBE DATE WORK
MATERIALS NUMBER NON-DBE DBE (NON-MINORITY (MINORITY DATE OF FINAL
MINORITY COMPLETE
PROVIDED WOMEN) WOMEN) PAYMENT

ORIGINAL COMMITMENT
TOTALS
$ $ $ $ $ $ $
DBE DBE MINORITY
$ $
DBE (Non-MINORITY WOMEN) DBE (MINORITY WOMEN)
List all First Tier Subcontractors, Disadvantaged Business Enterprises (DBE's) regardless of tier, whether or not the firms were originally listed for goal credit. If actual DBE utilization (or item of work) was different than that approved at time of
award, provide comments on back of form. List actual amount paid to each DBE, even if different than originally listed for goal credit.
I CERTIFY THAT THE ABOVE INFORMATION IS COMPLETE AND CORRECT
CONTRACTOR REPRESENTATIVE'S SIGNATURE BUSINESS PHONE NUMBER DATE
TO THE BEST OF MY INFORMATION AND BELIEF, THE ABOVE INFORMATION IS COMPLETE AND CORRECT
RESIDENT ENGINEER'S SIGNATURE BUSINESS PHONE NUMBER DATE
COPY DISTRIBUTION: Original - Construction Program Green - Business Enterprise Program Canary - Contractor Pink - District Construction Golden Rod - Resident Engineer
ADA Notice For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 263-2041 or TDD (916) 263-2044 or write Records and Forms Management, 1120 N Street, MS-89,
Sacramento, CA 95814.
A-1.29
FINAL REPORT - UTILIZATION OF DISADVANTAGED BUSINESS ENTERPRISES
(DBE), FIRST-TIER SUBCONTRACTORS
CEM-2402F (REV. 10/1999) CT# 7541-3502-2
The form requires specific information regarding the construction project: Contract Number, County, Route, Post Miles/ Post
Kilometers, a box to check that the project is indeed a Federal Aid Project, the Administering Agency (Caltrans), the Contract
Completion Date and the Estimated Contract Amount. It requires the prime contractor name and business address. The focus
of the form is to describe who did what by contract item numbers and descriptions, asking for specific dollar values of item work
completed broken down by subcontractors who performed the work, both DBE and non-DBE work forces. DBE prime
contractor's are required to show the date of work performed by their own forces along with the corresponding dollar value of
work.
The form has a column to enter the Contract Item No. (or Item No's) and description of work performed or materials provided, as
well as a column for the subcontractor name and business address. For those firms who are DBE, there is a column to enter
their DBE Certification Number. The DBE should provide their certification number to the contractor and notify the contractor in
writing with the date of the decertification if their status should change during the course of the project.
The form has five columns for the dollar value to be entered for the item work performed by the subcontractor.
The Non-DBE column is used to enter the dollar value of work performed for firms who are not certified DBE.
The decision of which column to be used for entering the DBE dollar value is based on what program(s) the firm is
certified. This Program status is determined by the Civil Rights Certification Unit based on ethnicity, gender,
ownership and control issues at time of certification. The certified firm is issued a certificate by the Civil Rights Unit
that states their program status as well as the firms expiration date. DBE Program status may be obtained by
accessing the civil rights website (http://www.dot.ca.gov/hq/bep/)and downloading the Calcert Extract or by calling
(916) 227-2207. Based on this DBE Program status, the following table depicts which column to be used:
DBE Program Status Column to be used

If program status shows DBE only with no other programs listed. DBE
If program status shows DBE, SMBE DBE Minority
If program status shows DBE, SMBE, SWBE DBE (Minority Women)
If program status shows DBE, SWBE DBE (Non-Minority Women)
If a contractor performing work as a DBE on the project becomes decertified and still performs work after their decertification
date, enter the total value performed by this contractor on Form 2402(F) under the appropriate DBE Program Status (include all
work performed after decertification) and complete and submit Form CEM-2403 (F) as appropriate. Any comments to be made
on the Form CEM-2403(F) is being submitted.
If a contractor performing work as a Non-DBE on the project becomes certified as a DBE enter the dollar value of all work
performed as a DBE on CEM-2402(F) and CEM-2403(F). Any comments to be made on the form 2402(F) are to be explained on
the reverse side of the form. Indicate in the Comments section that Form CEM-2403(F) is being submitted.
There is a space provided on the CEM-2402(F) where TOTAL is entered for these five columns.
There is a column on the CEM-2402(F) to enter the Date Work Complete as well as a column to enter the Date of Final Payment,
which is an indicator of when the prime contractor made the "final payment" to the subcontractor for the portion of work listed as
being completed.
The Original Commitment area on the CEM_2402(F) is based in information at award time of the project and is the dollar value of
those subcontractors listed as being at award based on the above table.
The CEM-2402(F) has an area at the bottom where the contractor and the resident engineer sign and date that the information
provided is complete and correct.

A-1.30 Sample Forms
FINAL REPORT - UTILIZATION OF DISABLED VETERAN BUSINESS ENTERPRISES (DVBE)
STATE FUNDED PROJECTS
CEM-2402S (REV. 10/1999) CT# 7541-3502-2
CONTRACT NUMBER COUNTY ROUTE POST MILES POST KILOMETERS STATE FUNDED ADMINISTERING AGENCY CONTRACT COMPLETION DATE
Sample Forms
$
CONTRACT PAYMENTS
DESCRIPTION OF WORK PERFORMED DBE
CONTRACT SUBCONTRACTOR NAME
AND CERT DVBE DATE OF
ITEM NO. AND BUSINESS ADDRESS DATE WORK
MATERIALS PROVIDED NO (STATE-FUNDED FINAL COMMENTS
COMPLETED
PROJECTS ONLY) PAYMENT

ORIGINAL COMMITMENT
TOTALS
DVBE $ $
List all Disabled Veterans Business Enterprises (DVBE's) regardless of tier, whether or not the firms were originally listed for goal credit. If actual DVBE utilization (or item of work) was different than that approved at
time of award, provide comments. List actual amount paid to each DVBE, even if different than originally listed for goal credit.
CONTRACTOR REPRESENTATIVE'S SIGNATURE BUSINESS PHONE NUMBER DATE
For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 263-2041 or TDD (916) 263-2044 or write Records and Forms Management, 1120 N Street, MS-89,
ADA Notice Sacramento, CA 95814.
A-1.31
FINAL REPORT - UTILIZATION OF DISABLED VETERAN BUSINESS ENTERPRISES (DVBE)
STATE FUNDED PROJECTS
CEM-2402S (REV. 10/1999) CT# 7541-3502-2
The form requires specific information regarding the construction project: Contract Number, County, Route, Post Miles/ Post
Kilometers, a box to check that the project is indeed a State-Funded Project, the Administering Agency (Caltrans), the Contract
Completion Date and the Estimated Contract Amount. It requires the prime contractor name and business address. The focus of
the form is to describe by contract item numbers, descriptions of the work performed, and specific dollar values of the actual item
work completed by the certified DVBE contractor(s).
The form has a column to enter the Contract Item No. (or Item No's) and description of work performed or materials provided, as well
as a column for the subcontractor name and business address. There is a column to enter the DVBE Certification Number. The
DVBE should provide their certification number to the contractor.
The form has a column DVBE (State-Funded Projects Only) for the dollar value to be entered for the item(s) work performed by the
DVBE subcontractor as well as a column to enter the Date Work Completed. In the column Date of Final Payment, this is where
the prime contractor enters the date for the "final payment" to the subcontractor for work completed.
The box addressed as "TOTAL" is where the total dollar value of the column DVBE (State Funded Projects Only) is entered.
The Original Commitment area on the CEM-2402(S) is based in information at award time of the project and is the dollar value of the
DVBE subcontractors listed at award.
There is a comments section for any additional information that may need to be provided regarding any of the above transactions.
The CEM-2402(S) has an area at the bottom where the contractor and the resident engineer sign and date that the information

A-1.32 Sample Forms
DISADVANTAGED BUSINESS ENTERPRISES (DBE)
CERTIFICATION STATUS CHANGE
Sample Forms
CEM-2403(F) (NEW 10/1999)
CONTRACT NUMBER COUNTY ROUTE POST MILES POST KILOMETERS ADMINISTERING AGENCY CONTRACT COMPLETION DATE

$
The Contractor: List all DBE's with change in certification status (certified/decertified) while in your employ, whether or not firms were originally listed for goal credit. Attach DBE certification/decertification letter in accordance with the Special
Provisions.
CERTIFICATION/
CONTRACT SUBCONTRACTOR NAME AMOUNT PAID WHILE DECERTIFICATION DATE
BUSINESS PHONE CERTIFICATION NUMBER
ITEM NO. AND BUSINESS ADDRESS CERTIFIED Letter attached

COMMENTS:

CONTRACTOR REPRESENTATIVE'S SIGNATURE TITLE BUSINESS PHONE NUMBER DATE
ADA Notice For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 263-2041 or TDD (916) 263-2044 or write Records and Forms Management, 1120 N Street, MS-89,
A-1.33
Sacramento, CA 95814.
DISADVANTAGED BUSINESS ENTERPRISES (DBE)
CERTIFICATION STATUS CHANGE
CEM-2403(F) (NEW 10/1999)
The top of the form requires specific information regarding the construction project: Contract Number, County, Route, Post Miles/
Post Kilometers, the Administering Agency (Caltrans), the Contract Completion Date and the Estimated Contract Amount. It
requires the prime contractor name and business address. The focus of the form is to substantiate and verify the actual DBE
dollar amount paid to contractors on federally funded projects that had a change in certification status during the course of the
completion of the contract. The two situations that are being address by CEM 2403(F) are if a firm certified as a DBE and doing
construction work on the contract during the course of the project becomes decertified, and if a non-DBE firm doing work on the
contract during the course of the project becomes certified as a DBE.
The form has a column to enter the Contract Item No. (or Item No's), as well as a column for the Subcontractor name and
Business Address, Business Phone and contractor's Certification Number.
The column entitled Amount Paid While Certified will be used to enter the actual dollar value of the work performed by those
contractors who meet the conditions as outlined above during the time period they are certified as a DBE. This column on the
CEM-2403(F) should only reflect the dollar value of work performed while the firm was certified as a DBE.
The column called Certification/Decertification Date (Letter attached) will reflect either the date of the Decertification Letter sent
out by the Civil Rights or the date of the Certification Certificate mailed out by the Civil Rights. There is a box to check that
support documentation is attached to the CEM-2403(F) form.
There is a comments section for any additional information that may need to be provided regarding any of the above transactions.
The CEM-2403(F) has an area at the bottom where the contractor and the resident engineer sign and date that the information

A-1.34 Sample Forms
MONTHLY DBE TRUCKING VERIFICATION
Sample Forms
CEM-2404(F) (NEW 12/1999)
CONTRACT NO. MONTH YEAR
Commission Lease
DBE Company California Hwy. Date
Truck Owner Truck No. Or Arrangement
Cert. No. Name and Address Patrol CA No. Paid
Amount Paid* ( if applicable)
Lease Agreement
$ Non-DBE
DBE
Lease Agreement
$ Non-DBE
DBE
Lease Agreement
$ Non-DBE
DBE
Lease Agreement
$ Non-DBE
DBE
Lease Agreement
$ Non-DBE
DBE
Lease Agreement
$ Non-DBE
DBE
Lease Agreement

$ Non-DBE
DBE
Lease Agreement
$ Non-DBE
DBE
Lease Agreement
$ Non-DBE
DBE
TOTAL AMOUNT PAID $
PRIME CONTRACTOR BUSINESS ADDRESS BUSINESS PHONE NUMBER
* Upon request all Lease Agreements shall be made available, in accordance with the Special Provisions.
CONTRACTOR REPRESENTATIVE'S SIGNATURE TITLE DATE
CEM-2404F (NEW 12/1999) COPY DISTRIBUTION: ORIGINAL - RESIDENT ENGINEER
A-1.35
MONTHLY DBE TRUCKING VERIFICATION
CEM-2404(F) (NEW 12/1999)
The top of Form CEM-2404(F) contains boxes to put in the Contract Number, the Month of the reporting period
and the Year of the reporting period.
The Form CEM-2404(F) has a column to enter the name of the Truck Owner, the DBE Cert. No. (if DBE
certified) and the Name and Address of the trucking company. The Form CEM-2404(F) also requires the
Truck No. and the California Highway Patrol CA No.
Form CEM-2404(F) is to be submitted prior to the 15th of each month and must show the dollar amount paid to
the DBE trucking company(s) for truck work performed by DBE certified trucks and for any fees or
commissions of nonDBE trucks utilized each month on the project. The amount paid to each trucking company
is to be entered in the column called "Commission or Amount Paid", in accordance with the Special Provisions
Section 5-1.X.
Payment information is derived using the following:
1.) 100% for the trucking services provided by the DBE using trucks it owns, operates and insures.
2.) 100% for the trucking services provided by trucks leased from other DBE firms.
3.) The fee or commission paid on non-DBEs for the lease of trucks. The prime does not receive 100%
credit for these services because they are not provided by a DBE company.
The total dollar figure of this column is to be placed in the box labeled "Total Amount Paid".
The column "Date Paid" requires a date that each trucking company is paid for services rendered. The next
column contains information that must be completed if a lease arrangement is applicable. Located at the
bottom of Form is a space to put the name of the "Prime Contractor", their "Business Address" and their
"Business Phone No.".
At the bottom of Form there is a space for the Contractor or designee "Contractor Representative's Signature,
Title and Date" certifying that the information provided on the form is complete and correct.

A-1.36 Sample Forms
FRINGE BENEFIT STATEMENT
CEM-2501 (REV. 8/1994)
CONTRACTOR/SUBCONTRACTOR (Please Print) CONTRACT NUMBER FEDERAL AID PROJECT NUMBER DATE
TO: RESIDENT ENGINEER/DISTRICT LABOR COMPLIANCE OFFICER BUSINESS ADDRESS
The following information (as shown or referenced on wage rate determinations) paid to or on behalf of employees in various crafts or
classifications is used to check payrolls or applied to force account work on the above contract.
THIS FORM MUST BE COMPLETED AND SUBMITTED WITH THE FIRST CERTIFIED PAYROLL, OR WHEN THERE HAVE BEEN ANY CHANGES.
CLASSIFICATION FRINGE BENEFIT HOURLY AMOUNT NAME AND ADDRESS OF PLAN, FUND, OR PROGRAM
Effective Date Vacation $
Health & $
Welfare
Pension $
Subsistence and/or Travel Pay: Apprentice $

/
Other $
$
Health & $
Welfare
Pension $

/
Other $
$
Health & $
Welfare
Pension $

/
Other $
$
I certify under penalty of perjury that fringe benefits are paid to the approved Plans, Funds, or Programs as listed above.
NAME AND TITLE (Please Print)
SIGNATURE BUSINESS TELEPHONE NUMBER
For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 263-2041 or TDD (916) CEM2501

Sample Forms A-1.37
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION PERSONAL INFORMATION NOTICE
CONTRACTOR PAYROLL SUBCONTRACTOR PAYROLL Pursuant to the Federal Privacy Act (P.L. 93-579) and the Information Practices Act of 1977 (Civil Code Sections 1798, et seq.), notice is hereby given for the request of personal
CEM-2502 (REV 4/2001) information by this form. The requested personal information is voluntary. The principle purpose of the voluntary information is so the department can fulfill the need of the form. The
failure to provide all or any part of the requested information may delay processing of this form. No disclosure of personal information will be made unless permissible under Article 6,
A-1.38
For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) Section 1798.24 of the IPA of 1977. Each individual has the right upon request and proper identification, to inspect all personal information in any record maintained on the individual
ADA Notice 263-2041 or TDD (916) 263-2044 or write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA by an identifying particular. Direct any inquiries on information maintenance to your IPA Officer.
CONTRACTOR/SUBCONTRACTOR BUSINESS ADDRESS
PAYROLL NO. FOR WEEK ENDING PROJECT AND LOCATION CONTRACT NUMBER FEDERAL AID NUMBER
DAY AND DATE GROSS AMOUNT DEDUCTIONS NET

NUMBER OT
OF
EARNED (BASED ON GROSS AMOUNT EARNED - ALL PROJECTS) WAGES
EMPLOYEE CK.
WITH- WORK CLASSIFICATION OR PAID
NAME, ADDRESS AND SOCIAL SECURITY NUMBER HOLDING FICA TOTAL NO.
EXEMPTIONS ST TOTAL RATE THIS ALL (SOCIAL STATE DEDUCT- FOR
HOURS WORKED EACH DAY HRS. OF PAY PROJECT PROJECTS FED TAX SECURITY) TAX SDI VAC OTHER TIONS
Sample Forms
CEM-2502 (REV 4/2001)
STATEMENT OF COMPLIANCE
CEM-2503 (REV 8/96)
CONTRACTOR/SUBCONTRACTOR CONTRACT NUMBER
FIRST DAY AND DATE OF PAY PERIOD LAST DAY AND DATE OF PAY PERIOD
I do hereby certify under penalty of perjury:
(1)
That I pay or supervise payment to employees of the above-referenced contractor on the above-referenced contract. All
persons employed on said project for the above-referenced time period have been paid their full weekly wages earned, that no
rebates have been or will be made either directly or indirectly to or on behalf of said contractor from the full weekly wages
earned by any person and that no deductions have been made either directly or indirectly from the full wages earned by any
person other than permissible deductions.
(2)
That any payrolls otherwise under this control required to be submitted for the above period are correct and complete; that the
wage rates for laborers or mechanics contained therein are not less that the applicable wages rates:
(a) Specified in the applicable wage determination incorporated into the contract;
(b) Determined by the Director of Industrial Relations for the county or counties in which the work is performed;
that the classification set forth therein for each laborer or mechanic conform with the work he or she performed.
(3)
That any apprentices employed in the above period are duly registered in a bona fide apprenticeship program registered with a
State apprenticeship agency.
(4)
That fringe benefits as listed in the contract:
(a) Have been or will be paid to the approved plan(s), fund(s), or program(s) for the benefit of listed employee(s),
except as noted below.
(b) Have been paid directly to the listed employee(s), except as noted below.
(c) See exceptions noted below.
EXCEPTION CRAFT EXPLANATION
REMARKS:
NAME (PLEASE PRINT.) TITLE
SIGNATURE DATE
On federally-funded projects, permissible deductions are defined in Regulation, Part 3 (29 CFR, Subtitle A), issued by the Secretary of
Labor under the Copland Act, as amended (48 Sat. 948 63 Stat. 108,72 State. 967;76 Stat 357:40 U. S. C. 276c).
Also, the willful falsification of any of the above statements may subject the contractor or subcontractor to civil or criminal prosecution (See
Section 1001 of Title 18 and Section 231 of Title 31 of the United States Code).
ADA Notice 263-2044 or write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814. CEM2503

Sample Forms A-1.39
STATEMENT OF COMPLIANCE
CEM-2503 (REV 8/96) INSTRUCTIONS
This statement of compliance meets needs of the state and federal payroll requirements to pay fringe benefits in addition to payment
of the minimum rates. The contractor's obligation to pay fringe benefits may be met by payment of the fringes to the various
preapproved plans, funds, or programs or by making these payments directly to the employees as part of their weekly wage
payments.
The contractor must show on the face of his or her payroll all monies paid to the employees whether as basic rates or total
hourly wage amount in lieu of fringes. The contractor shall report in the statement of compliance that he or she is paying to
others fringes required by the contract and not paid directly to the employees in lieu of fringes.
Detailed instructions follow:
Contractors required to pay Federal Wage Rates:
Such a contractor shall check paragraph 2(a) of the statement to indicate that the wage rates for laborers or mechanics contained in
the payroll are not less than the applicable wage rates specified in the applicable wage determination incorporated into the contract.
Contractors required to pay the State Prevailing Wage Rates as determined by the Director of Industrial Relations:
Such a contractor shall check paragraph 2(b) of the statement to indicate that the wage rates for laborers or mechanics contained in
the payroll are not less than the applicable wage rates determined by the Director of Industrial Relations for the county or counties in
which the work is preformed.
Contractor who pay all required fringe benefits:
A contractor who pays fringe benefits to approved plans, funds, or programs in amounts not less than were determined in the
applicable wage decisions shall continue to show on the face of his or her payroll the basic hourly rate and overtime rate paid to his
or her employees, just as he or she has always done. Such a contractor shall check paragraph 4(a) of the statement to indicate
that he or she is also paying approved plans, funds, or programs within the times required for the receipt of those sums, not less
than the amount predetermined as fringe benefits for each craft. Any exception shall be noted in Section 4(c).
Contractors who pay no fringe benefits:
A contractor who does not pay fringe benefits to an approved plan shall pay a like amount to the employee. This payment can be
reported by inserting in the straight time hourly rate column of his or her payroll an amount not less than the predetermined rate for
each classification plus the amount of fringe benefits determined for each classification in the applicable wage decision. Inasmuch
as it is not necessary to pay time and a half on wages paid in lieu of fringes, the overtime rate shall be not less than one and
one-half the basic predetermined rate, plus the required cash in lieu of fringes at the straight time rate. To simplify computation of
overtime, it is suggested that the straight time basic rate and payment in lieu of fringes be separately stated in the hourly rate
column, thus $14.56/5.11. In addition, the contractor shall check paragraph 4(b) of the statement to indicate that he or she is
paying fringe benefits directly to his or her employees. Any exceptions shall be noted in Section 4(c).
Use of Section 4(c), Exceptions:
Any contractor who is making payment to approved plans, funds, or programs in amounts less than the wage determination required
is obligated to pay the deficiency directly to the employees as wages in lieu of fringes. Any exceptions to Section 4(a) and 4(b),
whichever the contractor may check, shall be entered in Section 4(c). Enter in the Exception column the craft, and enter in the
Explanation column the hourly amount paid the employees as wages in lieu of fringes, and the hourly amount paid to plans, funds,
or programs as fringes.

A-1.40 Sample Forms
For individuals with sensory disabilities, this document is available in alternate
EMPLOYEE INTERVIEW: LABOR COMPLIANCE / EEO formats. For information call (916) 263-2041 or TDD (916) 263-2044 or write
CEM 2504 (REV 6/1999) (Front) CT #7541-3512-3 Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA
95814.
CONFIDENTIAL CONTRACT NO
This document contains personal information and pursuant to Civil Code 1798.21 it shall be
kept confidential in order to protect against unauthorized disclosure. FED. NO.
INSTRUCTIONS - (SEE REVERSE SIDE)
1. TO BE FILLED IN BY INTERVIEWER (Data may be obtained from payroll records or during source document review)
EMPLOYEE NAME LABOR CLASSIFICATION
MINIMUM BASE WAGE PER BASE RATE FRINGE BENEFITS

CONTRACT:
MINIMUM BASE WAGE PER BASE RATE FRINGE BENEFITS

PAYROLL (If available):
EMPLOYER PRIME CONTRACTOR ON THE PROJECT (IF SAME, SO STATE)
WORK BEING PERFORMED AT TIME OF INTERVIEW
2. QUESTIONS TO BE ASKED OF EMPLOYEE
A. HOW LONG HAVE YOU WORKED FOR YOUR PRESENT EMPLOYER? HOW LONG ON THIS PROJECT?
B. DESCRIBE THE TYPE OF WORK YOU HAVE BEEN DOING THIS PAST WEEK
C. WHAT IS YOUR WAGE [Include Base Rate and Fringe Benefits (Compare to Payroll)] DO YOU KEEP A RECORD OF THE HOURS YOU
YES NO
D. DO YOU WORK OVERTIME? ARE YOU PAID TIME AND IF NO, EXPLAIN
FREQUENTLY SELDOM NONE ONE-HALF FOR OVERTIME? YES NO
E. HAS YOUR EMPLOYER DIRECTED YOUR ATTENTION TO HAVE YOU SEEN IF NO, EXPLAIN
THE REQUIRED WAGE RATE POSTERS ON THE PROJECT? YES NO THOSE POSTERS? YES NO
F. ARE YOU AWARE OF THE DOES THE CONTRACTOR HOLD HOW OFTEN?
CONTRACTOR'S EEO POLICIES? YES NO REGULAR EEO MEETINGS? YES NO
WHO CONDUCTS THE MEETINGS? WHO IS THE EEO OFFICER FOR YOUR EMPLOYER? WHO IS THE EEO OFFICER FOR THE PROJECT?
G. ARE YOU INTERESTED IN / OR HAS YOUR EMPLOYER INFORMED YOU OF UPGRADING IF YES, PLEASE EXPLAIN
AND TRAINING POSSIBILITIES? YES NO
3. ADDITIONAL QUESTIONS FOR OWNER OPERATORS

A. EQUIPMENT DESCRIPTION TRUCK LICENCE NO. TRUCK (CAL-T) NO.
HOURLY RATE BASE EQUIPMENT RATE ON WHAT DO YOU BASE YOUR

HOURLY WEEKLY MONTHLY
(Fully operated and maintained) $ $ EQUIPMENT RENTAL RATE?
B. DO YOU OWN THE EQUIPMENT? MAY I SEE YOUR CERTIFICATE OF OWNERSHIP?

YES NO (Interviewer Note Response) YES NO
LEGAL OWNER REGISTERED OWNER
4. EMPLOYEE COMMENTS 5. INTERVIEWER'S COMMENTS
DO YOU HAVE ANY COMMENTS OR COMPLAINTS ABOUT WAGES OR EEO POLICIES?

BE SPECIFIC:
INTERVIEWER'S SIGNATURE DATE RESIDENT ENGINEER'S SIGNATURE DATE
FM 91 1282 91 61116

Sample Forms A-1.41
EMPLOYEE INTERVIEW: LABOR COMPLIANCE / EEO
CEM 2504 (REV 6/1999) (Back) CT #7541-3512-3
DIRECTIONS TO INTERVIEWER
1. Fill in Section 1 from payroll records, if available, after interview.

2. Fill in Section 2 completely. (does not apply to owner operators)
3. Fill in Section 3 completely.
4. Employee comments optional in Section 4.
5. Interviewer comments on findings and recommends further actions
to be taken. Attach additional sheets if necessary.

A-1.42 Sample Forms
ESTADO DE CALIFORNIA • DEPARTAMENTO DE TRANSPORTACION AVISO ADA
Para personas con incapacidad sensorial, este documento esta
ENTREVISTA DE EMPLEADO: LABOR COMPLIANCE / EEO disponible en forma alternativa.. Para mas informatcion llame a (916)
CEM-2504 (Spanish) (NEW 11/2003) (Frente) 654-6410 or TDD (916) 654-3880o escriba a Records and Forms
Management, 1120 N Street, MS-89, Sacramento, CA 95814.
CONFIDENCIAL No DE CONTRATO
Este documento contiene informacion personal y de acuerdo al codigo civil 1798.21
debera ser mantenida confidencialmente con el fin de protegerla contra divulgaciones no
autorizadas. No DE FED
INSTRUCCIONS - (VEA EL REVERSO)
1. A SER LLENADO POR EL ENTREVISTADOR (Los datos pueden ser obtenidos de las planillas de pago o durante la revision de documentos)
NOMBRE DEL EMPLEADO CLASIFICACION DEL TRABAJO
SUELDO BASICO MINIMO POR SUELDO BASICO BENEFICIOS EMPRESARIALES

CONTRATO:
SUELDO BASICO MINIMO POR SUELDO BASICO BENEFICIOS EMPRESARIALES

PLANILLA:
EMPLEADOR CONTRATISTA PRINCIPAL EN EL PROYECTO (SI ES EL MISMO, INDIQUE)
TRABAJO REALIZADO AL MOMENTO DE LA ENTREVISTA
2. PREGUNTAS AL EMPLEADO
A. CUANTO TIEMPO HA TRABAJADO CON ESTA EMPRESA? CUANTO TIEMPO HA TRABAJADO EN ESTE PROYECTO?
B. DESCRIBA EL TIPO DE TRABAJO HECHO EN LA ULTIMA SEMANA
C. CUAL ES SU SUELDO? [Incluya sueldo basico y beneficios (Compara con Planilla)] USTED ANOTA SUS HORAS TRABAJADAS?
SI NO
D. USTED TRABAJA HORAS EXTRAS? LE PAGARON TIEMPO Y MEDIO SI ES NO, EXPLIQUE
FREQUENTEMENTE POCO NUNCA POR LAS HORAS EXTRAS? SI NO
E. LE HA ORIENTADO SU EMPLEADOR ACERCA DE AFICHES (TABLAS) SI HA VISTO USTED SI SI ES NO, EXPLIQUE

DE LA ESCALA SALARIAL COLOCADOS EN EL PROYECTO? NO ESOS AFICHES (TABLAS)?
NO
F. ESTA USTED ENTERADO DE LAS REGLAS REALIZA EL CONTRATISTA CON QUE FRECUENCIA?
SI SI
DEL CONTRATISTA ACERCA DEL IOE?? NO REUNIONES (JUNTAS) ACERCA DEL IOE? NO
QUIEN DIRIGE LAS REUNIONES (JUNTAS)? QUIEN ES EL REPRESENTANTE DEL IOE POR PARTE QUIEN ES EL REPRESENTANTE DEL IOE EN EL
DE LA EMPRESA? PROYECTO?
G. ESTA USTED INTERESADO O SU EMPLEADOR LE HA INFORMADO SI ES SI, EXPLIQUE

ACERCA DE PROGRAMAS DE ASCENSO Y POSIBILIDADES DE ENTRENAMIENTO? SI NO
3. PREGUNTAS ADICIONALES PARA OPERADORES PROPIETARIOS

A. DESCRIPCION DEL EQUIPO NUMERO DE LICENCIA DEL CAMION NUMERO CA # DEL CAMION
PRECIO POR HORA PRECIO BASICO DE RENTA COMO ESTABLECE EL PRECIO

DE EQUIPO POR HORA SEMANAL MENSUAL
(Operacion y Mantenimiento Total) $ $ DE LA RENTA DEL EQUIPO?
B. ES USTED EL PROPIETARIO DEL EQUIPO? PUEDO VER SU CERTIFICADO DE PROPIEDAD?

SI NO SI NO
PROPIETARIO LEGAL PROPIETARIO REGISTRADO
4. COMENTARIOS DEL EMPLEADO 5. COMENTARIOS DEL ENTREVISTADOR
TIENE USTED ALGUN COMENTARIO O QUEJA ACERCA DE LOS SUELDOS O LAS

REGLAS DEL IOE? SEA ESPECIFICO
FIRMA DEL ENTREVISTADOR FECHA FIRMA DEL INGENIERO RESIDENTE FECHA
FM 91 1282 IOE: programa de "IGUAL OPORTUNIDAD DE EMPLEO." 91 61116

Sample Forms A-1.43
ESRADO DE CALIFORNIA • DEPARTAMENTO DE TRANSPORTACION
ENTREVISTA DE EMPLEADO : LABOR COMPLIANCE / EEO
CEM 2504 (Spanish) (NEW 11/2003) (REVERSO)
DIRECCIONES PARA EL ENTREVISTADOR
1. Llene la seccion numero 1 con los datos de planilla, si estan

disponibles y despues de la entrevista.
2. Llene la seccion numero 2 completamente. (No se aplica a los
operadores propietarios.)
3. Llene la seccion numero 3 completamente.
4. Los comentarios del Empleado en la seccion numero 4 son
opcionales.
5. Los comentarios del Entrevistador acrea de los hechos encontrados
y recomendaciones de futuras acciones a ser tomadas. Adjunte
hojas adicionales si es necesario.

A-1.44 Sample Forms
OWNER-OPERATOR LISTING
CEM-2505 (REV 05/2001)
NAME OF CONTRACTOR EMPLOYING OWNER OPERATOR(S) ADDRESS
Sample Forms
PAYROLL NO FOR WEEK ENDING PROJECT AND LOCATION CONTRACT NO
DAY AND DATE

NAME, ADDRESS, SOCIAL SECURITY DESCRIPTION TRUCK CAL T NO. OT TOTAL HOURLY GROSS
WORK CHECK
NO. AND CONTRACTORS LICENSE NO. OF AND/OR EQUIP. OR WEEKLY RATE OF PAYMENT
CLASSIFICATION NO.
OF OWNER-OPERATOR (IF ANY) EQUIPMENT LICENSE NO. ST HOURS PAY EARNED

S
NOTE: CERTIFICATION WILL BE ACCEPTED ONLY FROM THE CONTRACTOR EMPLOYING THE OWNER OPERATOR:
A-1.45
IT WILL NOT BE ACCEPTED FROM THE OWNER OPERATOR HIM / HERSELF.
OWNER-OPERATOR LISTING STATEMENT OF COMPLIANCE
CEM-2505 (REV 05/2001)
Date
do hereby state:
(Name of signatory party) (Title)
(1) That I pay or supervise the payment of the persons reported on this form as Owner-operators by
(Contractor or subcontractor)
on the , that during the payroll period commencing on the day of
(Building or work)
and ending day of , all persons working on said project have been paid the
full weekly sums earned, that no rebates have been or will be made either directly or indirectly to or on behalf of said
from the full weekly sums earned by any person and that no deductions
(Contractor or subcontractor)
have been made either directly or indirectly from the full sums earned by any person, other than permissible deductions, as
described below:
(2) That any payrolls or listings or otherwise under this contract required to be submitted for the above period are correct and
complete; that the wage rates for laborers or mechanics contained therein are not less than the applicable wage rates contained in
any wage determination incorporated into the contract; that the classifications set forth therein for each laborer or mechanic
conform with the work he performed.
(3) That any apprentices employed in the above period are duly registered in a bona fide apprenticeship program registered with
a State apprenticeship agency.
(4) That:
(a) WHERE FRINGE BENEFITS ARE PAID TO APPROVED PLANS, FUNDS, OR PROGRAMS
In addition to the basic hourly wage rates paid to each laborer or mechanic listed in the above referenced payroll or
listings payments of fringe benefits as listed in the contract have been or will be made to appropriate programs for the
benefit of such employees, except as noted in Section 4(c) below.
(b) WHERE FRINGE BENEFITS ARE PAID IN CASH

Each Laborer or mechanic listed in the above referenced payroll or listings has been paid as indicated on the payroll or
listings an amount not less than the sum of the applicable basic hourly wage rate plus the amount of the required
fringe benefits as listed in the contract, except as noted in Section 4(c) below:
(c) EXCEPTIONS
EXCEPTION (CRAFT) EXPLANATION
Remarks:
NAME AND TITLE SIGNATURE
On federally-funded projects, permissible deductions are defined in regulations, Part 3 (29 CFR Subtitle A), issued by the Secretary of Labor under
the Copeland Act, as amended (48 Stat. 948 63 Stat. 108, 72 Stat. 967; 76 Stat. 357; 40 U.S.C. 276c).
Also, the willful falsification of any of the above statements may subject the contractor or subcontractor to civil or criminal prosecution (see Section
1001 of Title 18 and Section 231 of Title 31 of the United States Code).
For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 263-2041 or TDD (916) 263-2044 or wr

A-1.46 Sample Forms
LABOR COMPLIANCE - WAGE VIOLATION
CEM-2506 (REV. 4/1981) For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 263-2041 or
ADA Notice TDD (916) 263-2044 or write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.
Sample Forms
CONTRACTOR INVOLVED
EMPLOYEE SOCIAL SECURITY NUMBER NAME OF CONTACT
LOCATION OF DOCUMENTS PHONE NUMBER OF CONTACT
LAST KNOWN ADDRESS CONTRACT NUMBER FEDERAL NUMBER
DATE CLASSIFICATION CLASSIFICATION HOURLY RATE HOURLY RATE DAILY TOTAL DAILY TOTAL DAILY TOTAL LABOR PENALTIES
(Payroll) (Actual) REQUIRED PAID REQUIRED PAY ACTUAL PAY WAGES DUE STATE FEDERAL
HOURS
ST OT ST OT ST OT ST OT ST OT ST OT OT
WORKED

COMMENTS CALCULATED BY
RESTITUTION
DATE AMOUNT BAL. DUE CHECK #
CHECKED BY
A-1.47
A-1.48 Sample Forms
ADA Notice
LABOR VIOLATION: CASE SUMMARY For individuals with sensory disabilities, this document is available in alternate
CEM-2507 (REV. 11/88) formats. For information call (916) 263-2041 or TDD (916) 263-2044 or write
Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA
(TO BE USED WITH FORM CEM-2506) 95814.
CONTRACTOR INFORMATION CONTRACTOR INFORMATION

CONTRACTOR INVOLVED CONTRACT NUMBER FEDERAL NUMBER(S)
CONTRACT ADVERTISEMENT DATE AWARD DATE

ADDRESS
COMPLETION OR ESTIMATED ACCEPTANCE DATE

PRIME CONTRACTOR COMPLETION DATE
SAME
COUNTY WHERE WORK WAS RESIDENT ENGINEER

ADDRESS PERFORMED
WAGES AND PENALTIES

TOTAL WAGES UNDERPAID TOTAL STATE PENALTIES
(STRAIGHT TIME) $ (STRAIGHT TIME) $
x $25
TOTAL UNDERPAYMENTS OF TRAVEL TOTAL STATE PENALTIES (FAILURE TO SUBMIT

and/or SUBSISTENCE $ PAYROLL RECORDS, PER L.C. 1776(F) $
TOTAL WAGES UNDERPAID

(OVERTIME) $ x x $25.00/DAY
NO. OF EMPLOYEES DAYS
TOTAL RESTITUTION TO DATE TOTAL STATE PENALTIES

$ (OVERTIME) $
x $25
TOTAL WAGES STILL DUE TOTAL FEDERAL PENALTIES

(STRAIGHT TIME, TRAVEL/SUBSISTENCE & OVERTIME) $ (OVERTIME) $
x $10
NUMBER OF UNDERPAID WORKERS CASE TOTAL

$
WAGE RESTITUTION VERIFIED BY: DISTRICT DEDUCTION FOR THIS CASE

(NAME OF PERSON) $
HOW VERIFIED: APPLICABLE STATE GENERAL PREVAILING MONTH YEAR

WAGE RATE BOOK
CANCELLED CHECKS INTERVIEW(S) MONTH DAY YEAR
FEDERAL WAGE DETERMINATION NUMBER(S)
OR
INVESTIGATION BACKGROUND
(FOR THIS SECTION, USE ADDITIONAL SHEET IF NECESSARY - SHOW ITEM NUMBER)
1. BRIEF, CONCISE STATEMENT OF THE NATURE OF THE CIRCUMSTANCES PROMPTING THE INVESTIGATION
2. BRIEF DESCRIPTION OF THE NATURE AND EXTENT OF THE INVESTIGATION
3. BRIEF, CONCISE STATEMENT OF THE FACTS RELATING TO THE DISCREPANCIES
CHRONOLOGY
DATE DISTRICT ACTION DATE HEADQUARTERS ACTION
Case began (problem discovered) Concurrence Letter
Letter of contractor requesting review Request to Director for authority to withhold
confirmation of review - letter/telephone Letter to prime regarding withhold and rights of appeal
Case to Headquarters
DISTRICT INVESTIGATOR DISTRICT LABOR COMPLIANCE OFFICER - SIGNATURE DATE

Sample Forms A-1.49
LABOR VIOLATION: CASE SUMMARY
CEM-2507 (REV. 11/88)
(TO BE USED WITH FORM CEM-2506)

A-1.50 Sample Forms
CONTRACTOR'S PAYROLL SOURCE DOCUMENT REVIEW
CEM-2508 (REV. 10/1998) CONTRACTOR REVIEWED
CONTRACT NUMBER FEDERAL NUMBER DATE REVIEWED
CONTRACTOR'S ADDRESS
LOCATION OF DOCUMENTS (IF DIFFERENT FROM CONTRACTOR'S ADDRESS)
NAME/TELEPHONE NUMBER OF CONTACT AT LOCATION OF DOCUMENTS
PRIME CONTRACTOR
SAME
ADDRESS:
REASON FOR REVIEW:
DEFICIENCIES
NO YES (BRIEFLY IDENTIFY BELOW)
DISTRICT ACTION, RECOMMENDATION & CONCLUSIONS

DEFICIENCIES CORRECTED CASE PREPARED
DISTRICT REVIEWER DATE SIGNATURE OF DISTRICT LC OFFICER DATE
ADA Notice For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 263-2041 or TDD (916) 263-2044 or write
Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.

Sample Forms A-1.51
A-1.52 Sample Forms
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION CONTRACTOR REVIEWED CONTRACT NUMBER
CHECKLIST - SOURCE DOCUMENT REVIEW COMPLETION DATE R.E.

CEM-2509 (Rev. 11/1998) (USE WITH FORM CEM-2508)
N/A = NOT APPLICATABLE S/R = SEE REMARKS PR = PAYROLLS

ITEM ITEM
ITEM YES NO N/A S/R ITEM YES NO N/A S/R
A GENERAL E MISCELLANEOUS
A1 Prime notified Business license:
E1 Co./City # Yr.
A2 Sub notified
A3 Sub approved E2 Subcontract contain Section 6
A4 E3 Home office bulletin board in order
B PAYROLLS E4
E5
B1 Same as submitted
B2 Time Cards/PR agree F INVESTIGATION
B3 Canceled Checks/PR agree Number of payrolls
B4 Wages pd at/above contract min. F1 reviewed:
B5 Nonworking supv. shown on PR All Random
Fed/State tax held from Number of wage
B6 employee wages F2 underpayments
Employee interview on file Number of workers
B7 (No. ) F3 underpaid:
Employee interview reflect F4
B8 problem
G CONCLUSIONS
B9 G1 Payrolls okay
G2 Discepancies intentional
C PROPRIETORSHIP G3
C1 Sole proprietor G4
C2 Partnership H DISTRICT RECOMMENDATIONS
Partnership papers
C3 available H1 Assess State penalties
H2 Assess Federal penalties
Partnership profit papers
C4 available H3 Contractor aware of findings
H4 Case to Hqs
C5 Corporation
H5
Are corp. officers laborers/
C6 mechanics H6
ENTER
ITEM # REMARKS
C7 If so, recieving proper wages
C8
D BENEFITS
D1 Fringes paid cash
D2 Fringes paid to a trust fund
D3 Trust fund approved
D4 Trust statements available
Statement hrs per employee per
D5 month equal or exceed total
PR hours
Canceled checks agree with
D6 payments
Canceled checks agree with
D7 statements
D8
D9
DISTRICT REVIEWER DATE DISTRICT LC OFFICER DATE

Sample Forms A-1.53
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION CONTRACTOR REVIEWED CONTRACT NUMBER
CHECKLIST - SOURCE DOCUMENT REVIEW

COMPLETION DATE R.E.
CEM-2509 (Rev. 11/1998) (USE WITH FORM CEM-2508)

A-1.54 Sample Forms
CONSTRUCTION PROGRESS CHART
CEM-2601 (REV. 6/1983)
CONTRACT NUMBER ROAD BID
LIMITS
DESCRIPTION WORKING DAYS
RESIDENT ENGINEER CONTRACTOR
100
90
Curve denotes normal lower

limit of progress vs. time
(Based on contracts
satisfactorily completed)
80
70
60
PERCENT OF COMPLETION
50
40
30
20
C = 0.5 (T/10) + 1.25(T/10)2 - 0.03 (T/10)3
C = Theoretical Percent Complete
T = Percent Elapsed Time
10
10 20 30 40 50 60 70 80 90 100
PERCENT OF TIME

Sample Forms A-1.55
A-1.56 Sample Forms
WEEKLY STATEMENT OF WORKING DAYS (JOB STAMP)
CEM-2701 (REV 02/2001) CT # 7541-3528
ADA Notice
formats. For information call (916) 263-2041 or TDD (916) 263-2044 or write REPORT NUMBER
Records and Forms Managment, 1120 N Street, MS-89, Sacramento, CA 95814.
Working Day
Nonworking No Work
Date Day Weather, Weather Conditions or Other Conditions¹ Working Day Day Done on
Controlling
Operation²
Monday
Tuesday
Wednesday
Thursday
Friday
Days this week
Days previously reported
Total days to date
Days Approved
Time Extensions³ CCO Numbers4
CCO Other
Days this report
Days previously reported
Total days to date
Number of Numbered
Computation of Extended Date for Completion 5 Date
Days Day
1. First working day
2. Working days specified in contract
3. COMPUTED DATE FOR COMPLETION (line 1 + line 2 - 1)
4. Days contract suspended to date
5. Total time extension days approved to date (CCO plus other)
6. Total Nonworking days to date6
7. Subtotal (line 4 + line 5 + line 6)
8. EXTENDED DATE FOR COMPLETION (line 3 + line 7)
9. Revised working days for contract (line 2 + line 5)
10. Total working days to date
11. WORKING DAYS REMAINING (line 9 - line 10)
CONTROLLING OPERATION(S)
REMARKS
NOTE: Footnote Instructions to resident engineer are on reverse side.
Distribution: Original -- Contractor; Copies -- District, resident engineer

Sample Forms A-1.57
CEM-2701 (REV 02/2001) CT # 7541-3528
FOOTNOTE INSTRUCTIONS TO RESIDENT ENGINEER
1. When recording nonworking days due to weather, state the reason why the day is unworkable when the weather description
itself does not adequately describe conditions. For example, "clear-wet grade" to describe conditions when the weather is clear,
but the grade is too wet to work. Do not list days merely as "Unworkable."
2. Enter days on which no productive work has been performed on the controlling operation(s) for reasons other than weather.
3. Time Extensions, Other, are to be explained under Remarks and the following information is to be included:
a. Cause of delay and specification reference under which approval was granted.
b. Statement as to what controlling operation or operations are being delayed and to what extent.
c. Dates for which the extension was granted.
d. Reference to supporting data.

4.
List numbers of contract change orders providing for time extensions.
5.
Do not include nonworking days which occur after expiration of the Extended Date of Completion. On contracts that are overtime,
the total under Working Days shall not be greater than the total of Revised Working Days (line 9). After approved total of working
days has been reached, continue recording working and nonworking days but do not add into the totals. Make statement under
Remarks that working and nonworking days are shown for record only since the contract time has elapsed.
If an extension of time is subsequently approved, determine the new Extended Date by taking into account all nonworking days
that are reachable.
6.
From calendar issued by the Division of Construction with working days numbered for convenience in computations.

A-1.58 Sample Forms
OVERRUN IN CONTRACT TIME

CEM-2702 (REV 04/2001)
CONTRACT NO. COUNTY, ROUTE, BRIDGE OR POST KILOMETERS FEDERAL NO.
CONTRACTOR'S NAME
DATE WORK COMPLETED
DATE FOR COMPLETION (Including extensions authorized by the engineer)
CALENDAR DAYS OVERRUN WORKING DAYS OVERRUN
The recommendation for acceptance of this contract was approved by the director subject to determination that if there was an overrun in contract time, a
decision relative to assessing the contractor for liquidated damages or extending the contract time and charging the contractor for engineering and inspection
costs would be deferred pending further study. The attached information (in the form of a memorandum or determination of claim) contains the result of the
study.
RECOMMENDED ACTION CONCERNING TIME EXTENSION, LIQUIDATED DAMAGES AND ENGINEERING AND INSPECTION COSTS (Per Section 8-1.07,
Standard Specifications):
The detemination of claim for elimination of liquidated damages is that all of the time involved was within the control of the contractor. It is
that no extension of time be granted and that the contractor be assessed liquidated damages of $ per calendar day for the period from
to , both dates inclusive, for a total of days and $ .
A delay of working days was caused by circumstances over which the contractor had no control. It is recommended that a time
extension of working days be granted. Such action will extend the date for completion to , reducing the overrun to
calendar days. It is further recommended:
That during the period of such extension the contractor shall be charged engineering and inspection charges in the amount of $ .
That during the period of such extension the contractor not be charged engineering and inspection costs.
That for the remaining overrun of calendar days, from to both dates inclusive, the contractor shall be assessed
liquidated damages of $ per calendar day for a total amount of $ .
The contractor has agreed to accept this decision as to assessment of liquidated damages, and charges for engineering and inspection costs as full
settlement of any claim for return of liquidated damages.
RECOMMENDED BY APPROVED AS RECOMMENDED
Director of Transportation
BY (Coordinator, Division of Construction) BY (Chief, Division of Construction)
Date Date
For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 263-2041 or TDD (916) 263-2044
ADA Notice or write Records and Forms Management, 1120 N Street, Sacramento, CA 95814.

Sample Forms A-1.59
A-1.60 Sample Forms
NOTICE OF MATERIALS TO BE USED
CEM-3101 (REV. 10/92) CT# 7541-3511-1
To: (Resident Engineer) DATE:
You are hereby notified that materials required for use under Contract Number
for construction of
in Dist. , Co. , Rte. , P. M.

will be obtained from the following sources:
CONTRACT
MATERIAL TYPE NAME AND ADDRESS OF INSPECTION SITE
ITEM NO.
It is requested that you arrange for sampling, testing and inspection of materials prior to delivery in accordance with section 6 of the
Standard Specifications where the same is practicable and in accord with your policy. It is understood that source inspection does not
relieve me of the full responsibility for incorporating in the work, materials that comply in all respects with the contract plans and
specifications. nor does it preclude the subsequent rejection of materials found to be unsuitable.
Yours truly,
WHITE - STRUCTURAL MATERIALS

Contractor
DIV. OF MATERIALS ENGINEERING & TESTING SERVICES
5900 FOLSOM BLVD.
SACRAMENTO, CA 95819
BUSINESS ADDRESS
CANARY - RESIDENT ENGINEER
PINK - CONTRACTORS FILE
GREEN - DISTRICT
BUSINESS PHONE EXTENSION
( ) -

Sample Forms A-1.61
A-1.62 Sample Forms
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION Category 35
AC PRODUCTION/PLACEMENT CHECKLIST Page 1 of 2
CEM-3501 (REV.11/2000) Front
PROJECT IDENTIFICATION
PROJECT EA ROUTE POST KILOMETERS COMPLETION DATE (Contract)
COMPLETION DATE (Expected) DATE PROBLEM DETECTED CURRENT DATE JOB SUSPENDED AC (Tonnes Produced To AC (Tonnes
Date) Remaining)
YES NO
PROBLEM STATEMENT
MIX PROPERTIES
TYPE MIX TYPE GRADING MAX GRADING ADDITIVES AGGREGATE TYPE ASPHALT GRADE
(mm)
A DENSE 38 LIME A or AR-1000 PBA-1
B GAP 19 LIQUID ANTI-STRIP B AR-2000 PBA-1a
RECYCLED OPEN GRADED 12.5 CEMENT AR-4000 PBA-2
OTHER ABSORPTIVE or
COARSE 9.5 AR-8000 PBA-3
NON-ABSORPTIVE
MEDIUM AR-16000 PBA-4
PBA-5
OTHER
PBA-6a
PBA-6b
PBA-7
APPEARANCE PLANT TYPE BACKGROUND DATA - Attach Test Method 109 verification, mix design, plant and street test results
OK BATCH or ACTUAL ASPHALT CONTENT - Attach test results (including target asphalt content, source
and date; note lift and location)
SEGREGATED CONTINUOUS
RICH ACTUAL STABILITY OF STREET SAMPLES - Attach test results (note lift and location)
PORTABLE or
DRY TEST MAXIMUM DENSITY - Attach test results (note lift and location)
STATIONARY
TENDER
COLOR MIX SUPPLIER AND LOCATION(S) -
OTHER
FIELD CONDITIONS (at paving operation)

GENERAL WEATHER AIR TEMPERATURE (ºC) SURFACE TEMPERATURE (ºC) MIX TEMP AT PLANT (ºC)
COASTAL CLEAR UNDER 4 UNDER 4 UNDER 121

VALLEY CLOUDY 4-9 4-15 121-134
MOUNTAIN FOGGY 10-15 16-26 135-162
DESERT RAINY or WORSE 16-20 27-37 163-190
HUMID or 21-25 38-48 191-204
DRY 26-32 49-60 GREATER THAN 204
33-38 GREATER THAN 60
WINDY or
GREATER THAN 38
CALM
MIX TEMP AT WINDOW (ºC) MIX TEMP AT BREAKDOWN DISTANCE, PAVER TO WINDOW LENGTH (Meter) AVERAGE ONE WAY
ROLLER (ºC) BREAKDOWN ROLLER HAUL TIME (hours)
UNDER 65 (METER) 0
65-89 UNDER 65 UNDER 15 0-30 UNDER 1/2
90-125 65-89 15-75 31-61 1/2-1
GREATER THAN 125 90-125 76-150 62-91 1-2

126-150 151-229 92-122 2-3
GREATER THAN 150 230-300 123-152 GREATER THAN 3
GREATER THAN 300 GREATER THAN152
CEM3501

Sample Forms A-1.63
Page 2 of 2
AC PRODUCTION/PLACEMENT CHECKLIST Back
CEM-3501 (REV. 11/2000)
STRUCTURAL PROPERTIES
PAINT BINDER (tack coat) TACK SPREAD RATE MIX THICKNESS (Compacted) UNDERLYING CONDITIONS
(liters per metered square)
ASPHALT FIRST LIFT AC OK
0.45 SECOND LIFT
EMULSION PCC GRINDER PREPARED
0.68 THIRD LIFT
OTHER ATPB CRACK & SEAT
0.95
AB PRE LEVELED
1.13
OTHER CRACKED
OTHER
FABRIC
OTHER
PAVER PAVER OPTIONS

PICKUP MACHINES
MAKE
SCREED EXT. (length )
MODEL
SKI (length )
JOINT MATCHER
GRADE WIRE
OTHER
MECHANICAL PROPERTIES
NUCLEAR DENSITY GAGE
METHOD SPECIFICATION or MAKE CALIBRATION (date)

END RESULT COMPACTION SPECIAL PROVISION MODEL AVERAGE RELATIVE COMPACTION
BREAKDOWN ROLLER(S) INTERMEDIATE ROLLER(S) FINISH ROLLER(S)

TYPE TYPE TYPE
WEIGHT WEIGHT WEIGHT
IF VIBRATORY ROLLERS ARE USED: ON CALTRANS APPROVED LIST YES NO
MAKE SPEED FREQUENCY AMPLITUDE

MODEL ACTUAL ACTUAL ACTUAL
SPECIFIED SPECIFIED SPECIFIED
* A completed copy of this form should be filed in Category 35 of the Project Documents. A description of the form is included in the Construction
Manual.
ADA Notice 263-2044 or write Records and Forms Managment, 1120 N Street, MS-89, Sacramento, CA 95814.

A-1.64 Sample Forms
JOB STAMP
TEST RESULT SUMMARY
CEM-3701 (New 11/92)
Sample Forms
MINIMUM FREQUENCY INDEX
37.
MATERIAL
TEST RESULTS
DATE TEST PRODUCTION QUANTITY
SAMPLE LOCATION REMARKS *
SAMPLED NUMBER REPRESENTED

For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 263-2041 or TDD (916) 263-2044 or write Records and Forms Management, 1120 CEM3701
ADA Notice N Street, MS-89, Sacramento, CA 95814.
A-1.65
* REFERENCE FAILING TEST CORRECTIVE ACTION
JOB STAMP
RELATIVE COMPACTION SUMMARY
A-1.66
CEM-3702 (REV. 10/92) INDEX
37.
MATERIAL
ELEVATION MOISTURE
TEST RELATIVE STRUCTURAL

DATE STATION LOCATION BELOW ABOVE REMARKS *
NO. FIELD OPTIMUM COMPACTION DEPTH
FINISH FLOW
GRADE LINE
For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 263-2041 or TDD (916) 263-2044 or write Records and Forms Management, 1120 N CEM3702
ADA Notice Street, MS-89, Sacramento, CA 95814.
* REFERENCE FAILING TEST CORRECTIVE ACTION
Sample Forms
JOB STAMP:
Page of
MATERIALS RELEASE SUMMARY
CEM-4101 (NEW 6/94)
Sample Forms
MATERIAL: CONTRACT ITEM NO.
SOURCE OF MATERIAL (SUPPLIER): DATE CEM-3101 SUBMITTED MR-0608 (FURNISHED) MR-0029 (SAMPLED)
MATERIAL RELEASED BY DNTM&R (MR-0029) MATERIAL RECEIVED ON PROJECT CROSS INDEX

QUANTITIES DETERMINED FROM LAB RELEASES QUANTITIES DETERMINED BY ACTUAL COUNT, WEIGHTS, BILLS OF WHERE
RELEASE REMARKS
ACCUMULATED ACCUMULATED
DATE OF QUANTITY IS FILED BY
QUANTITY TO LOT NUMBERS DATE RECEIVED QUANTITY QUANTITY TO LOT NUMBERS
RELEASE RELEASED ITEM NUMBER
DATE DATE

CEM-4101 (New 6/94) For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 263-2041 or TDD (916)
A-1.67
JOB STAMP
MATERIAL INSPECTED AND RELEASED ON JOB
CEM-4102 (New 7/95)
MATERIAL ITEM NUMBER
SUPPLIER
DATE OF INSPECTION QUANTITY INSPECTED (#/ UNIT)
BASIS FOR ACCEPTANCE - (INITIAL EACH CATEGORY)
1. CERTIFICATION OF COMPLIANCE (ATTACHED)
2. TEST RESULTS FROM MANUFACTURE (ATTACHED)
3. CERTIFICATE OF BUY AMERICA, AS APPLICABLE
4. VISUAL INSPECTION FOR OVERALL QUALITY, WORKMANSHIP, VERIFICATION OF MARKINGS
5. OTHER (EXPLAIN)
REMARKS:
INSPECTED BY: RESIDENT ENGINEER SIGNATURE
CEM4102

A-1.68 Sample Forms
NOTE: The contractor is responsible for all plant safety issues,
MATERIAL PLANT SAFETY CHECKLIST
CEM-4202 (REV 11/2000)
regardless of any Caltrans' listing of acceptable or deficient items.
Report No. Plant Owner
Inspection By Plant Location
Inspection Date District Plant Make Plant Type
EA Plant Safety Certification Supplied By Certification Date
INSPECTION AREA PLANT FEATURE specDEFICIENT REMARKS

A. Asphalt 1. Sampling height
Sample Area 2. Plumbing size
3. Insulation
4. Shielding
5. Housekeeping
6. Fire protection
7. Underground tank access
1. Access stairs
B. Aggregate/Cement
Sample Area 2. Access stairs, agg
3. Access stairs, binder
4. Guardrails
5. Floor holes
6. Housekeeping, agg
7. Sample size, agg
8. Sample size RAP
9. Conveyor lockout, agg
10. Conveyor lockout RAP
11. Site, dust control
12. Sample support rails
13. Conveyor startup warning
C. Aggregate 1. Drive belt guards

Belts and Drivers 2. Conveyor guards
3. Under conveyor clearance
4. Other conveyors
1. Stairs
D. Control Room
2. Landings
3. Guardrails
4. Fire protection
5. Emergency exit
6. First aid
7. Drinking water
8. Toilet facilities
E. Yard Equipment 1. Loaders
2. Trucks
F. General Items 1. Lighting
2. Wash pits
3. Yard pits
4. Electrical
5. Auto control equipment

Sample Forms A-1.69
RESIDENT ENGINEER'S DAILY REPORT JOB STAMP
ASST. RESIDENT ENGINEER'S DAILY REPORT
CEM-4501 (REV. 11/92) CT# 7541-3506-1
RESIDENT ENGINEER'S DAILY REPORT - FILE CAT. 45
ASST. RESIDENT ENGINEER'S DAILY REPORT - FILE CAT. 46
REPORT NO. DATE

M T W T F S S (Circle Day)
SHIFT HOUR: TEMPERATURE

START STOP MIN MAX
WEATHER
SIGNATURE TITLE
CEM4501
ADA Notice 263-2044 or write Records and Forms Management, 1120 N Street, Sacramento, CA 95814.

A-1.70 Sample Forms
Job Stamp
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION Report No.
ASSISTANT RESIDENT ENGINEER'S DAILY REPORT Date
CEM 4601 REV 4/1999 CT# 7541-3504-6 M T W T F S S Circle
Shift Hours Start Stop
ASSISTANT RESIDENT ENGINEER'S DAILY REPORT
Location & Description of Operation
HOURS - ITEM NO.

WEATHER
EQUIPMENT AND / OR LABOR:
NO. DESCRIPTION REMARKS

EQPT. NO. PERSONS
(Reason for Idleness or
(Of Equipment or Labor) other remarks)
Signature Title
91-92184

Sample Forms A-1.71
A-1.72 Sample Forms
JOB STAMP
DRAINAGE SYSTEM SUMMARY
CEM-4701 (REV 05/2001) CT# 7541-3521-2
(SEE REVERSE FOR PAGE 2)
DRAINAGE SYSTEM NUMBER
PLAN. STA. "AS BUILT" STA.
PROGRESS RECORD
STAKED: BY:
ITEM NUMBER
DATE ENGR. REMARKS
ESTIMATE OF WORK COMPLETED

ITEM NUMBER
REF. REF. REF. REF. REF. REF. REF. REF.
PLAN Q
ADJUST Q
ACTUAL Q

Sample Forms A-1.73
DRAINAGE SYSTEM SUMMARY
(SEE REVERSE FOR PAGE 1)
CEM-4701 (REV 05/2001) CT# 7541-3521-2
CUT
PIPE GROUND GRADE PAY
PARTY:
STAKED:
ROD
STATION ELEV. ELEV. DEPTH
FILL
STAKING PLAN
For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 263-2041 or TDD (916) 263-2044 or write Records and
ADA Notice Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.

A-1.74 Sample Forms
LOCATION SEGREGATION YES

NO
CALC. BY DATE
CHK. BY DATE
CEM4801

Sample Forms A-1.75
CONTRACT CHANGE ORDER Sheet of
CEM-4900 (REV 05/2001) CT# 7541-3501-0 Change Requested by: engineer contractor
CCO NUMBER SUPPL. NUMBER CONTRACT NUMBER ROAD FEDERAL NUMBER(S)
TO
contractor
You are directed to make the following changes from the plans and specifications or do the following described work not included in
the plans and specifications for this contract. NOTE: This change order is not effective until approved by the engineer.
Description of work to be done, estimate of quantities and prices to be paid. (Segregate between additional work at contract price,
agreed price and force account.) Unless otherwise stated, rates for rental of equipment cover only such time as equipment is actually
used and no allowance will be made for idle time. The last percentage shown is the net accumulated increase or decrease from the
original quantity in the engineer's estimate.
Estimated Cost: Decrease Increase $

By reason of this order the time of completion will be adjusted as follows:
SUBMITTED BY
We the undersigned contractor, have given careful consideration to the change proposed and agree, if this proposal is approved, that
we will provide all equipment, furnish the materials, except as may otherwise be noted above, and perform all services necessary for
the work above specified, and will accept as full payment therefor the prices shown above. NOTE: If you, the contractor, do not
sign acceptance of this order, your attention is directed to the requirements of the specification as to proceeding with the
ordered work and filing a written protest within the time therein specified.

A-1.76 Sample Forms
CONTRACT CHANGE ORDER Sheet of
CEM-4900 (REV 05/2001) CT# 7541-3501-0 Change Requested by: engineer contractor
CCO NUMBER SUPPL. NUMBER CONTRACT NUMBER ROAD FEDERAL NUMBER(S)
TO
contractor
You are directed to make the following changes from the plans and specifications or do the following described work not included in
the plans and specifications for this contract. NOTE: This change order is not effective until approved by the engineer.
Description of work to be done, estimate of quantities and prices to be paid. (Segregate between additional work at contract price,
agreed price and force account.) Unless otherwise stated, rates for rental of equipment cover only such time as equipment is actually
used and no allowance will be made for idle time. The last percentage shown is the net accumulated increase or decrease from the
original quantity in the engineer's estimate.

Sample Forms A-1.77
A-1.78 Sample Forms
ADA Notice
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION For individuals with sensory disabilities, this document is available in alternate formats. For information call (916)
CONTRACT CHANGE ORDER INPUT 263-2041 or TDD (916) 263-2044 or write Records and Forms Managment, 1120 N Street, MS-89, Sacramento, CA
95814. CASOAC
CEM-4901 REV 5/1993 CT# 7541-3516-2
CONTRACT NO. CCO NO. SUPPL. CONSTRUCTION DEPT. USE ONLY
4 FUNCTION OVERRIDE
1 3 8 9 13
Sample Forms
14 15
CARD TYPE C. C. O. DESCRIPTION

1
17 56
16
TIME
NET $ CHANGE APPROVAL - - -
. EXTENSION CATEGORY
THIS CCO + - 58 66 DATE 67 + - 74 77
DAYS
CARD TYPE PAYMENT METHOD $ AMOUNT CARD TYPE

2 4
EW AC FA LS UP NET $ AMOUNT BRIDGE WORK THIS CCO
16
17 18 19 20 + - 23
. 31
16
EW AC FA LS UP
+ -
.
+ - 18
. 26
EW AC FA LS UP
+ - 23
. 31
CARD TYPE ITEM NUMBER QUANTITY ITEM NUMBER QUANTITY

3
16 . 17 19 + - 21
. 32
17 19 + - 21 32
. + -
.
+ -
. + -
.
+ -
. + -
.
+ -
. + -
.
+ -

. + -
.
+ -
. + -
.
+ -
. + -
.
+ -
. 17 19 + - 21
. 32
17 19 + - 21 32
CARD TYPE FEDERAL PARTICIPATION FEDERAL SEGREGATION (IF MORE THAN ONE FUNDING SOURCE)
IF PARTICIPATING IN PART (S), BREAKDOWN COST AS FOLLOWS:
5
(INPUT TYPE AS P,M,N,R)
16
TYPE COST E = CCO to be funded as per contract F = CCO to be funded as follows:
17 28 29
P = PARTICIPATING
18 19
. 27
M = NON-PARTICIPATING (MAINTENANCE) FEDERAL FUNDING SOURCE PERCENT
N = NON-PARTICIPATING
.
(OTHER THAN MAINTENANCE)
30 44 45
.
R = NON-PARTICIPATING
(REIMBURSEMENT BY OTHERS)
18 19
. 27 30 44 45
S = PARTICIPATING IN PART
IN CASE OF QUESTIONS CONTACT: NAME BUSINESS PHONE VERIFY
A-1.79
CEM-4901 REV 5/1993
CONTRACT CHANGE ORDER INPUT
CEM-4901 REV 5/1993 CT# 7541-3516-2
HEADING INSTRUCTIONS
Contract Number Required
CCO Number Enter CCO and Supplement Numbers.
CARD TYPE 1
CCO Description CCO Description must be entered.
Net Money Change This CCO Enter the amount of change. Enter zero if there is no net change. Indicate negative or
positive amount.
Approval Date Enter the month, day, year and the Approval Date. The change order will not be filed
until it has been approved.
Time extension days One of the following entries must be made:
1. Enter zero if there is no time extension.
2. Enter the number of Time Extension Days.
3. Enter "DEF" if consideration of a time extension has been deferred.
Category Enter alpha-numeric code. Left justify if less than four characters.
CARD TYPE 2
EW or AC Mark either the Extra Work or the Adjustment of Compensation boxes.
Payment Method Mark one of the three Payment Method boxes, Force Account, Lump Sum or Unit price.
$ Amount Enter the dollar amount of the change.
CARD TYPE 3
Item Number Quantity Enter the contract item number and the quantity change for each item shown on the
change order.
CARD TYPE 4
Bridge Work Enter the net amount of Bridge Work contained in this change order. Leave blank if zero.
CARD TYPE 5
Federal Participation Enter FHWA Funding Participation determination on every change order.
Participating-in-Part funding Indicate breakdown for Participating-in-Part funding.
Federal Segregation If more than one funding source, mark if the CCO is to be funded as prescribed in
contract or show the percentage allotted to each Federal funding source.

A-1.80 Sample Forms
For individuals with sensory disabilities, this document is available in CASEWB
EXTRA WORK BILL (SHORT FORM) alternate formats. For information call (916) 263-2041 or TDD (916)
CONTRACT NO. CCO NO. REPORT NO.
263-2044 or write Records and Forms Managment, 1120 N Street, MS-89,
CEM-4902 REV 7/94 CT# 7541-3500-8 Sacramento, CA 95814.
DATE PERFORMED DATE OF REPORT CONTRACTOR. JOB CONTRACTOR. RPT. NO. E.W. A.C. BR * 50% SUB R/W PARTNERING LABOR WCI CLASS WCI RATE
Sample Forms
01 +- F LS UP F LS UP SW FLAG WORK DELAY SWITCH SUR
02 WORK PERFORMED BY
03 DESCRIPTION OF WORK
EQUIPMENT CHARGES
EQUIPMENT ID NUMBER EQUIPMENT DESCRIPTION REGULAR OVERTIME FOR RESIDENT ENGINEERS ONLY
CLASS MAKE CODE ATTACH HOURS HOURS
04
NEW BILL APPROVED FOR
PAYMENT
05
RESUBMITTAL RETURNED FOR

06
CORRECTION
07 DATE RECEIVED DATE OF ACTION
08
09
10
MATERIAL and/or WORK DONE BY SPECIALIST OR LUMP OR UNIT PRICE PAYMENTS

VENDOR NAME INVOICE NUMBER MO DAY YR
24
INVOICE DESCRIPTION UNITS UNIT COST OR NET PAY

25
INVOICE DESCRIPTION UNITS UNIT COST OR NET PAY
LABOR CHARGES
CRAFT ID LABOR NAME LABOR REGULAR HOURS OVERTIME HOURS SUBSISTENCE

INT LAST HRS RATE HRS RATE UNITS RATE
34
35
36
37
38
39
40
SIGNATURE OF RESIDENT ENGINEER IN CASE OF QUESTIONS CONTACT: (Resident Engineers Use Only)
SIGNATURE OF PRIME CONTRACTORS REPRESENTATIVE NAME BUSINESS PHONE
A-1.81
FM 94 2020 M WHITE - DATA ENTRY CANARY - RESIDENT ENGINEER PINK - CONTRACTOR (After Approval) GOLDENROD - CONTRACTOR
EXTRA WORK BILL (SHORT FORM)
CEM-4902 REV 7/94 CT # 7541-3500-8
A-1.82
Preparing Form CEM 4902
This form is provided for entry of basic information related to extra work performed on a Contract Change Order. The majority of all Extra Work Bills will fit on this form. If more
entries are required for equipment, labor or material, you must use the four part forms. (CEM-4902A, CEM-4902B, CEM-4902C, CEM-4902D)
The top of this form includes fields that are used to record basic information required on all Extra Work Bills. Following is a list of these fields: All switch fields, Bridge,
flagging,
sub work, R/W Delay and Partnering are set by entering a "Y" in the appropriate box. To remove a switch from an existing bill, place an "N" in the appropriate box.
FIELD REMARKS
Contract Number Identifies the project. Must be a valid contract number that is on file in the Progress Pay System.
CCO Number Identifies the Contract Change Order.
Report Number This is assigned by the submitter (R.E.), in sequential order beginning with 0001 for each CCO.
Line 01:
Date Performed Enter the work performed date. "VAR" may be entered in this field if the pay method is lump-sum or unit-price and equipment.
Date of Report Enter the date the bill is prepared.
Contractor. Job No. This is used by the contractor to identify the extra work bill.
Contractor. Rpt. No. This is used by the contractor to identify the extra work bill.
Payment Method Required entry. Indicate + or -, and place an "X" in the appropriate box. A blank is considered a +.
BR SW Set to "Y" in if the CCO indicates work on structure items.
50% Flag Set to "Y" if the bill is for flagging. This will reduce the bill by 50%.
Sub Work Set to "Y" to add subcontractor markup.
R/W Delay Set to "Y" if bill is for right of way delay. No markup will be applied to the bill.
Partnering Switch Set to "Y" if bill is for partnering. No markup will be applied to the bill.
Labor Sur Enter the labor surcharge for the type of work normally performed by that contractor.
Line 02 and 03
Work Performed By Identify the party that is performing the work.
Description of Work Identify the location and description of the work.
Lines 04 -10 Equipment Charges

Equipment Description Enter equipment ID, Class, Make, Code. If any are missing the bill will not be accepted.
Equipment Attachments Enter attachment codes.
Equipment Hours Enter regular and overtime hours. Hours must be greater than zero.
Lines 24 -25 Materials and/or Work done by Specialist or Lump or Unit Price Payments
Vendor Name Enter the vendor's name.
Invoice data Enter the invoice number, date, and description.
Invoice units & cost Enter the number of units and the unit cost or net pay.
Lines 34 - 40 Labor Charges

Labor Description Enter labor craft, initial and last name.
Labor Hours & Rate Enter regular and overtime hours and rates. Hours and rates must not be zero.
Subsistence Enter subsistence hours and rate if subsistence was paid.
CEM4902
Sample Forms
CASEWB
EXTRA WORK BILL-TITLE PAGE
CEM-4902A NEW 7/94 CT# 7541-3496-7 CONTRACT NO. CCO NO. REPORT NO. PAGE
1 OF
E.W. A. C. * 50% SUB R/W PARTNERING
Sample Forms
FLAG WORK DELAY SWITCH
+/- FA LS UP FA LS UP BR
DATE PERFORMED DATE OF CON. JOB. NO. CONT. RPT. NO
01
WORK PERFORMED BY
02
DESCRIPTION OF WORK
03
FOR RESIDENT ENGINEERS USE ONLY ATTACHED TO THIS BILL ARE:

DATE RECEIVED
Labor Charges CEM-4902B
New Bill Approved for Payment
Equipment Charges CEM-4902C
DATE OF ACTION
Resubmittal Returned for Correction Material Charges CEM-4902D
TOTAL COST SUMMARY, STANDARD MARK-UPS & SUBCONTRACTOR MARK-UP
Total Equipment (A) Total Other Expense (F)
Total Materials (B) Subtotal (C) + (D) + Regular Surcharge + Premium Surcharge + (E) + (F)
Subtotal Equipment & Materials (A) + (B) % Standard Mark-up

% Standard Mark-up Total Labor (C) + (D) + Surcharge + (E) +(F) + Mark-up
Total Equipment & Materials (A) + (B) + Standard Mark-up Total Equipment & Materials
Total Regular Labor (C)
% Regular Labor Surcharge Total Equipment & Materials + Total Labor
Total Premium Labor (D) % of Mark-up on Subcontracted Work (Only)
% Premium Labor Surcharge GRAND TOTAL
Subtotal Regular & Premium (C+D)
Subtotal (C) + (D) + Regular Surcharge + Premium Surcharge
Total Subsistence (E)
SIGNATURE (Resident Engineer) IN CASE OF QUESTION:

(Resident Engineer Use Only)
SIGNATURE (Prime Contractor's Representative) NAME BUSINESS PHONE
A-1.83
WHITE - Data Entry CANARY - Resident Engineer PINK - Contractor (After Approval) GOLDENROD - Contractor CEM4902A
EXTRA WORK BILL-TITLE PAGE
CEM-4902A NEW 7/94 CT# 7541-3496-7
A-1.84
Preparing Form CEM 4902A
Form CEM 4902A is provided for entry of basic information related to extra work performed on a Contract Change Order. It is the first of four input forms
used to file the Extra Work Bill and are required for each billing. Entries in the shaded areas will not become part of the electronic copy of the bill and are
for the user's information only.
The top of this form includes fields that are used to record basic information required on all Extra Work Bills. Following is a list of these fields: All switch
fields, Bridge, flagging, sub work, R/W Delay and Partnering are set by entering an "Y" in the appropriate box. To remove a switch from an existing bill,
place an "N" in the appropriate box.
FIELD REMARKS
Contract Number Required entry

CCO Number Required entry
Report Number Required entry. This number is assigned by the submitter (R.E.), in sequential order beginning with 0001 for each CCO.
Date performed This is required entry. "VAR" may be entered in this field if the pay method is lump-sum or unitprice and forms for
equipment and labor bill are not used.
Date of Report Required entry.
Cont. Job No. Optional entry.
Cont. Rpt. No. Optional entry.
Payment Method Required entry. Indicate + or -, and place an "X" in the appropriate box. A blank is considered a +
BR Switch Place a "Y" in this box if bridge work is involved. Use an "N" to remove BR Switch.
50% Flag Place a "Y" in this box if pay is for 50% flagging. Use an "N" to remove 50% flagging.
Sub Work Place a "Y" in this box if 5% Sub contractor markup is involved. Use "N" to remove Sub contractor markup.
R/W Delay Place a "Y" in this box to indicate R/W delay. Use an "N" to remove R/W Delay.
Partnering Switch Place a "Y" in this box to indicate this bill is for Partnering cost billing.
Work Performed By Optional
Description of Work Optional
For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 263-2041 or TDD (916) 263-2044
ADA Notice or write Records and Forms Management, 1120 N Street, Sacramento, CA 95814.
Sample Forms
EXTRA WORK BILL - LABOR CHARGES CASEWB
CEM-4902B NEW 7/94 CT# 7541-3497-9
CONTRACT NO. CCO NO. REPORT NO. LABOR SURCHARGE WCI CLASS WCI RATE PAGE
. 1 of
Sample Forms
NAME REGULAR HOURS PREMIUM HOURS SUBSISTENCE
CRAFT ID INT LAST HRS RATE HRS RATE UNITS RATE TOTAL
34 . . . . . .
35
. . . . . .
36 . . . . . .
37 . . . . . .
38
. . . . . .
39 . . . . . .
40 . . . . . .
41 . . . . . .
42 . . . . . .
43 . . . . . .
44 .
. . . . .
45 . . . . .
.
46 . . . . . .
47

. . . . . .
48 . . . . . .
49 . . . . . .
50 . . . . .
.
51 . . . . . .
52 . . . . . .
53 . . .
. . .
OTHER EXPENSES SUBJECT TO LABOR MARKUP TOTAL (C) TOTAL (D) TOTAL (E)
DESCRIPTION AMOUNT
54
.
TRAVEL EXPENSE EXTENDED TOTAL (F)
UNITS RATE
SIGNATURE (Resident Engineer) . .

IN CASE OF QUESTION:
(Resident Engineer Use Only)
SIGNATURE (Prime Contractor's Representative) NAME BUSINESS PHONE
A-1.85
WHITE - Data Entry CANARY - Resident Engineer PINK - Contractor (After Approval) GOLDENROD - Contractor
EXTRA WORK BILL - LABOR CHARGES
A-1.86
ADA Notice
CEM-4902B NEW 7/94 CT# 7541-3497-9 For individuals with sensory disabilities, this document is available in alternate
Preparing Form CEM 4902B
Form CEM 4902B is provided for entry of the contractor labor costs used to perform work on a contract change order. Information in the shaded area will
not become part of the electronic copy of the bill. The top of this form includes fields that are used to record or calculate labor surcharges. Following is a
list of these fields:
FIELD REMARKS
Contract Number Required entry, same as on the Title Page

CCO Number Required entry, same as on the Title Page
Report Number Required entry, same as on the Title Page
Labor Surcharge Enter Surcharge percent as a whole number. Use Surcharge rate that was in effect when the work was done. This
percent surcharge will apply to all labor lines on this Bill.
WCI Class Optional entry. Choose one of the WCI Classes G01, S01-S09, or D01
WCI Rate Enter WCI rate if the WCI Class is entered. This rate will apply to all labor lines on this Bill and must be substantiated by
the Contractor.
Craft ID Required entry.
Name - Initial Required entry.
Name - Last Required entry.
Regular Hours - Hours Enter number of regular hours worked.
Regular Hours - Rate Enter the regular rate.
Premium Hours - Hours Enter number of Premium hours worked.
Premium Hours - Rate Enter the Premium rate.
Subsistence - Units Enter the Units if subsistence was paid.
Subsistence - Rate Enter the Rate if subsistence was paid.
Other - Description & Amount Optional entry for expenses not included in equipment, labor or invoices.
Travel Expenses - Units & Rate Optional entry when travel expense was required.
Sample Forms
EXTRA WORK BILL - EQUIPMENT CHARGES CASEWB
CEM-4902C NEW 7/94 CT# 7541-3498-1
CONTRACT NO. CCO NO. REPORT NO. PAGE
of
Sample Forms
EQUIPMENT DESCRIPTION REGULAR OVERTIME REG OT EXTENDED
EQUIP ID NUMBER CLASS MAKE CODE ATTACH HOURS HOURS RATE RATE AMOUNT
04
05
06
07
08
09
10
11
12
13
14

15
16
17
18
19
20
21
22
23
SIGNATURE OF RESIDENT ENGINEER IN CASE OF QUESTION CONTACT: TOTAL
(RESIDENT ENGINEERS USE ONLY) (A)
SIGNATURE OF PRIME CONTRACTORS REPRESENTATIVE NAME BUSINESS PHONE
A-1.87
WHITE - DATA ENTRY CANARY - RESIDENT ENGINEER PINK - CONTRACTOR (AFTER APPROVAL) GOLDENROD - CONTRACTOR CEM4902C
EXTRA WORK BILL - EQUIPMENT CHARGES
A-1.88
CEM-4902C NEW 7/94 CT# 7541-3498-1
Preparing Form CEM-4902C
Form CEM-4902C is provided for entry of the contractor equipment costs used to perform work on a contract change order. Information in
the shaded area will not become part of the electronic copy of the bill. Following is a list of these fields:
FIELD REMARKS
Contract No. Required entry, same as on the Title Page
CCO No. Required entry, same as on the Title Page
Report No. Required entry, same as on the Title Page
Equipment ID Required entry. Enter the equipment's I.D. number.
Equipment Description Each piece of equipment is identified by code. This code is either in the Equipment Rental Rate Book or is
included in the Miscellaneous Equipment Listing.
Equipment Class Required entry. In the Equipment Rental Rate book, this code is included in the heading for the class of
equipment and is set off by brackets [ ].
Equipment Make Required entry. In the Equipment Rental Rate book, this code is included in the subheading adjacent to the
Manufacturer's name and is set off by brackets [ ].
Equipment Code Required entry. In the Equipment Rental Rate book, this code is included in the line of the equipment being
identified under the subheading "CODE".
Attach Optional entry. In the equipment Rental Rate Book, the attachment codes are in the class "ATTACHMENTS"
and are identified under the subheading "CODE."
Regular Hours Enter the number of Regular hours worked.
Premium Hours Enter the number of Premium hours worked.
NOTE: If the equipment was on R/W delay, place a "Y" in the R/W Delay box on the Title Page Form.
Sample Forms
EXTRA WORK BILL - MATERIAL CHARGES CASEWB
CEM-4902D NEW 7/94 Front CT# 7541-3499-3
MATERIAL and/or WORK done by CONTRACT NO. CCO NO. REPORT NO. PAGE
specialist 1 of
Sample Forms
24 INVOICE DESCRIPTION UNITS UNIT COST OR NET PAY EXTENDED TOTAL
25
INVOICE DESCRIPTION UNITS UNIT COST OR NET PAY EXTENDED TOTAL

SIGNATURE OF RESIDENT ENGINEER SIGNATURE OF PRIME CONTRACTOR'S REPRESENTATIVE

INVOICE
A-1.89
WHITE - DATA ENTRY CANARY - RESIDENT ENGINEER PINK - CONTRACTOR (AFTER APPROVAL) GOLDENROD - CONTRACTOR
EXTRA WORK BILL - MATERIAL CHARGES
CEM-4902D NEW 7/94 Back CT# 7541-3499-3
A-1.90
Preparing Form CEM-4902D
Form CEM 4902D is provided for entry of the contractor material and/or work done by specialist or LUMP SUM or UNIT PRICE
PAYMENTS. It is not practical to use the Extra Work Bill to compute invoices, due to tax and discount; the net amount of the invoice
should be entered as a unit. Information in the shaded area will not become part of the electronic copy of the bill. Following is a list of
these fields:
FIELD REMARKS
Contract No. Required entry, same as on the Title Page
CCO Number Required entry, same as on the Title Page
Report No. Required entry, same as on the Title Page
Vendor Name Optional entry.
Invoice Number Optional entry.
Invoice Date Optional entry. "VAR" is an acceptable invoice date entry.
Invoice Description Optional entry.
Units Required entry. Both lump-sum and unit-price entries require a unit to be input.
Unit Cost or Net Pay
NOTE: The Material entry will not be processed unless there is a value in both the Unit and the Unit Cost fields.
Sample Forms
Page 1 of
CONTRACT CHANGE ORDER MEMORANDUM DATE
CEM-4903 REV 5/2001 CT#7541-3544-0

TO FILE
E. A.
FROM CO-RTE-PM
FED NO.
CCO NO. SUPPLEMENT NO. CATEGORY CODE CONTINGENCY BALANCE (Including this change):
$
INC DECR HEADQUARTERS APPROVAL REQUIRED? YES NO

$
SUPPLEMENTAL FUNDS PROVIDED IS THIS REQUEST IN ACCORDANCE
WITH ENVIRONMENTAL DOCUMENTS? YES NO
$
THIS CHANGE ORDER PROVIDES FOR (Use additional pages as needed):

CONSTRUCTION ENGINEER/BRIDGE ENGINEER THIS REQUEST TOTAL TO DATE
ITEMS
PROJECT ENGINEER FORCE ACCOUNT
AGREED PRICE
PROJECT MANAGER DATE ADJUSTMENT
TOTAL
PARTICIPATING PARTICIPATING IN PART NONE

ENVIRONMENTAL DATE
NON-PARTICIPATING (Maintenance) NON-PARTICIPATING

DATE
RESIDENT ENGINEER SIGNATURE

Sample Forms A-1.91
CEM-4903 REV 5/2001 CT#7541-3544-0 Page 2 of
THIS CHANGE ORDER PROVIDES FOR (Use additional pages as needed):

A-1.92 Sample Forms
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION JOB STAMP
REQUEST FOR PAYMENT FOR MATERIALS ON HAND
CEM-5101 REV 5/2001 CT# 7541-3522-4
ADA Notice
TO: RESIDENT ENGINEER (Name) FROM: CONTRACTOR (Name of Company) DATE
In accordance with the provisions of Section 9-1.06 of the Standard Specifications, request is made for payment as "Materials on
Hand" for the following materials:
TYPE OF SUBSTANTIATING
ITEM
QUANTITY MATERIAL DESCRIPTION VALUE EVIDENCE OF PURCHASE WHERE STORED *
NUMBER ATTACHED
AFFIDAVIT:
The materials listed above have been purchased exclusively for use on the above-referenced project. The material is separated from
other like materials and is physically identified as our property for use on Contract . The State may enter upon the
premises for the purposes set forth in Section 6 of the Standard Specifications for inspection, checking or auditing, or for any other
purpose you consider necessary. It is expressly understood and agreed that this information and affidavit are furnished to the State for
the purpose of obtaining payment for the above materials before they are delivered to, or incorporated into, the project described above,
and that the storage thereof at the location shown is subject to, and under the control of, the State. A revised form showing the current
status of the value of materials for which payment is being requested will be submitted each estimate period.
SIGNATURE OF CONTRACTOR
* When stored at a location other than on the jobsite or at a fabricator's yard, a warehouse receipt for the materials issued in the name
of the State shall accompany the request for payment. In case the storage location (other than the jobsite or fabricator's yard) is the
Contractor's property, the area containing the material to be paid for shall be fenced and posted to indicate that the material within the
fenced area is under the control of the State.
INSTRUCTIONS TO CONTRACTOR:
Submit original and one copy to Resident Engineer not later than one week prior to the end of the estimate period. Attach evidence of
purchase (and warehouse receipt when required) to original.
INSTRUCTIONS TO RESIDENT ENGINEER:
Forward duplicate to Division of New Technology, Materials and Research.

Sample Forms A-1.93
PROJECT RECORD - ESTIMATE REQUEST
CP-CEM 6001 (REV 6/1999) (old HC-38)
Contract Number 4
1 3
CASOAE
1. ESTIMATE PARAMETERS:
A. Estimate Number
10
B. Estimate for Work Performed Through

12
C. Type of Estimate Requested:
1) Monthly Construction Progress Estimate
18
2) Progress Estimate After Acceptance

19
D. Contract Progress:
1) Estimated Date of Completion (or Date of Completion)
20
2) Chargeable Working Days

26
Nonworking Days + Suspension Days

30
+
Time Extension Days (CCO) -
33 34
Time Extension Days (Other)

37
3) If on Plant Establishment Period:
Progress is satisfactory
40
Progress is not satisfactory

41
E. District Office Use Only

1) Unusual Progress Conditions:
a) Override Unsatisfactory Progress
42
b) Percent Time Elapsed will be equal to %

43
c)
46
2) Estimate Type:
a) Supplemental Progress Estimate
71
b) Proposed Final Estimate

72
c) Semifinal Estimate
73
d) Final Estimate
74
3) Indicate if this is a rerun of a prior estimate

75
2. DEDUCTIONS:
+
TYPE DESCRIPTION - AMOUNT *
, , .
10 13 33 34
, , .
10 13 33 34
, , .
10 13 33 34
* NOTE: USE MINUS SIGN TO TAKE A DEDUCTION; PLUS SIGN INDICATES RETURN OF A PREVIOUS DEDUCTION.
IN CASE OF QUESTION CONTACT:
NAME VERIFY
PHONE DATE

A-1.94 Sample Forms
CONTRACT ADMINISTRATION SYSTEM (CAS) - REPORT REQUESTS
CEM-6002 (REV. 02/2001)
NOTE: See Section 5-1
To: EDP: Please obtain the reports indicated below.
of the Construction
Priority Class S/C 5092 Procedure: CASRPT
REQUESTS R SELECTION CRITERIA S

1 1
TITLE OF REPORT
DISTRICTT
2 3
DISTRICT (XX) ESTIMATE STATUS 2

4 10
PROJECT MANAGEMENT (Exceptional Contracts, Project File 3
Status and Summary of Control Report)
4
DISTRICT (XX) PROJECT STATUS
PROGRESS PAYMENT-WORK DONE BY OFFICE OF 5

STRUCTURES
PROJECT RECORD ESTIMATE (Schedule of Extra Work, Schedule of 6
Deductions, Project Record Estimate, Progress Payment Voucher)
7
STATUS OF CONTRACT ITEMS
8
PROJECT RECORD ITEM SHEET
9
STATUS OF PROJECT CHANGE ORDERS
10
CCO MASTER LISTING
11
BRIDGE QUANTITIES BY STRUCTURE
12
DISTRICT (XX) STATUS OF ANTICIPATED CHANGES
13
PROJECT RECORD-ESTIMATE (DUMMY)
14
CONTRACT CONTENTS REPORT

15
CONTRACT CONTENTS REPORT (Contract Item Records)
16
CONTRACT CONTENTS (Contract Progress)

17
DEWRS IN HOLDING FILE
18
RENTAL RATES & CODES FOR MISCELLANEOUS EQUIPMENT
IN CASE OF QUESTION CONTACT S/C 5092
NAME VERIFY
PHONE DATE
PAGE OF

Sample Forms A-1.95
PROGRESS PAY-ESTIMATE PROJECT INITIATION OR UPDATE

CASOOA
A-1.96
CEM-6003 (REV 02/2001)
PROJECT KEY INSTRUCTIONS FOR CARD C05

-CONTRACT SUSPENSION: ENTER SUSPENSION DATE AND 'S' IN SR
FB DIST. CONTRACT NUMBER -CONTRACT REACTIVATION: ENTER REACTIVATION DATE AND 'R' IN SR
-FOR CORRECTION: ENTER CORRECT DATE OR 00/00/0000 AND 'C' IN SR
4 -FOR PROJECT REQUIRING 5% RETENTION: ENTER 'X' IN PE
-FOR PROJECTS AWARDED AFTER 1/1/88;
1 2 3 4 9
ENTER DATE WHICH IS 15 CALENDAR DAYS AFTER APPROVAL DATE IN BEGIN CONSTRUCTION DATE
MISCELLANEOUS INPUT
C CARD RESIDENT ENGINEERS RESPON. DATE WORK EST. DATE FOR SUSPENSION OR S P BEGIN
PASSWORD
C TYPE PHONE NUMBER UNIT STARTED COMPLETION REACTIVATION DATE R E CONSTRUCTION DATE
C 0 5
RESIDENT ENGINEERS MAILING ADDRESS
C 0 6
C 0 7
C 0 8
CONTRACTOR NAME AND ADDRESS
C 0 9
ADA Notice
C 1 0 For individuals with sensory disabilities, this document is available in alternate
NAME
C 1 1 Records and Forms Managment, 1120 N Street, MS-89, Sacramento, CA 95814.
C 1 2
CONTRACTORS
C 1 3 PHONE NUMBER
C 1 4
ADDRESS
BRIDGE DEPARTMENT DATA

C CARD RESPON. ORIGINAL AUTHORIZED MOBIL
BRIDGE REP. NAME C
C TYPE UNIT AMOUNT FOR BRIDGE WORK * %
C 1 5 , ,
* (INCLUDE MOBIL AMT.)
REMARKS NAME VERIFY

BY:
PHONE DATE
Sample Forms
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION 4 PAGE NO.
1 3 9
CAS0A 15 17
CONTRACT TRANSACTIONS INPUT DIST CONTRACT NO. PASSWORD
CEM-6004 (Rev. 10/1983) CT#7541-3515-0
DATE CONTRACT ITEM ENTRIES ALL OTHER ENTRIES
LINE ENT
SOURCE DOCUMENT DESCRIPTION
Sample Forms
NO. MO. DAY ITEM + CCO + BY BY
QUANTITY (UNITS) AMOUNT($) TYPE
18 20 22 24 43 45 NO. 48 - 49 60 62
NO. 64 65 - 66 74
CODE
BRIDGE
01 , , ,
02 , , ,
03 , , ,
04 , , ,
05 , , ,
06 , , ,
07 , , ,
08 , , ,
09 , , ,
10 , , ,
11 , , ,
12 , , ,
13 , , ,

14 , , ,
15 , , ,
16 , , ,
17 , , ,
18 , , ,
19 , , ,
20 , , ,
21 , , ,
22 , , ,
23 , , ,
24 , , ,
IN CASE OF QUESTION CONTACT: NAME VERIFY
A-1.97
93 95682
PHONE
A-1.98 Sample Forms
FOR STATE USE ONLY
NOTICE OF POTENTIAL CLAIM Received by Date
CEM-6201 (REV 3/2001) (For resident engineer)
TO CONTRACT NUMBER DATE
(resident engineer)
This is a Notice of Potential Claim for additional compensation under the provisions of Section 9-1.04 of the Standard Specifications.
The act of the engineer, or his/her failure to act, or the event, thing, occurrence, or other cause giving rise to the potential claim
occurred on
DATE
The particular circumstances of this potential claim are described in detail as follows:
The reasons for which I believe additional compensation may be due are:
The nature of the costs involved and the amount of the potential claim are described as follows:
(If accurate cost figures are not available, provide an estimate, or describe the types of expenses involved.)
The undersigned originator (Contractor or Subcontractor as appropriate) certifies that the above statements are made in full
cognizance of the California False Claims Act, Government Code sections 12650-12655. The undersigned further understands and
agrees that this potential claim to be further considered unless resolved, must be restated as a claim in response to the states
proposed final estimate in accordance with Section 9-1.07B of the Standard Specifications.
SUBCONTRACTOR or CONTRACTOR
(Circle one)
(Authorized Representative)
For subcontractor notice of potential claim
This notice of potential claim is acknowledged and forwarded
PRIME CONTRACTOR
ADA Notice For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 263-2041 or TDD
(916) 263-2044 or write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814. CEM6201

Sample Forms A-1.99
A-1.100 Sample Forms
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION FOR STATE USE ONLY
INITIAL NOTICE OF POTENTIAL CLAIM Received By Date
CEM-6201A (NEW 9/2002) (For resident engineer)
TO CONTRACT NUMBER DATE IDENTIFICATION NUMBER
(resident engineer)
This is an Initial Notice of Potential Claim for additional compensation submitted as required under the provisions of Section 9-1.04, "Notice
of Potential Claim," of the Standard Specifications. The act of the engineer, or his/her failure to act, or the event, thing, occurrence, or other
cause giving rise to the potential claim occurred on:
DATE:
The particular nature and circumstances of this potential claim are described as follows:
(attach additional sheets as needed)
The undersigned originator (Contractor or Subcontractor as appropriate) certifies that the above statements and attached documents are
made in full cognizance of the California False Claims Act, Government Code sections 12650-12655. The undersigned further understands
and agrees that this potential claim to be further considered, unless resolved, must fully conform to the requirements in Section 9-1.04 of the
Standard Specifications and must be restated as a claim in the Contractors written statement of claims in conformance with Section 9-1.07B
(Circle One)
For a subcontractor potential claim

This notice of potential claim is acknowledged, certified and forwarded by
PRIME CONTRACTOR

Sample Forms A-1.101
SUPPLEMENTAL NOTICE OF POTENTIAL CLAIM Received By Date
CEM-6201B (NEW 9/2002) (For resident engineer)
(resident engineer)
This is a Supplemental Notice of Potential Claim for additional compensation submitted as required under the provisions of Section 9-1.04,
"Notice of Potential Claim," of the Standard Specifications. The act of the engineer, or his/her failure to act, or the event, thing, occurrence,
or other cause giving rise to the potential claim occurred on:
DATE:
The particular nature and circumstances of this potential claim are described in detail as follows:

The basis of this potential claim including all relevant contract provisions are listed as follows:

The estimated dollar cost of the potential claim including a description of how the estimate was derived and an itemized breakdown of individual costs
are attached hereto.
(attach sheets as required)

A time impact analysis of the disputed disruption has been performed and is attached hereto. The affect on the scheduled project completion date is as
follows:
(attach time impact analysis as required)

The undersigned originator (Contractor or Subcontractor as appropriate) certifies that the above statements and attached documents are
(Circle One)

PRIME CONTRACTOR

FULL AND FINAL DOCUMENTATION OF Received By Date
POTENTIAL CLAIM (For resident engineer)
CEM-6201C (NEW 9/2002)
(resident engineer)
This is the Full and Final Documentation of Potential Claim for additional compensation submitted as required under the provisions of
Section 9-1.04, "Notice of Potential Claim," of the Standard Specifications. The act of the engineer, or his/her failure to act, or the event,
thing, occurrence, or other cause giving rise to the potential claim occurred on:
DATE:
The complete and factual narration of events which fully describe the nature and circumstances that caused the dispute or disagreement and potential
claim are attached hereto.
(attach sheets as required for full and final documentation)

The basis of this claim including all relevant contract provisions and a statement of the reasons these provisions support and provide basis for
entitlement of the potential claim are attached hereto.

The identification and copies of any documents and substance of any oral communication that support the potential claim are attached hereto.

The exact dollar amount requested and an itemized breakdown of individual costs segregated by labor, materials, equipment and other are attached
hereto.

The exact amount of any time adjustment requested including justification thereof and time impact analysis are attached hereto.
The undersigned originator (Contractor or Subcontractor as appropriate) certifies that the above statements and attached documentation are
(Circle One)

PRIME CONTRACTOR

DISPUTES REVIEW BOARD (DRB) ESTABLISHMENT
CP-CEM-6202 (New 02/2002)
Instructions for use - Complete this form after the initial DRB meeting has been held. Fax the completed form to the
Division of Construction (headquarters) DRB coordinator.
CURRENT DATE
CONTRACT NUMBER ROUTE
WORK DESCRIPTION
CONTRACTOR
RESIDENT ENGINEER PHONE
ENGINEER'S ESTIMATE BID AMOUNT
ORIGINAL NUMBER OF PROJECT WORKING DAYS
BID OPENING DATE CONTRACT AWARD DATE
CONTRACT APPROVAL DATE FIRST WORKING DAY DATE
DRB ESTABLISHMENT DATE DRB AGREEMENT DATE
DRB CCO APPROVAL DATE
INITIAL DRB MEETING DATE
SUBSEQUENT STATUS MEETING SCHEDULED DATE
PLANNED FREQUENCY OF DRB STATUS MEETINGS (4 months max.)
DRB MEMBERS
NAME NOMINATED NOMINATION APPROVED BY APPROVAL DATE
Department Contractor
Contractor Department
DRB members Cont./Dept. - HQ*
*DRB chairman nomination requires the Division of Construction (headquarters) construction coordinator approval. Enter both the
contractor's
RETENTION TAKEN FOR DELAYED DRB ESTABLISHMENT YES NO
COMMENTS

DISPUTE REVIEW BOARD (DRB) UPDATE REPORT
CEM-6203 (NEW 02/2002)
Instructions for use - Complete this form yearly beginning on the anniversary of the first contract working day. Fax the
completed form to the Division of Construction (headquarters) DRB coordinator.
CURRENT DATE
CONTRACT NUMBER
INITIAL DRB MEETING DATE:
DRB STATUS MEETINGS:

STATUS MEETING DATE DRB SITE VISIT INCLUDED (Y/N)
DRB ISSUE MEETINGS:

ISSUE MEETING DATE BRIEF DESCRIPTION OF ISSUE
TOTAL NUMBER OF POTENTIAL CLAIMS RECEIVED TO DATE
TOTAL NUMBER OF UNRESOLVED POTENTIAL CLAIMS
TOTAL NUMBER OF DISPUTE ISSUES REFERRED TO DRB
TOTAL NUMBER OF DRB RECOMMENDATIONS*

* Typically there is one recommendation per issue referral. Occasionally one recommendation will address more than referred issue. Record the
total number of issues the DRB has provided recommendations on.
DRB EXPENDITURES TO DATE (DRB CCO COSTS)
COMMENTS
ADA Notice 654-3880 or write Records and Forms Management, 1120 N Street, MS - 89, Sacramento, CA 95814.

DISPUTE REVIEW BOARD (DRB) ISSUE REPORT
CEM-6204 (NEW - 02/2002)
Instructions for use - Complete this form when the Department's response to the DRB recommendation is sent and the
contractor's response has been received or has been accepted by default. Fax the completed form, the DRB
recommendation, and the Department's response to the Division of Construction (headquarters) DRB coordinator.
CURRENT DATE
CONTRACT NUMBER
ISSUE INFORMATION:
BRIEF DESCRIPTION OF ISSUE:
DATE OF INITIAL NOTICE OF POTENTIAL CLAIM

NOTICE OF POTENTIAL CLAIM NUMBER
DATE OF ENGINEER'S RESPONSE TO POTENTIAL CLAIM
DATE OF REFERRAL TO DRB
DATE OF ISSUE MEETING
DOLLAR VALUE OF POTENTIAL CLAIM (per contractor)
DELAY DAYS ON NON CONTROLLING ITEM(S) OF WORK (per contractor)
DELAY DAYS ON CONTROLLING ITEM(S) OF WORK (per contractor)
DRB RECOMMENDATION INFORMATION:

DRB REQUEST FOR ADDITIONAL INFORMATION (Y/N)
ADDITIONAL INFORMATION REQUESTED FROM (DEPT./CONT.)
DRB RECOMMENDATION DATE
DRB RECOMMENDATION IN FAVOR OF WHICH PARTY
DEPARTMENT RESPONSE (ACCEPTED/REJECTED*)
*Rejection of any DRB decision requires approval of the Chief of Division of Construction. Acceptance of an unfavorable DRB recommendation
requires approval in conformance with the CCO approval authority table.
DATE OF DEPARTMENT RESPONSE APPROVAL
NAME & TITLE OF APPROVAL AUTHORITY
CONTRACTOR'S RESPONSE (ACCEPTED/REJECTED)
RESOLUTION INFORMATION:
HAS THE DISPUTE ISSUE BEEN RESOLVED IN ITS ENTIRETY (Y/N)
(If yes, provide the details in the "comments" section below. Include quantification of the dispute resolution in time and dollars and identify the
corresponding CCO.)
COMMENTS:

DISPUTE REVIEW BOARD (DRB) COMPLETION REPORT (front)
CEM-6205 (NEW - 02/2002)
Sample Forms
Instructions for use - Complete this form within 30 days after receipt of contractor's exceptions to the proposed final estimate. Fax the completed form to the Division
of Construction (headquarters) DRB coordinator.
CURRENT DATE
CONTRACT NUMBER
CONTRACT ACCEPTANCE DATE
DRB MEETINGS:
MEETING TYPE DID DRB
ISSUE IDENTIFICATION
(INITIAL, STATUS, TOUR SITE?
(if applicable)
OR ISSUE) (Y/N) DATE

DRB DEPARTMENT EXPENDITURES (DRB CCO COST)
TOTAL NUMBER OF NOTICE OF POTENTIAL CLAIMS RECEIVED
TOTAL NUMBER OF NOTICE OF POTENTIAL CLAIMS RESOLVED PRIOR TO REFERRAL TO DRB
TOTAL NUMBER OF ISSUES REFERRED TO DRB
TOTAL NUMBER OF ISSUES DRB ISSUED RECOMMENDATION ON
TOTAL NUMBER OF NOTICE OF POTENTIAL CLAIMS RESOLVED AFTER REFERRAL TO DRB
TOTAL NUMBER OF NOTICE OF POTENTIAL CLAIMS UNRESOLVED AT CONTRACT ACCEPTANCE
TOTAL NUMBER OF NEW DISPUTE ISSUES LISTED AS EXCEPTIONS TO THE PFE
A-1.113
DISPUTE REVIEW BOARD (DRB) COMPLETION REPORT
A-1.114
CEM-6205 (NEW - 02/2002)
DISPUTE OUTCOMES (ISSUES REFERRED TO DRB ONLY):

DRB Rec. in
Original Dept. or Dispute Status
dollar value Original time Contractor Resolution Resolution (Resolved, Unresolved
Issue Description NOPC# of claim value of claim favor** dollar amount time amount CCO ID or Partial)
** Note split decisions (2 to 1 decisions) with an "S".
DRB PROCESS EVALUATION:

Circle the appropriate response. Resident Engineer's response unless otherwise
DRB's VALUE IN RESOLVING DISPUTES (RE's Opinion): No Value 1 2 3 4 5 6 7 8 9 Extreme Valuable

DRB's VALUE IN RESOLVING DISPUTES (CE's Opinion): No Value 1 2 3 4 5 6 7 8 9 Extreme Valuable
DRB'S VALUE IN RESOLVING DISPUTES (Structure Rep's Opinion): No Value 1 2 3 4 5 6 7 8 9 Extreme Valuable
DRB's VALUE IN RESOLVING DISPUTES (ABE's Opinion): No Value 1 2 3 4 5 6 7 8 9 Extreme Valuable
DRB'S VALUE IN RESOLVING DISPUTES (Contractor's Opinion): No Value 1 2 3 4 5 6 7 8 9 Extreme Valuable
DRB'S PERCEIVED BIAS: Very Bias 1 2 3 4 5 6 7 8 9 Very Objective
REASONABLENESS OF DRB RECOMMENDATIONS: Unreasonable 1 2 3 4 5 6 7 8 9 Reasonable
RECOMMENDED IMPROVEMENTS IN DRB PROCESS OR PROCEDURES:
OTHER COMMENTS:
Sample Forms
CONTRACT ACCEPTANCE
CEM 6301 (Rev. 1/2001)
CONTRACT NUMBER COUNTY, ROUTE, BRIDGE, POST KILOMETERS FEDERAL NO.
CONTRACTOR NAME AND BUSINESS ADDRESS
CONTRACT DESCRIPTION AND DELIVERY
DESCRIPTION QUANTITY DELIVERED UNITS
Centerline Kilometers
New Construction Lane Kilometers
Structures
Lane Kilometers
Reconstruction
Structures
New HOV Lane Kilometers
Operations Lane Kilometers
Rehabilitation Lane Kilometers
Preservation Lane Kilometers
Roadside: New Highway Planting Hectares
Soundwall Linear Kilometers
CONTRACT WORK WAS SATISFACTORILY COMPLETED

Date
CONTRACT ACCEPTANCE IS RECOMMENDED - in accordance with Section 7-1.17, "Acceptance of Contract," of the
Signature, Resident Engineer
CONTRACT IS ACCEPTED IN ACCORDANCE WITH ABOVE RECOMMENDATION
Date Signature, District Division Chief

for the Director
CEM-6301

CONTRACT ACCEPTANCE
CEM 6301 (Rev. 1/2001)
Instructions for Form CEM-6301, Contract Acceptance
Contract Description Definitions:
New Construction:
New transportation facility that did not previously exist in the corridor or as the
addition of an interchange. Lane kilometers include High Occupancy Vehicles (HOV)
lanes.
Reconstruction:
• Addition of a mainline through lane, including HOV lanes
• Significant changes in horizontal and vertical alignment
• Reconstruction of an interchange by adding, moving or relocating ramps
• Replacement of an entire bridge or major portions of an existing bridge on a new
vertical or horizontal alignment
• Seismic Retrofit
Operations:
Turnouts, passing lanes, truck climbing lanes

Rehabilitation:
Restoration and replacement of lanes, excluding any major maintenance of lanes
(AC overlays greater than 25mm)
Preservation:
Major maintenance and other pavement life extension work (Thin blanket AC
overlays 25mm or less, chip seals, slurry seals, etc.)
Roadside-New Highway Planting:
Landscaping
Soundwalls:
Linear kilometers of new soundwall

ADA Notice
CONSTRUCTION MANUAL PROPOSED CHANGE For individuals with sensory disabilities, this document is available in alternate
CEM-9001 (New 11/1992) Records and Forms Managment, 1120 N Street, MS-89, Sacramento, CA 95814.
CHAPTER SECTION PAGE
SUBMITTED BY DISTRICT/UNIT DATE
PROPOSED CHANGE
NUMBER OF ATTACHED PAGES
APPROVED BY APPROVAL DATE

STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION
SAMPLE IDENTIFICATION CARD CARD NUMBER SAMPLE IDENTIFICATION CARD CARD NUMBER
TL-0101 (REV. 10/97) C TL-0101 (REV. 10/97) C
PRELIMINARY TESTS SAMPLE SENT TO: FIELD NO. PRELIMINARY TESTS SAMPLE SENT TO: FIELD NO.
PROCESS TESTS HDQTRS. LAB PROCESS TESTS HDQTRS. LAB

DIST. LAB NO. DIST. LAB NO.
ACCEPTANCE BRANCH LAB ACCEPTANCE BRANCH LAB
INDEPENDENT DIST. LAB LOT NO. INDEPENDENT DIST. LAB LOT NO.
ASSURANCE TESTS ASSURANCE TESTS
SHIPMENT NO. P.O. OR REQ. NO. SHIPMENT NO. P.O. OR REQ. NO.
DIST. LAB DIST. LAB
TRANS. LAB AUTHORIZATION NO. TRANS. LAB AUTHORIZATION NO.
SPECIAL TESTS SPECIAL TESTS
SAMPLE OF SAMPLE OF
FOR USE IN FOR USE IN
SAMPLE FROM SAMPLE FROM
DEPTH DEPTH
LOCATION OF SOURCE LOCATION OF SOURCE
THIS SAMPLE AND IS ON E OF SAMPLES THIS SAMPLE AND IS ON E OF SAMPLES

IS SHIPPED IN A GROUP OF REPRESENTING IS SHIPPED IN A GROUP OF REPRESENTING
(NO. CONTAINERS) (TONS, GALS, BBLS, (NO. CONTAINERS) (TONS, GALS, BBLS,
OWNER OR MANUFACTURER OWNER OR MANUFACTURER

TOTAL QUANTITY TEST RESULTS DESIRED DATE NEEDED TOTAL QUANTITY TEST RESULTS DESIRED DATE NEEDED
AVAILABLE NORMAL PRIORITY AVAILABLE NORMAL PRIORITY
REMARKS REMARKS
COVER ADDITIONAL INFORMATION WITH LETTER COVER ADDITIONAL INFORMATION WITH LETTER
DATE SAMPLED DATE SAMPLED
BY TITLE BY TITLE
DIST, CO, RTE, PM DIST, CO, RTE, PM
LIMITS LIMITS
CONT. NO. CONT. NO.

FED. NO. FED. NO.
RES. ENGR. OR SUPT. RES. ENGR. OR SUPT.
ADDRESS ADDRESS
CONTRACTOR CONTRACTOR

STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION
FIELD SAMPLE OF PORTLAND CEMENT CONCRETE FIELD SAMPLE OF PORTLAND CEMENT CONCRETE
SAMPLE CARD NO. SAMPLE CARD NO.
TL-0502 (REV. 6/97) TL-0502 (REV. 6/97)
CONTR. NO FED NO. CONTR. NO FED NO.
DIST. CO. RT. P.M. DIST. CO. RT. P.M.
LIMITS OF WORK LIMITS OF WORK
RES. ENG. OR SUPT RES. ENG. OR SUPT
ADDRESS ADDRESS
CONTRACTOR CONTRACTOR
SOURCE OF MATERIALS SOURCE OF MATERIALS

CEMENT CERTIFICATE NO. CEMENT CERTIFICATE NO.
FINE AGGREGATE SMARA FINE AGGREGATE SMARA
COARSE AGGREGATE SMARA COARSE AGGREGATE SMARA
FIELD SAMPLE NO. FIELD SAMPLE NO.

SIZE OF SPECIMEN - mm SIZE OF SPECIMEN - mm
DATE CAST DATE CAST
CEMENT - kg/m 3 CEMENT - kg/m 3
PERCENT AIR PERCENT AIR
KELLY BALL PENETRATION KELLY BALL PENETRATION
WATER - kg/m 3 WATER - kg/m 3
SAMPLED FROM SAMPLED FROM
ADMIXTURE ADMIXTURE
REMARKS REMARKS
SAMPLED BY TITLE SAMPLED BY TITLE
ENCLOSURE WITH SAMPLE ENCLOSURE WITH SAMPLE

STATE OF CALIFORNIA·DEPARTMENT OF TRANSPORTATION
JOB CEMENT SAMPLES RECORD
MR 0518 (Rev. 6/93)#CT-7541-6019-0
024070
Note: THIS IS A RECORD OF JOB CEMENT SAMPLES SHIPPED
TO THE LABORATORY BY THE RESIDENT ENGINEER.
DISTRICT COUNTY ROUTE P.M.
CONTRACT OR W.O. NUMBER
CONTRACTOR
RESIDENT ENGINEER PHONE NUMBER
ADDRESS
SAMPLE REPRESENTS (bbl.) TYPE (Circle one.)
I II III IV V 1P N F C
BRAND
Mineral admixture Cement
MILL OR SOURCE LOCATION
TYPE WORK
MILL OR SOURCE
Certificate
of
READY-MIX MANUFACTURER
Compliance
Received
From CONCRETE PRODUCTS MANUFACTURER
(name)
CERTIFICATE OF COMPLIANCE NUMBERS
SAMPLED BY (print) DATE SAMPLED
REMARKS
White--Enclose with sample

Yellow--For Resident Engineer
G920167 93 96159

PRODUCT, MATERIAL, OR METHOD REPORT
(For Highway Planting or Erosion Control)
LA - 16 (REV 04/2001)
Purpose of Report:
LOCATION DISTRICT COUNTY ROUTE P.M. OR STA. AT EACH LOCATION
INSTALLED BY CONTRACT NUMBER MAINTENANCE OR OTHER
DATE INSTALLED COSTS PLANS ATTACHED

YES NO
Evalution and Comments:
FINANCIAL SAVINGS ADDITIONAL EVALUATION REQUIRED

YES NO
If yes, state reason:
INITIATED BY DEPARTMENT PHONE
REVIEWED BY DEPARTMENT PHONE
California Department of Transportation

Send copy to: Office of State Landscape Architecture, MS 28
Standards Branch DATE
1120 N Street, Sacramento, CA 95814
ADA Notice For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 263-2041 or TDD (916)
263-2044 or write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA. 95814

REPORT OF CHEMICAL SPRAY OPERATIONS
A-1.122
LA-17 (REV 04/2001)
REPORT OF CHEMICAL SPRAY OPERATIONS
CONTRACTOR WEEK ENDING DATE PROJECT DESCRIPTION PROJECT NUMBER
A B C D
CHEMICAL MIXTURE
AND PERCENT
ACTIVE MATERIAL
WATER RATE
APPLICATION PER
SQUARE FOOT OR ACRE
CHECK PROPER BOX PLANTING SPRAYED PEST KILLED DESCRIPTION OF AREA (STA., LOOP, ETC.)
CHEMICAL
USED
A B C D
DAY
WINDY
CALM
A.M.
P.M.
CLOUDY
SUNNY
TREES
SHRUBS
IVY
ICE PLANT
GRASS
BROADLEAF
STOLONS
DISEASE
GROUNDCOVER
SCALE, MOTH, ETC.
MON
TUE
WED
THU
FRI
SAT
RESIDENT ENGINEER COMMENTS: CONTRACTOR'S REPRESENTATIVE
COPY TO: DISTRICT MAINTENANCE FOR FILE
Sample Forms
NOTICE OF CHANGE IN CLEARANCE OR BRIDGE WEIGHT RATING
TR-0019 (NEW 6/2000)
PLEASE FAX THIS FORM TO: NORTH REGION CONST/MAINT LIAISON (916) 322-4081
SOUTH REGION CONST/MAINT LIAISON (909) 383-4296
BRIDGE NAME BRIDGE NUMBER DATE
DISTRICT COUNTY ROUTE PM CITY
SUBMITTED BY PHONE NUMBER FAX NUMBER
TYPE OF CHANGE (SELECT ONE) TENTATIVE START DATE TENTATIVE END DATE
PERMANENT TEMPORARY (SEE NOTE 1)
BRIDGE WEIGHT RATING CHANGE (SELECT ONE) EXISTING BRIDGE WEIGHT RATING NEW BRIDGE WEIGHT RATING
YES NO
CLEARANCE DIAGRAM
BRIDGE NAME
COLUMN
NOTE 2 SHOULDER TRAVELED WAY SHOULDER SHOULDER TRAVELED WAY SHOULDER NOTE 2
EP ETW ETW EP EP ETW ETW EP
NOT TO SCALE
BOUND BOUND
LOOKING AHEAD ON
(ROUTE)
NOTES:
1) FOR TEMPORARY VERTICAL CLEARANCE CHANGES, DIMENSIONS ARE TO BOTTOM OF FALSEWORK
2) INCLUDE DISTANCE TO ANY OBSTRUCTION (i.e. -GUARDRAIL, COLUMNS, K-RAIL)
FOR LIAISON USE ONLY:

DATE RECEIVED BY LIAISON DATE OF RCD/TRD CHANGE LIAISON SIGNATURE

NOTICE OF CHANGE IN VERTICAL OR HORIZONTAL CLEARANCE
TR-0020 (NEW 6/2000)
SIGN NAME SIGN NUMBER DATE
CLEARANCE DIAGRAM
OVERHEAD SIGN
TRAVELED WAY SHOULDER

C
L ETW EP
NOT TO SCALE
LOOKING ON
(DIRECTION) (ROUTE)
MAINLINE RAMP


NOTICE OF CHANGE IN CLEARANCE OR BRIDGE WEIGHT RATING
TR-0029 (NEW 6/2000)
BRIDGE NAME BRIDGE NUMBER DATE
TYPE OF CHANGE (SELECT ONE) TENTATIVE START DATE TENTATIVE END DATE
PERMANENT TEMPORARY (SEE NOTE 1)
BRIDGE WEIGHT RATING CHANGE (SELECT ONE) EXISTING BRIDGE WEIGHT RATING NEW BRIDGE WEIGHT RATING
YES NO
CLEARANCE DIAGRAM
BRIDGE NAME
NOTE 2 SHOULDER TRAVELED WAY TRAVELED WAY SHOULDER NOTE 2

EP ETW C
L (SEE NOTE 3) ETW EP
NOT TO SCALE
MAINLINE RAMP
LOOKING ON
(DIRECTION) (ROUTE)
NOTES:
1) FOR TEMPORARY VERTICAL CLEARANCE CHANGES, DIMENSIONS ARE TO BOTTOM OF FALSEWORK
2) INCLUDE DISTANCE TO ANY OBSTRUCTION (i.e. -GUARDRAIL, COLUMNS, K-RAIL)
3) FOR DIVIDED HIGHWAYS, USE FORM NUMBER TR-0019

Index
Abbreviations ................................................................................................................. 3-1.1

AC ........................................................................................................ See Asphalt Concrete
Acceptance of contract .................................................................................................. 3-7.12
Acceptance of materials .................................................................................................. 6-2.4
Acceptance records ........................................................................................................ 6-1.4
A
Acceptance tests ............................................................................................................ 6-1.2
Access to the work ......................................................................................................... 3-5.3
Additives, chemical, water ............................................................................................. 4-17.1
Adhesive ....................................................................................................................... 4-95.1
Adjustment in compensation ................................................................................. 3-9.6, 5-3.6
Adjustment of overhead costs ...................................................................................... 3-9.15
Administration ................................................................................................................ 1-0.1
Aggregate bases ............................................................................................................ 4-26.1
Aggregate subbases ...................................................................................................... 4-25.1
Air entrainment ............................................................................................................ 4-90.11
Air pollution control .............................................................................................. 3-7.2, 7-1.3
Alternative equipment .................................................................................................... 3-5.4
Apprentices .................................................................................................................... 8-1.7
Approach slabs .............................................................................................................. 4-51.1
Arbitration ..................................................................................................................... 5-4.25
Asbestos sheet packing ...................................................................................... 6-1.25, 6-2.8
Asphalt
membrane waterproofing ............................................................................................ 4-54.1
mopping ................................................................................................................... 6-1.26
plank ........................................................................................................................... 6-1.25
Asphalt binder ............................................................................................................... 4-39.1
Asphalt concrete ................................................................................................4-39.1, 6-1.16
Asphalt rubber latex joint filler ........................................................................................ 6-2.6
Asphalt treated permeable base ..........................................................................4-29.2, 6-1.21
Asphaltic emulsions ...................................................................................................... 4-94.1
Asphalts ........................................................................................................................ 4-92.1
Audits ............................................................................................................................ 5-4.25
Authority of engineer ..................................................................................................... 3-5.1
Authorized representative .............................................................................................. 3-5.1
Automotive ..................................................................................................................... 1-4.2
Award and execution of contract .................................................................................... 3-3.1
B
B
Backflow preventers, irrigation systems ...................................................................... 4-20.15
Bars, raised (precast) ..................................................................................................... 6-1.27
Barbed wire ............................................................................................... 4-80.1, 6-1.25, 6-2.8
Barricades ...................................................................................................................... 4-12.2
Barriers ........................................................................................................................... 4-83.1
Barriers, railings and ...................................................................................................... 4-83.1
Basement soil ................................................................................................................. 6-1.23

Index I-1
Index
Bases
aggregate ..................................................................................................................... 4-26.1
asphalt treated permeable ................................................................................ 4-29.2, 6-1.21
cement treated ................................................................................................. 4-27.1, 6-1.20
cement treated permeable ................................................................................ 4-29.2, 6-1.21
lean concrete ................................................................................................... 4-28.1, 6-1.18
Bearing devices, structures ............................................................................................. 4-51.3
Beginning of work ............................................................................................................ 3-8.8
Bid openings .................................................................................................................... 3-2.1
Bids .................................................................................................................................. 3-2.1
Bitumen ratio ................................................................................................................... 4-37.6
Bituminous adhesive, pavement markers ........................................................................ 4-85.1
Bituminous seals ................................................................................................. 4-37.1, 6-1.24
Blasting ........................................................................................................................... 4-19.2
Board of Review ..............................................................................................................5-4.15
Board of Review Report ..................................................................................................5-4.29
Bolted connections ......................................................................................................... 4-56.2
Borrow
excavation ................................................................................................................. 4-19.13
imported ...................................................................................................................... 4-19.9
Brick ...................................................................................................................... 6-1.26, 6-2.8
Bridge removal ................................................................................................................ 4-15.2
Bridge deck finishing ...................................................................................................... 4-42.2
Bridge railing ................................................................................................................... 4-83.1
Budgeting ........................................................................................................................ 1-3.3
Buy America requirements ............................................................................................... 3-6.2
C
C
Cable railing ....................................................................................................................4-83.4
Calibration program for equipment .................................................................................. 6-3.1
California test methods .................................................................................................... 6-3.3
California test number:
109 ................................................................................................................... 6-3.6, 3-9.3
110 ............................................................................................................................ 6-3.3
115 ............................................................................................................................ 6-3.2
121 ............................................................................................................................ 6-3.6
202 ............................................................................................................................ 6-3.2
223 ......................................................................................................................... 4-90.10
226 ........................................................................................................................... 4-20.3
231 ............................................................................................................................ 6-3.6
312 ................................................................................................................. 6-3.3, 6-1.20
338 ...................................................................................................... 4-27.2, 6-3.3, 6-1.20
339 ........................................................................................................................... 4-37.3
375 ........................................................................................................................... 6-1.17
504 ............................................................................................................... 6-3.2, 4-90.13
518 ................................................................................................................. 6-3.4, 4-72.3

I-2 Index
Index
523 ...........................................................................................................................4-40.4
526 ...................................................................................................... 6-3.3, 4-42.2, 4-40.8
California test number: (continued)
529 ........................................................................................................................ 4-90.14
533 ........................................................................................................................... 6-3.4
540 ........................................................................................................................... 6-3.4
541 .......................................................................................................................... 4-41.2
Carpobrotus cuttings ..................................................................................................... 4-20.8
Cash expenditure voucher .............................................................................................. 1-5.2
Cast-in-place
concrete pipe ............................................................................................................. 4-63.1
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
Certification of environmental compliance ..................................................................... 7-1.22
Certification of samplers and testers ............................................................................... 6-1.3
Chain link fence .............................................................................................................. 4-80.1
Chain link railing ............................................................................................................ 4-83.4
Changeable message signs, portable ............................................................................. 4-12.3
Channelizers ................................................................................................................... 4-12.2
Character of workers ....................................................................................................... 3-5.6
Claims .............................................................................................................................. 5-4.3
payments ..................................................................................................................... 5-4.20
resolution process ....................................................................................................... 5-4.13
Cleaning up, final ............................................................................................................ 3-4.1
Clearing and grubbing ................................................................................................... 4-16.1
Coating tests ................................................................................................................... 6-1.2
Compliance, Certificates of ............................................................................................. 3-6.2
Compressive strength samples & tests ........................................................................... 6-3.4
Concrete
compressive strength ................................................................................................. 6-3.4
curbs and sidewalks .................................................................................................. 4-73.1
pavement, portland cement ....................................................................................... 4-40.1
railing ......................................................................................................................... 4-83.4
removal ...................................................................................................................... 4-15.2
retaining walls ................................................................................................4-51.1, 6-1.11
structures .................................................................................................................. 4-51.1
Concrete barriers ............................................................................................................ 4-83.4
Concrete structures ........................................................................................................ 4-51.1
Cones, traffic .................................................................................................................. 4-12.3
Construction area signs ................................................................................................. 4-12.2
Construction area traffic control devices ....................................................................... 4-12.1
Contract acceptance ................................................................... See Acceptance of contract
Contract change order .................................................................................................... 5-3.1
Contract change order memorandum ............................................................................. 5-3.16

Index I-3
Index
Control
of materials .................................................................................................................. 3-6.1
of work ........................................................................................................................ 3-5.1
Controlling operation ..................................................................................................... 3-8.10
Copeland Act ................................................................................................................. 8-1.20
Corrugated metal pipe .................................................................................................... 4-66.1
Cost reduction incentive ................................................................................................. 3-5.7
Critical path method ........................................................................................................3-8.10
CTB ................................................................................................................................. 4-27.1
Culverts, concrete ........................................................................................................... 4-62.1
Curb ramps (wheelchair ramps) ....................................................................................... 4-73.1
Curbs and sidewalks .......................................................................................................4-73.1
Curing compound ............................................................................................................ 6-2.9
D
D
Daily extra work ............................................................................................................... 5-1.25
Damage, responsibility for ............................................................................................... 3-7.4
Damages, liquidated ........................................................................................................3-8.26
Dampproofing ................................................................................................................. 4-54.1
Davis Bacon Act .............................................................................................................8-1.21
DBE ......................................................................................................................... 3-8.1, 8-3.1
Decreased quantities, increased and ............................................................................... 3-4.2
Defective materials ........................................................................................................... 3-6.2
Delays, right of way ........................................................................................................3-8.35
Delineation ....................................................................................................................... 2-2.9
Delineators, markers ........................................................................................................4-82.1
Details, shop ...................................................................................................................4-56.1
Detours ............................................................................................................................ 3-4.5
Differing site conditions .................................................................................................. 3-5.4
Disadvantaged business enterprise(s) (DBE) .................................................................. 8-3.1
Disposal of material outside the highway right-of-way ..................................................3-7.10
Disposal, Staging and Borrow Sites (DSB) ...................................................................... 7-1.2
Dispute Review Board (DRB) ........................................................................................... 5-4.8
Disputes ........................................................................................................................... 5-4.1
Drain hole ........................................................................................................................4-86.7
Drainage inlets ................................................................................................................ 4-51.1
Drainage pumping equipment ......................................................................................... 4-74.1
Drains
horizontal ..................................................................................................................... 4-68.1
overside ....................................................................................................................... 4-69.1
subsurface ...................................................................................................................4-68.1
Dry sieve analysis ............................................................................................................ 6-3.3
Dump truck rental ............................................................................................................3-9.11
Dust control ....................................................................................................................4-10.1
Dust palliative ................................................................................................................. 4-18.1
DVBE ............................................................................................................................... 8-3.1

I-4 Index
Index
E
E
Earthwork ........................................................................................................................4-19.1
slipouts and slides ......................................................................................................4-19.7
slope rounding ............................................................................................................ 4-19.8
slopes, embankment .................................................................................................. 4-19.12
local borrow .................................................................................................................4-19.9
Edge drains .....................................................................................................................4-68.1
Electrical ..........................................................................................................................4-86.1
Eliminated items ............................................................................................................... 3-4.3
Employee complaints ....................................................................................................... 8-2.2
Emulsions, asphaltic ...................................................................................................... 4-94.1
Engineering fabrics ........................................................................................................ 4-88.1
Entrained air ................................................................................................................. 4-90.11
Environmental Compliance Certification ........................................................................ 7-1.22
Environmental Quality Act .............................................................................................. 7-1.2
Epoxy ............................................................................................................................. 4-95.1
Equal employment opportunity ....................................................................................... 8-2.1
Erosion control .............................................................................................................. 4-20.1
Erosion control and highway planting ........................................................................... 4-20.1
Excavation ...................................................................................................................... 4-19.1
Execution of contract ...................................................................................................... 3-3.1
Execution of contract, award and .................................................................................... 3-3.1
F
Expansion joint armor ..................................................................................................... 4-51.3
F
Fabrication, out of state .................................................................................................. 3-6.3
Facilities, existing highway ............................................................................................ 4-15.1
Fair Labor Standards Act ................................................................................................ 3-7.1
False Information Act ..................................................................................................... 8-1.21
Falsework ............................................................................................................. 3-7.2, 4-51.1
lighting ....................................................................................................................... 4-86.9
Fences ............................................................................................................................ 4-80.1
Field
Inspection ................................................................................................................... 6-3.1
Laboratory ................................................................................................................... 6-3.1
Office ........................................................................................................................... 1-4.1
Testing Equipment ...................................................................................................... 6-3.1
Filter fabric ..................................................................................................................... 4-88.1
Final cleaning up ............................................................................................................. 3-4.1
Finishing bridge decks ................................................................................................... 4-42.2
Finishing roadway ......................................................................................................... 4-22.1
Flagging ......................................................................................................................... 4-12.1
Flashing arrow signs ...................................................................................................... 4-12.2
Flashing beacons, portable ............................................................................................ 4-12.2
Fog seal coat .................................................................................................................. 4-39.9
Force account payment .......................................................................................... 3-9.6, 5-3.1
Foreign materials ............................................................................................................. 3-6.2

Index I-5
Index
Form
CEM-0101, Resident Engineer’s Report of Assignment .................................... 5-1.1, A-1.1
CEM-0501, Relief from Maintenance ................................................................. 5-1.2, A-1.2
CEM-0601, Construction Safety Report ............................................................ 5-1.2, A-1.3
CEM-0602, Project Safety Program Statement ................................................... 5-1.2, A-1.4
CEM-0603, Major Construction Incident Notification ....................................... 5-1.2, A-1.5
CEM-1101, Documents Bond of State Highway Oversight Projects ................. 5-1.2, A-1.7
CEM-1201, Subcontracting Request ................................................................. 5-1.2, A-1.9
Form (Continued)
CEM-2001, National Pollution Discharge Elimination System
Annual Certification .....................................................................................5-1.2, A-1.11
CEM-2002, Notification of Construction (NOC) .............................................. 5-1.2, A-1.13
CEM-2003, Notification of Completion of Construction (NCC) ....................... 5-1.3, A-1.17
CEM-2025, Solid Waste Disposal and Recycling Report ................................. 5-1.3, A-1.19
CEM-2101, COZEEP Daily Report ................................................................... 5-1.3, A-1.21
CEM-2102, COZEEP/MAZEEP Task Order ...................................................... 5-1.3, A-1.23
CEM-2103, COZEEP/MAZEEP Cancellation Form .......................................... 5-1.3, A-1.25
CEM-2401, Substitution Report for Disadvantaged Business
Enterprise/Disabled Veteran Business Enterprise ......................................... 5-1.3, A-1.27
CEM-2402(F), Final Report - Utilization of Disadvantaged Business
Enterprises (DBE), First-Tier Subcontractors
(Federally Funded Projects) .......................................................................... 5-1.3, A-1.29
CEM-2402(S), Final Report - Utilization of Disabled Veteran Business
Enterprises (DVBE) State Funded Projects ................................................... 5-1.4, A-1.31
CEM-2403(F), Disadvantaged Business Enterprises (DBE) Certification
Status Change .............................................................................................. 5-1.4, A-1.33
CEM-2404(F), Monthly DBE Trucking Verification .......................................... 5-1.4, A-1.35
CEM-2501, Fringe Benefit Statement ................................................................ 5-1.4, A-1.37
CEM-2502, Contractor/Subcontractor Payroll .................................................. 5-1.4, A-1.38
CEM-2503, Statement of Compliance ................................................................ 5-1.4, A-1.39
CEM-2504, Employee Interview: Labor Compliance/EEO ................................. 5-1.4, A-1.41
CEM-2504 (Spanish), Entrevista de Empleado: Labor Compliance/EEO ........... 5-1.4, A-1.43
CEM-2505, Owner - Operator Listing Statement of Compliance ....................... 5-1.5, A-1.45
CEM-2506, Labor Compliance – Wage Violation .............................................. 5-1.5, A-1.47
CEM-2507, Labor Violation: Case Summary ...................................................... 5-1.5, A-1.49
CEM-2508, Contractor’s Payroll Source Document Review ............................. 5-1.5, A-1.51
CEM-2509, Checklist – Source Document Review ........................................... 5-1.5, A-1.53
CEM-2601, Construction Progress Chart .......................................................... 5-1.5, A-1.55
CEM-2701, Weekly Statement of Working Days .............................................. 5-1.5, A-1.57
CEM-2702, Overrun in Contract Time ............................................................... 5-1.5, A-1.59
CEM-3101, Notice of Materials to be Used ...................................................... 5-1.5, A-1.61
CEM-3501, AC Production/Placement Checklist .............................................. 5-1.6, A-1.63
CEM-3701, Test Result Summary ...................................................................... 5-1.6, A-1.65
CEM-3702, Relative Compaction Summary ....................................................... 5-1.6, A-1.66
CEM-4101, Materials Release Summary ........................................................... 5-1.6, A-1.67
CEM-4102, Material Inspected and Released on Job ....................................... 5-1.6, A-1.68
CEM-4202, Material Plant Safety Checklist ...................................................... 5-1.6, A-1.61
CEM-4204, California Test 109 Sticker .......................................................................... 5-1.6

I-6 Index
Index
CEM-4501, Resident Engineer’s Daily Report/Assistant Resident Engineer’s

Daily Report .................................................................................................. 5-1.6, A-1.70
CEM-4601, Assistant Resident Engineer’s Daily Report .................................. 5-1.6, A-1.71
CEM-4701, Drainage System Summary ............................................................. 5-1.7 A-1.73
CEM-4801, Quantity Calculations .................................................................... 5-1.7, A-1.75
CEM-4900, Contract Change Order .................................................................. 5-1.7, A-1.76
CEM-4901, Contract Change Order Input ......................................................... 5-1.7, A-1.79
CEM-4902, Extra Work Bill (Short) .................................................................... 5-1.7, A-1.81
Form (Continued)
CEM 4902A, Extra Work Bill - Title Page .......................................................... 5-1.7, A-1.83
CEM-4902B, Extra Work Bill - Labor Charges ................................................... 5-1.7, A-1.85
CEM-4902C, Extra Work Bill - Equipment Charges ........................................... 5-1.8, A-1.87
CEM-4902D, Extra Work Bill - Material Charges ............................................... 5-1.8, A-1.89
CEM-4903, Contract Change Order Memorandum ........................................... 5-1.8, A-1.91
CEM-5101, Request for Payment for Materials on Hand .................................. 5-1.8, A-1.93
CEM-6001, Project Record - Estimate Request ................................................. 5-1.8, A-1.94
CEM-6002, Contract Administration System (CAS) – Report Requests .......... 5-1.8, A-1.95
CEM-6003, Progress Pay - Estimate Project Initiation or Update ..................... 5-1.8, A-1.96
CEM-6004, Contract Transactions Input ......................................................... 5-1.8, A-1.97
CEM-6201, Notice of Potential Claim ............................................................... 5-1.9, A-1.99
CEM-6201A, Initial Notice of Potential Claim ................................................. 5-1.9, A-1.101
CEM-6201B, Supplemental Notice of Potential Claim ..................................... 5-1.9, A-1.103
CEM-6201C, Full and Final Documentation of Potential Claim ....................... 5-1.9, A-1.105
CEM-6202, Disputes Review Board (DRB) Establishment ............................. 5-1.9, A-1.107
CEM-6203, Disputes Review Board (DRB) Update Report ............................. 5-1.9, A-1.109
CEM-6204, Disputes Review Board (DRB) Issue Report ................................ 5-1.9, A-1.111
CEM-6205, Disputes Review Board (DRB) Completion Report ...................... 5-1.9, A-1.113
CEM-6301, Contract Acceptance .................................................................. 5-1.10, A-1.115
CEM-9001, Construction Manual Proposed Change .................................... 5-1.10, A-1.117
Office of Materials Engineering and Testing Services Forms
TL-0028, Notice of Materials to be Inspected .......................................................... 5-1.10
TL-0029, Report of Inspection of Material ............................................................... 5-1.10
TL-0101, Sample Identification Card ...................................................... 5-1.10, A-1.118
TL-0502, Field Sample of Portland Cement Concrete Sample Card ....... 5-1.10, A-1.119
MR-0518, Job Cement Samples Record ................................................... 5-1.10, A-1.120
TL-0608, Notice of Materials to be Furnished .......................................................... 5-1.10
TL-0624, Inspection Release Tag .............................................................................. 5-1.11
TL-0649, Inspector’s Report of Material on Hand .................................................... 5-1.11
TL-3096, Pavement Core Record .............................................................................. 5-1.11
TL-6037, Fabrication Progress Report ...................................................................... 5-1.11
Other State Forms
DAS-1, Apprentice Agreement ................................................................................. 5-1.11
H-ESP-16, Request for Construction Staking ........................................................... 5-1.11
LA-16, Product, Material, or Method Report ............................................... 5-1.11, A-1.121
LA-17, Report of Chemical Spray Operations .............................................. 5-1.11, A-1.122
TR-0019, Notice of Change in Clearance or Bridge Weight Rating .............. 5-1.12, A-1.123

Index I-7
Index
TR-0020, Notice of Change in Vertical or Horizontal Clearance ................... 5-1.12, A-1.124

TR-0029, Notice of Change in Clearance or Bridge Weight Rating .............. 5-1.12, A-1.125
Federal Forms
FHWA-47 Statement of Materials and Labor used by Contractors on Highway
Construction involving Federal Funds ................................................................. 5-1.12
FHWA-1022, United States Department of Transportation Notice ......................... 5-1.12
FHWA-1391 Federal-Aid Highway Construction
Contractors Annual EEO Report .......................................................................... 5-1.12
Form (Continued) ....................................................................................................................................................
DOL SF-308 Request for Wage Determination and Response to Request ............. 5-1.13
Equal Employment Opportunity is the Law Poster ................................................. 5-1.13
FHWA-1495, Wage Rate Information Federal-Aid Highway Project ........................ 5-1.13
Forms used for contract administration .......................................................................... 5-1.1
Funds/Funding ...................................................................................................... 5-2.1, 9-1.1
G
G
Geo-synthetics ............................................................................................................... 6-1.26
Glass beads .................................................................................................................... 4-84.1
Grading plane .................................................................................................................. 3-5.3
Grates, frames and miscellaneous metal ......................................................................... 4-75.1
Groove and grind pavement ........................................................................................... 4-42.1
Guard railing, metal beam ............................................................................................... 4-83.1
Guide posts ..................................................................................................................... 6-1.2
H
H
Handrailing ..................................................................................................................... 4-83.4
Highway facilities, existing ............................................................................................. 4-15.1
Highway planting ............................................................................................................ 4-20.1
Hook details ....................................................................................................................4-52.1
Horizontal drains ............................................................................................................. 4-68.1
Hydraulic jacks ................................................................................................................ 6-3.3
Hydroseeding ................................................................................................................. 4-20.2
I
I
Imported borrow ................................................................................................. 4-19.9, 6-1.23
Increased and decreased quantities ................................................................................. 3-4.2
Indemnification and insurance ......................................................................................... 3-7.8
Independent assurance sampling and testing ................................................................. 6-1.3
Items
eliminated ..................................................................................................................... 3-4.3
final pay ........................................................................................................................ 3-9.6

I-8 Index
Index
J
J
Jacking
corrugated steel pipe ...................................................................................................4-66.2
pavement .....................................................................................................................4-41.1
reinforced concrete pipe ..............................................................................................4-65.2
Job categories, alphabetical list of ..................................................................................5-1.32
Job categories, numerical list of ......................................................................................5-1.30
Joint filler expansion .......................................................................................................6-1.26
Joint sealing compounds ...................................................................................... 6-1.26, 6-2.6
L
L
Labor surcharge ............................................................................................................... 3-9.8
Labor Code ............................................................................................................. 8-1.1, 3-7.1
Labor compliance ............................................................................................................. 8-1.1
Laws to be observed ........................................................................................................ 3-7.1
Lean concrete base ......................................................................................................... 4-28.1
Legal relations and responsibility .................................................................................... 3-7.1
Licensing laws, contractor ............................................................................................... 3-7.1
Lime stabilization ............................................................................................................4-24.1
Lines and grades .............................................................................................................. 3-5.3
Liquid asphalts ..................................................................................................... 4-93.1, 6-1.4
Load limitations ................................................................................................................ 3-7.1
Local
Funding ........................................................................................................................ 9-1.1
Roads ........................................................................................................................... 3-4.5
Local borrow ...................................................................................................................4-19.9
Local material ................................................................................................................... 3-6.4
Log of test borings .......................................................................................................... 3-5.4
M
M
Maintenance and responsibility, relief from ....................................................................3-7.10
Maintenance Within Construction Limits ........................................................................ 3-7.6
Manholes ........................................................................................................................4-70.1
Manual on Uniform Traffic Control Devices ................................................ 2-2.1, 1-3.4, 4-12.1
Markers
and delineators ............................................................................................................4-82.1
object ...........................................................................................................................4-82.1
pavement .....................................................................................................................4-85.1
Median barriers ...............................................................................................................4-83.3
Mesh-reinforcing ............................................................................................................6-1.27
Metal beam guard railing ................................................................................................4-83.1
Metal railing ....................................................................................................................4-83.2
Mineral admixtures ........................................................................................................ 4-90.14
Minor B projects .............................................................................................................. 3-2.1

Index I-9
Index
Minor concrete ............................................................................................................... 4-90.5

Minor structures ............................................................................................................. 4-51.2
Miscellaneous
iron and steel ............................................................................................................... 4-75.1
metal ............................................................................................................................ 4-75.1
Miscellaneous facilities ................................................................................................... 4-70.1
Mix design ...................................................................................................................... 4-90.7
Mobilization ....................................................................................................................4-11.1
Monuments ..................................................................................................................... 4-81.1
N
N
Negative Estimates ......................................................................................................... 3-9.24
Night work .............................................................................................................. 2-2.8, 7-1.8
Noise Control .................................................................................................................. 7-1.11
Non-highway facilities, utility ......................................................................................... 3-8.36
Notices, stop ................................................................................................................... 3-9.15
Nuclear Gauges ....................................................................................................... 1-4.2, 6-3.6
O
O
Object markers ................................................................................................................ 4-82.1
Obliterating roads and detours ....................................................................................... 4-15.1
Office Engineer, Office of ................................................................................................. 3-3.1
Operation, controlling ........................................................................................... 3-8.10, 5-0.5
Order of work .......................................................................................................... 3-5.2, 3-7.5
Overhead claims ..............................................................................................................5-4.21
Overhead costs, adjustment of .................................................................... 3-9.6, 5-3.6, 5-3.14
Overhead sign structures ................................................................................................ 4-56.2
Overside drains ............................................................................................................... 4-69.1
Oversight ......................................................................................................................... 9-2.1
Owner-operated equipment ........................................................................ 3-9.11, 5-5.6, 8-1.11
Owner-operators ............................................................................. 5-1.4, 8-1.10, 8-1.11, 8-1.14
P
P
Palliative, dust ................................................................................................................. 4-18.1
Partial payments ..............................................................................................................3-9.16
Pavement
asphalt concrete .......................................................................................................... 4-39.1
joints, longitudinal ...................................................................................................... 4-39.9
joints, transverse ......................................................................................................... 4-39.9
grind ............................................................................................................................ 4-42.1
groove ......................................................................................................................... 4-42.1
jacking ......................................................................................................................... 4-41.1
portland cement concrete ............................................................................................ 4-40.1
subsealing ................................................................................................................... 4-41.1
Pavement markers ........................................................................................................... 4-85.1
Pavement recesses .......................................................................................................... 4-85.2
Pavement reinforcing fabric ............................................................................................4-88.1

I-10 Index
Index
Payment
final ..............................................................................................................................3-9.24
force account ................................................................................................................ 3-9.6
measurement and .......................................................................................................... 3-9.1
offset ...........................................................................................................................3-9.24
Payroll records ................................................................................................................. 8-1.5
PCC pavement (see also portland cement concrete)
joints, contact ..............................................................................................................4-40.8
joints, weakened plane ................................................................................................4-40.7
slip-form ......................................................................................................................4-40.2
thickness deficiency .................................................................................................. 4-40.10
tie bars for ................................................................................................................... 4-40.3
water supply for ..........................................................................................................4-90.5
weakened plane joints .................................................................................................4-40.7
Penetration treatment ......................................................................................................6-1.24
Perforated pipe ................................................................................................................4-68.1
Permeable base
asphalt treated .............................................................................................................4-29.2
cement treated .............................................................................................................4-29.2
Permits ............................................................................................................................7-1.13
encroachment ............................................................................................................... 9-1.4
Pervious backfill material .............................................................................................. 4-19.11
Pesticides ........................................................................................................................4-20.6
Pigmented curing compound ..........................................................................................6-1.10
Piling ...............................................................................................................................4-49.1
Pipe
alternative pipe and pipe arch culverts ........................................................................4-62.1
cast-in-place concrete .................................................................................................4-63.1
corrugated metal ..........................................................................................................4-66.1
corrugated metal, aluminum .........................................................................................4-66.1
corrugated metal, steel ................................................................................................4-66.1
plastic ..........................................................................................................................4-64.1
reinforced concrete ......................................................................................................4-65.1
structural metal plate ...................................................................................................4-67.1
Plans
working drawings ......................................................................................................... 3-5.1
intent of ........................................................................................................................ 3-4.1
Plant establishment work .............................................................................................. 4-20.12
Plant pumping equipment ...............................................................................................4-74.1
Plant stakes, highway planting ..................................................................................... 4-20.10
Plants
highway planting and erosion control ........................................................................4-20.1
watering ..................................................................................................................... 4-20.11
Plastic pipe .......................................................................................................... 4-64.1, 4-20.1

Index I-11
Index
Pollution control
air .................................................................................................................................. 7-1.6
storm water ................................................................................................................... 7-1.6
water ............................................................................................................................. 7-1.6
Polysulfide ...................................................................................................................... 6-1.26
Polyurethane ...................................................................................................................6-1.26
Portable
changeable message signs ..........................................................................................4-12.3
delineators ...................................................................................................................4-12.2
Portland cement concrete ................................................................................................4-90.1
admixtures ......................................................................................................... 4-90.3, 6-1.9
compressive strength ................................................................................................... 6-3.4
Portland cement concrete pavement ...............................................................................4-40.1
Potential claim, notice of ................................................................... 5-4.2, 5-4.6, 5-4.14, 5-4.22
Precast raised traffic bars ................................................................................................. 6-2.8
Preconstruction Conference ............................................................................................ 5-0.3
Preliminary tests .................................................................................................... 6-1.1, 5-1.19
Preparing planting areas .................................................................................................4-20.9
Preservation of property .................................................................................................. 3-7.8
Preservative treatment of lumber, timber and piling ........................................................4-58.1
Prestressing concrete ......................................................................................................4-50.1
Prevailing wage ............................................................................................................... 8-1.16
Priority tests ..................................................................................................................... 6-1.2
Procedure and protest ...................................................................................................... 3-4.2
Profile index ..................................................................................................................... 4-42.2
Profilograph ..................................................................................................................... 6-3.3
Progress
of work ........................................................................................................................3-8.26
prosecution .................................................................................................................. 3-8.1
schedule ...................................................................................................................... 3-8.10
Progress pay estimate project initiation of update ..................................... 3-8.9, 5-1.59, 5-1.69
Project certification .......................................................................................................... 6-1.5
Project records ................................................................................................................. 5-1.1
categories, alphabetical list of .....................................................................................5-1.32
categories, numerical list of .........................................................................................5-1.30
Property, preservation ...................................................................................................... 3-7.8
Proposal requirements and conditions ............................................................................ 3-2.1
Proposed final estimate ................................................................................................... 3-9.29
Prosecution and progress ................................................................................................ 3-8.1
Public access to project records .....................................................................................5-1.69
Public convenience .......................................................................................................... 3-7.3

I-12 Index
Index
Public interest .................................................................................................................. 3-6.6

Public relations ................................................................................................................ 1-2.1
Pull boxes ........................................................................................................................4-86.7
Q
Q
Quality Assurance Program ........................................................................... 3-9.3, 6-1.3, 9-1.3
R
R
Railings (Type K), temporary .............................................................................. 4-12.2, 4-83.1
Railings and barriers .......................................................................................................4-83.1
Reinforced concrete pipe ................................................................................................4-65.1
Reinforcing bars ..............................................................................................................4-52.1
Reinforcing fabric ............................................................................................................4-88.1
Relative compaction ......................................................................................................... 6-3.6
Relief from maintenance and responsibility ....................................................................3-7.10
Remote control valves .................................................................................................. 4-20.15
Removal of rejected and unauthorized work .................................................................... 3-5.3
Removal, bridge ..............................................................................................................4-15.2
Rental
dump truck ..................................................................................................................3-9.11
equipment ..................................................................................................................... 3-9.9
Responsibility for damage ............................................................................................... 3-7.4
Retaining walls, concrete .................................................................................... 4-51.1, 6-1.11
Retroreflective pavement markers ...................................................................................4-85.1
Right-of-way delays ........................................................................................................3-8.35
Rights in land and improvements ....................................................................................3-7.12
Roadside signs ............................................................................................................... 4-56.1
Roadway excavation .......................................................................................................4-19.1
Rock slope protection .....................................................................................................4-72.1
Rock slope protection fabric ...........................................................................................4-88.1
Root protectors, highway planting ................................................................................. 4-20.5
Rubber ............................................................................................................................. 6-1.2
S
S
Safety and health provisions ........................................................................................... 2-1.1
Sample .............................................................................................................................. 6-1.1
Sampling & testing .......................................................................................................... 6-1.1
Scale sheets ..................................................................................................................... 3-9.4
Scales ............................................................................................................................... 6-3.2
Scales and balances ......................................................................................................... 6-3.2
Scope of work .................................................................................................................. 3-4.1
Screens and sieves .......................................................................................................... 6-3.2

Index I-13
Index
Seal coats ........................................................................................................................4-37.1

Seed ................................................................................................................................4-20.2
Semifinal estimate ............................................................................................................3-9.33
Shop details ....................................................................................................................4-56.1
Shoring ........................................................................................................................... 4-19.1
Shortage of materials ......................................................................................................3-8.28
Shotcrete .........................................................................................................................4-53.1
Sidehill embankment .......................................................................................................4-19.5
Sidewalks ........................................................................................................................4-73.1
Sieve analysis .................................................................................................................. 6-3.2
Sign structures ................................................................................................................4-56.1
Signals, lighting and electrical systems ..........................................................................4-86.1
Signs ...............................................................................................................................4-56.1
Silos, asphalt concrete ....................................................................................................4-39.8
Slides and slipouts ..........................................................................................................4-19.7
Slipouts and slides ..........................................................................................................4-19.7
Slope
embankment .............................................................................................................. 4-19.12
paving .........................................................................................................................4-72.4
protection ....................................................................................................................4-72.1
rounding ......................................................................................................................4-19.8
Slotted pipe, edge drains ................................................................................................4-68.4
Slurry seal ........................................................................................................... 4-37.5, 6-1.24
Surface Mining and Reclamation Act of 1975 (SMARA) ................................................. 7-1.4
Soil, basement .................................................................................................................6-1.23
Solid Waste Disposal & Recycling Report .................................................................... 7-1..22
Sound control requirements ............................................................................................. 3-7.3
Source documents ........................................................................................................... 3-9.2
Special forces ..................................................................................................................3-9.13
Special services ............................................................................................................... 3-9.13
Speed zones ..................................................................................................................... 2-2.7
Stakes and marks ............................................................................................................. 3-5.3
State Contract Act ............................................................................................................ 1-1.5
State-furnished materials ................................................................................................. 3-6.1
State Right of Way, contractor’s use ............................................................................... 7-1.5
Stop notices ....................................................................................................................3-9.15
Straw, erosion control .....................................................................................................4-20.2
Striping ........................................................................................................................... 4-84.1
Structural metal plate pipe, arches and pipe arches ........................................................4-67.1
Structural steel ................................................................................................................4-51.1
Structure backfill ................................................................................................ 4-19.11, 6-1.25
Structure excavation .......................................................................................................4-19.3
Structure excavation and backfill ....................................................................................4-19.3
Styrofoam filler ................................................................................................................. 6-2.8
Subbases, aggregate ........................................................................................... 4-25.1, 6-1.22
Subcontracting ................................................................................................................ 3-8.1
Subsealing pavement ......................................................................................................4-41.1
Subsistence and travel allowance ........................................................................... 3-9.8, 8-1.6

I-14 Index
Index
Substitution request-DBE/DVBE
8-3.7
Subsurface drains ...........................................................................................................4-68.1
Superintendence .............................................................................................................. 3-5.2
Surcharge, labor ............................................................................................................... 3-9.8
Survey monuments .........................................................................................................4-81.1
Suspension of work, temporary ...................................................................................... 3-8.10
T
T
Tapered notch wedge ........................................................................................... 4-39.1,4-39.9
Temporary railing (Type K) .............................................................................................4-12.2
Temporary suspension of work .......................................................................................3-8.10
Termination of contract ...................................................................................................3-8.38
Termination of control .....................................................................................................3-8.31
Test borings, log of .......................................................................................................... 3-5.4
Test/testing ...................................................................................................................... 6-3.1
Test cylinders ................................................................................................................... 6-3.4
Thermoplastic traffic stripes and pavement markings .....................................................4-84.1
Thrie beam barrier ...........................................................................................................4-83.2
Tile .................................................................................................................................. 6-2.8
Timber piles ..................................................................................................................... 3-8.29
Timber structures ............................................................................................................4-57.1
Time of completion ......................................................................................................... 3-8.11
Traffic cones ...................................................................................................................4-12.3
Traffic control devices, construction area ......................................................................4-12.1
Training ............................................................................................................................ 1-3.1
Treated permeable bases ................................................................................................4-29.1
Trenches .........................................................................................................................4-19.5
Truck rental, dump ..........................................................................................................3-9.11
U
U
Underdrains .................................................................................................................... 4-68.1
Unsuitable material
earthwork ..................................................................................................................... 4-19.6
removing ..................................................................................................................... 4-19.6
Use of materials found on the work ................................................................................. 3-4.6
Use of pesticides ............................................................................................................4-20.6
V
Utility and non-highway facilities ...................................................................................3-8.36
V
Vehicle Code .................................................................................................................... 3-7.1
Vehicle detectors .............................................................................................................4-86.9
W
W
Wage, prevailing .............................................................................................................8-1.16
Water ..............................................................................................................................4-17.1
Water pollution control .................................................................................................... 7-1.6
Water pollution control plan ...........................................................................................7-1.10

Index I-15
Index
Water supply ................................................................................................................. 4-17.1

Waterproofing ..................................................................................................... 4-54.1, 6-1.27
Waterproofing, asphalt membrane ................................................................................. 4-54.1
Waterstops, concrete structures .................................................................................... 4-51.4
Weep holes
concrete slope protection ........................................................................................... 4-72.4
concrete structures ..................................................................................................... 4-51.4
Weigh sheets ................................................................................................................. 4-20.3
Weights and measures .................................................................................................... 3-9.2
Welded steel pipe ........................................................................................................... 4-70.1
Welded wire fabric ............................................................................................... 4-52.1, 6-2.8
Wheelchair ramps
curb ramps, concrete .................................................................................................. 4-73.1
Windrows ....................................................................................................................... 4-39.9
Wire mesh, fences .......................................................................................................... 4-80.1
Wire mesh reinforcing .................................................................................................... 6-1.27
Wiring .......................................................................................................................... 4-20.17
Working drawings ........................................................................................................... 3-5.1

I-16 Index

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CALIFORNIA

BRENT FELKER ROBERT PIEPLOW

JOHN MCMILLAN MICHAEL KISSEL

MARK M. BRYNER - MILTON M. COSTELLO - ROY L. FISHER – and BRIAN SYFTESTAD

ALFRED BLUM – THERESA McCOURT - JOHN RODRIGUEZ - and CAROL ROSS

FAX: (916) 324-8997

1 Caltrans Construction Organization

2 Safety and Traffic

California Department of Transportation • Construction Manual • December 2003

4-16 Clearing and Grubbing

California Department of Transportation • Construction Manual • December 2003

4-64 Plastic Pipe

5-5 Emergency Contract Administration

6 Sampling and Testing

9 Projects Funded by Others

APPENDIX 1 Sample Forms

California Department of Transportation • Construction Manual • July 2004

Construction Manual Overview Construction

1-002 Scope 1-002

California Department of Transportation • Construction Manual • July 2001

1-004 1-004 Changes

California Department of Transportation • Construction Manual • July 2001

Section 1 Construction Organization

1-102 Division of Construction Organization

1-103 District Construction Organization

1-104 Office of Structure Construction Organization

1-105 Construction Project Organization

1-106 Local Projects

California Department of Transportation • Construction Manual • July 2001

1-102 Division of Construction Organization 1-102

California Department of Transportation • Construction Manual • July 2001

1-103 1-103 District Construction Organization

California Department of Transportation • Construction Manual • July 2001

1-104 Office of Structure Construction Organization 1-104

California Department of Transportation • Construction Manual • July 2001

1-105 1-105 Construction Project Organization

California Department of Transportation • Construction Manual • July 2001

California Department of Transportation • Construction Manual • July 2001

California Department of Transportation • Construction Manual • July 2001

California Department of Transportation • Construction Manual • July 2001

California Department of Transportation • Construction Manual • July 2001

Section 2 Public Relations

1-202 Relations Among Caltrans Personnel

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

California Department of Transportation • Construction Manual • July 2001

1-201 General 1-201

1-202 Relations Among Caltrans Personnel 1-202

California Department of Transportation • Construction Manual • July 2001

1-203 1-203 Relations With the Contractor

California Department of Transportation • Construction Manual • July 2001

1-205 Relations With Property Owners 1-205

1-206 Relations With the General Public 1-206

California Department of Transportation • Construction Manual • August 2005

California Department of Transportation • Construction Manual • August 2005

Section 3 Personnel Development

1-302 District Role