CONSTRUCTION MANUAL

CALIFORNIA D E PA R T M E N T OF T R A N S P O R TAT I O N
CONSTRUCTION
MANUAL

Partnering
Our way of doing business
 STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION

Construction Manual
(MCT 17-1)

Issued by
Division of Construction

EDMUND G. BROWN, JR.

Governor

MALCOLM DOUGHERTY
Director, Department of Transportation

KOME AJISE
Chief Deputy Director

KARLA SUTLIFF RACHEL FALSETTI

Chief Engineer Chief, Division of Construction

JOHN STAYTON PAT MALONEY

Assistant Division Chief, Construction Chief, Office of Construction Support

CONSTRUCTION PUBLICATIONS AUSTIN PEREZ

Editing Team Technical Support
 ©Copyright 2017 California Department of Transportation
All Rights Reserved. (No part of this manual may be reproduced in any form or by any electronic or
mechanical means including information storage and retrieval systems without permission in writing from the
California Department of Transportation).

Visit our website to download an electronic copy of this manual:

http://www.dot.ca.gov/hq/construc/constmanual/
 S T A T E O F C A L I F O R N I A • D E P A R T M E N T OF T R A N S P O R T A T I O N

CONSTRUCTION MANUAL
TABLE OF CONTENTS

Chapter-Section

1 Caltrans Construction Organization

1-0 Construction Manual Overview

1-1 Construction Organization
1-2 Public Relations
1-3 Personnel Development
1-4 Facilities and Equipment
1-5 Field Expenses and Purchases

2 Safety and Traffic

2-1 Safety
2-2 Traffic
2-3 Major Construction Incidents

3 General Provisions

3-0 Introduction
3-1 General
3-2 Bidding
3-3 Contract Award and Execution
3-4 Scope of Work
3-5 Control of Work
3-6 Control of Materials
3-7 Legal Relations and Responsibility to the Public
3-8 Prosecution and Progress
3-9 Payment

4 Construction Details

4-00 Introduction
4-10 General Construction
4-11 Welding
4-12 Temporary Traffic Control

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CONSTRUCTION MANUAL
TABLE OF CONTENTS

Chapter-Section

4-15 Existing Facilities

4-16 Temporary Facilities
4-17 Clearing and Grubbing
4-18 Dust Palliatives
4-19 Earthwork
4-20 Landscape
4-21 Erosion Control
4-22 Finishing Roadway
4-24 Stabilized Soils
4-25 Aggregate Subbases
4-26 Aggregate Bases
4-27 Cement Treated Bases
4-28 Concrete Bases
4-29 Treated Permeable Bases
4-30 Reclaimed Pavements
4-36 Surfacing and Pavements—General
4-37 Seal Coats
4-39 Asphalt Concrete
4-40 Concrete Pavement
4-41 Existing Concrete Pavement
4-42 Groove and Grind Concrete
4-46 Ground Anchors and Soil Nails
4-47 Earth Retaining Systems
4-48 Temporary Structures
4-49 Piling
4-50 Prestressing Concrete
4-51 Concrete Structures
4-52 Reinforcement
4-53 Shotcrete
4-54 Waterproofing
4-55 Steel Structures

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CONSTRUCTION MANUAL
TABLE OF CONTENTS

Chapter-Section

4-56 Overhead Sign Structures, Standards, and Poles

4-57 Wood and Plastic Lumber Structures
4-58 Sound Walls
4-59 Structural Steel Coatings
4-60 Existing Structures
4-61 Drainage Facilities—General
4-64 Plastic Pipe
4-65 Concrete Pipe
4-66 Corrugated Metal Pipe
4-67 Structural Plate Culverts
4-68 Subsurface Drains
4-69 Overside Drains
4-70 Miscellaneous Drainage Facilities
4-71 Existing Drainage Facilities
4-72 Slope Protection
4-73 Concrete Curbs and Sidewalks
4-74 Pumping Equipment and Controls
4-75 Miscellaneous Metal
4-78 Incidental Construction
4-80 Fences
4-81 Miscellaneous Traffic Control Devices
4-82 Signs and Markers
4-83 Railings and Barriers
4-84 Markings
4-86 Electrical Equipment and Materials
4-87 Electrical Systems
4-90 Concrete
4-91 Paint
4-92 Asphalt Binders
4-94 Asphaltic Emulsions
4-95 Epoxy
4-96 Geosynthetics

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CONSTRUCTION MANUAL
TABLE OF CONTENTS

5 Contract Administration

5-0 Conduct of the Work

5-1 Project Records and Reports
5-2 Funds
5-3 Change Orders
5-4 Disputes
5-5 Emergency Contract Administration

6 Sampling and Testing

6-1 Sample Types and Frequencies

6-2 Acceptance of Manufactured or Fabricated Materials and Products
6-3 Field Tests

7 Environmental Stewardship

7-1 Environmental Rules and Requirements

8 Employment Practices

8-1 Labor Compliance

8-2 Equal Employment Opportunity
8-3 Disadvantaged Business Enterprises and Disabled Veteran Business
Enterprises

9 Projects Sponsored by Others

9-1 Construction Contract Administration for Projects Sponsored by Others

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

INDEX

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TOC.4 Table of Contents
 Chapter 1- Caltrans
Construction Organization
Chapter 1 Caltrans Construction Organization
Section 0
Section 0 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 interpret contract documents and plans, and how to apply engineering
experience and judgment is important. The Construction Manual provides guidance for
the administration of construction contracts and is not a replacement but rather a
supplement to engineering experience and judgment, as well as personnel training and
development.
Caltrans intends that this manual be used as a resource to provide procedural guidance
for personnel engaged in contract administration. This manual is a guide, not a
compilation of mandatory instructions. Unless guiding language is explicitly
mandatory, personnel are expected to perform in accordance with the guidance in this
manual within the resources allotted for construction contract administration. The
resident engineer has a primary role of contract administration and is in responsible
charge for administration of the contract. The assistant resident engineer (inspector) has
a primary role of field inspection of contractor quality of work. The resident engineer
coordinates with inspectors to determine appropriate priorities for testing and
inspection of work quality based on contractor-proposed order of work for the shift. A
contract may have one or more inspectors assigned and each may have one or more
activities to inspect as part of their daily responsibilities. There is no contractual
requirement to provide full time inspection of any activity; inspectors may not be on
site from start to end of contractor operations, and they may be required, due to staffing
levels, to rotate inspection activities among their assigned work areas during the work
shift or as work progresses. The provisions herein for contract inspection are only
applicable when the inspector is present and observing a particular contractor operation
and recognizes the issue as it develops or after completion of the work.
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 use the manual as a substitute or supplement
to the specifications and other contract requirements. Similarly, the guidance in this
manual does not relieve contractors from their obligation and responsibility for their
means and methods, quality control, and compliance with contract requirements.
1-002 Scope 1-002
This manual covers topics in two general areas: Scope
1. Policies and procedures related to Caltrans construction personnel. This topic
includes internal policies and procedures for the following areas:
• Safety
• Training

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Construction Manual Overview 1-0.1
 • 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
• Inspection, testing, 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 engineer working in
the field must have a thorough understanding of the specifications and other contract
requirements.
The manual contains many references to other publications and documents, including
other Caltrans manuals and publications. However, we have made a concerted effort to
minimize any repetition of information found in other publications.
This manual is not designed to establish a legal standard of care. It is published solely
for the information and guidance of the employees of Caltrans. Also, it is not intended
that any standard of conduct or duty toward the public shall be created or imposed by
the publication of this manual. Each chapter in this manual is subject to modifications
as conditions warrant.

1-003 1-003 Format

Format The manual has been carefully organized to reflect, as much as possible, the general
organization of the Standard Specifications. Chapters are organized to logically lead
the user through the general process of contract administration. For quick reference, an
outline of many sections is included at the beginning of those sections, and the major
headings are shown in the outside margin of each page.
1-004 1-004 Changes
Changes The Division of Construction issues Construction Policy Bulletins (CPBs) to change
policies and procedures. CPBs supersede any conflicting information, guideline, or
instruction in the manual.
Be alert for new or revised specifications that may affect the current manual guidelines
for contract administration. As specifications, practices, procedures, and policies
change, CPBs will be issued. From time to time, subsequent revisions will be made to
the manual.
If a policy contained in this manual is unclear or has been superseded and no CPB has
been issued covering the changed policy, use the following procedure to recommend a
manual change:
Complete Form CEM-9001, “Construction Manual Proposed Change,” and send it to
[email protected]. Explain the reason for the proposed change and
attach a draft of the proposed revision.
The Division of Construction will review the proposed change and make a decision
regarding future revision.

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1-0.2 Construction Manual Overview
Chapter 1 Caltrans Construction Organization

Section 1 Construction Organization

1-101 General
1-102 Division of Construction Organization
1-102A Division of Construction Chief
1-102B Assistant Division of Construction Chief
1-102C Office Chiefs and Staff
1-102D 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 Structure Construction Organization
1-104A Structure Construction Chief
1-104B Structure Construction Manager
1-104C Structure Construction Engineer
1-105 Construction Project Organization
1-105A Using Personnel From Structure Construction
1-105B Resident Engineer
1-105C Structure Representative
1-105D Assistant Resident Engineer
1-105E Field Office Engineer
1-105F Specialists and Coordinators
1-106 Proper Charging Practices
1-107 Local Projects

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Construction Organization 1-1.i
Chapter 1 Caltrans Construction Organization
Section 1
Section 1 Construction Organization Construction
Organization
1-101 General 1-101
According to the California Government Code, the powers and duties of Caltrans General
include constructing transportation systems.
The Streets and Highways Code directs Caltrans to lay out and construct all state
highways between the termini designated by law and on the locations determined by
the California Transportation Commission. This code also authorizes Caltrans to enter
into contracts required for Caltrans to perform its duties.
The Caltrans director has delegated to the deputy director of Project Delivery various
responsibilities for administering construction contracts. In turn, the deputy director of
Project Delivery has delegated many of these responsibilities to the Division of
Construction chief.
The majority of Caltrans construction contracts receive federal aid. Consequently,
federal regulations take precedence over state law and Caltrans policy.
1-102 Division of Construction Organization 1-102
The following are the responsibilities of personnel in the Division of Construction. Division 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 Deputy Division of Construction Chief
The deputy division chief provides guidance to office chiefs for development of
construction standards, policies, and procedures for statewide consistency; assists the
division chief; and acts as division chief when delegated.
1-102C 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.

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Construction Organization 1-1.1
 Office chiefs and their staff collaborate with the construction industry and other
stakeholders to improve the administration of construction contracts.
1-102D Construction Field Coordinator
Construction field coordinators are responsible for the following:
• Counseling assigned districts on Division of Construction policy.
• Validating that district construction contracts are administered fairly and in good
faith.
• Advising district construction managers on complex and sensitive issues in
construction contracts.
1-103 1-103 District Construction Organization
District Construction A district must manage all construction contracts in accordance with statutory
Organization requirements, Caltrans directives, and Division of Construction policies.
The following include the responsibilities of district personnel for administering
construction contracts.
1-103A District Director
Within district boundaries, the district director must efficiently administer and operate
Caltrans construction activities.
1-103B District Construction Deputy Director
The district construction deputy director must execute 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 and Caltrans
directives.
• Implementing Division of Construction objectives.
• Coordinating construction activities with other district functions.
• Recommending to the Division of Construction chief revisions to the policies and
procedures outlined in this manual.
1-103C Construction Manager
In districts with large construction programs, the construction manager must execute
within district boundaries the assigned portion of Caltrans construction activities. The
duties of the position include the following:
• Budgeting for personnel and other resources necessary to administer contracts.
• Obtaining and providing training for all activities related to contract administration
and construction engineering.
• Coordinating construction activities with other district functions.

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

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Construction Organization 1-1.3
 • Recommending to the Division of Construction chief revisions to the Division of
Construction’s policies and objectives.
• Producing and distributing policies and procedures for inspecting and
administering structure construction work.
1-104B Structure Construction Manager
The structure construction manager is responsible for the structure construction staff
within a designated area of the state. The area may include one or more districts or a
portion of a metropolitan area or district. The duties of the position include the
following:
• Assigning structure construction staff within the 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 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.
• Allow for adequate training for assigned structure construction personnel.
• Collaborating with the Division of 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 change orders and time
extensions on structure work items.
• Ensuring and verifying that the maintenance of project records complies with this
manual.
• Ensuring the performance of Caltrans employees’ safety-related activities.
• Ensuring that the practice of civil engineering on contracts in the assigned area
complies with the Professional Engineers 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

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1-1.4 Construction Organization
may be assigned as resident engineer over several contracts. Field office assistants,
assistant resident engineers, and other support personnel are assigned as necessary.
The district must obtain maximum efficiency on the project with a minimum number
of personnel. This expectation means that all personnel must have adequate training.
Depending on the project size, a full-time office assistant may be assigned for the
clerical work.
In some instances, several smaller projects may be grouped together and administered
from a single field office, making it possible to employ full-time clerical office
assistants.
Personnel furnished by engineering consultants may be assigned to the project as
assistant resident engineers. The resident engineer must be familiar with the terms of
the engineering consultant contract. The resident engineer must also monitor the
performance of the consultant personnel.
1-105A Using Personnel From Structure Construction
When structure work predominates, the districts may use structure construction
personnel as resident engineers. Upon district request, Structure Construction will
select staff acceptable to the district as resident engineers.
All resident engineers, whether from Structure Construction or district personnel,
report and act through the district.
To provide 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 5-1.03, “Engineer’s Authority,” of the Standard Specifications
• This 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 licensed engineer must be responsible for the engineering integrity of a construction
project. The resident engineer, in charge of the project, bears this responsibility, and

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Construction Organization 1-1.5
 must be a licensed engineer in the State of California, as defined by the Professional
Engineers Act.
Selecting a person to act as resident engineer is dependent upon the following:
• The work’s magnitude and complexity
• The type of work
• The degree of independent control and direction to be exercised
• Pursuit or completion of the Caltrans Resident Engineer Certificate Program
Only the person best qualified for a specific project should be selected as the resident
engineer.
The civil service classification of a resident engineer is related to the 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
licensed 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. 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, estimates, 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
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 to obtain additional funds, refer to Section 5-203,
“Obtaining Additional Funds,” of this manual.
Once assigned, the resident engineer should remain on the project until its completion,
including the completion of all project documents and administrative matters.
1-105C Structure Representative
Under the general direction of a structure construction engineer, the structure
representative must inspect, document, and field test materials for all structure work on
a project. As a service to the resident engineer, the structure representative will also
provide claim positions and draft change orders. As a representative of the Division of
Engineering Services, the structure representative acts within the authority of the
following:
• The State Contract Act
• The Standard Specifications
• This manual
• The Bridge Construction Records and Procedures manual
• Other applicable administrative instructions

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1-1.6 Construction Organization
Under the general direction of a construction engineer and a structure construction
engineer, the structure representative must administer all assigned contracts. When
acting as a resident engineer, the structure representative has authority commensurate
with this responsibility.
The structure representative acting as resident engineer should consult the construction
engineer whenever the structure representative is unsure about the intent and
application of any portion of the contract.
The person responsible for the structural integrity of a construction contract must be a
licensed engineer. If the structure representative is not a licensed engineer, that person
must defer to the structure construction engineer any decisions and actions that
constitute the practice of civil engineering, as defined by the Professional Engineers
Act.
1-105D Assistant Resident Engineer
The assistant resident engineer must verify that 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:
• Verifying that the contractor complies with all contract requirements.
• Performing, or calling for, required tests to verify 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.
• Working effectively by knowing construction methods and inspection techniques.
1-105E Field Office Engineer
The field office engineer must maintain complete and accurate project records. These
records may include the following:
• Monthly progress pay estimates
• Extra work reports
• Change orders
• Labor and equipment records
• Correspondence
• Personnel records
• Records of material testing and acceptance
• Detailed calculations for paid quantities
Once assigned, the field office engineer should remain on the project until its
completion.

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Construction Organization 1-1.7
 1-105F Specialists and Coordinators
Projects require the use of district specialists and coordinators. These may include the
following:
• Materials and plant specialists
• Weights and measures coordinators
• Survey coordinators
• Labor compliance personnel
• Safety coordinators
• Traffic handling, signing, and electrical specialists
• Landscape specialists
• Environmental - construction liaisons
• Stormwater coordinators
• Schedule analysts
• Claims engineers
• Partnering coordinators
• Change order specialists
• Progress payment specialists
• Construction coordinators

In the absence of a Caltrans policy on a specific job problem, the authority of the
resident engineer will prevail over that of a specialist or coordinator.
1-106 1-106 Proper Charging Practices
Proper Charging Caltrans employees must accurately record time and expenses in accordance with
Practices Deputy Directive 41, “Caltrans Charging Practices,” by charging to the appropriate
activity codes. Refer to the Caltrans Coding Manual for definitions and information on
activity codes.
1-107 1-107 Local Projects
Local Projects Local construction projects are either “State Administered,” “Locally Administered,”
or “Administered by Private Sponsor.” For the responsibility of state personnel on local
projects, refer to Chapter 9, “Projects Sponsored by Others,” of this manual.

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1-1.8 Construction Organization
Chapter 1 Caltrans Construction Organization

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 the Public
1-206 Relations With the Media and Traveling Public

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Public Relations 1-2.i
Chapter 1 Caltrans Construction Organization

Section 2 Public Relations Section 2

Public Relations
1-201 General 1-201
As representatives of Caltrans, construction personnel should at all times conduct General
themselves professionally. The subject of public relations is divided into the following
categories:
• Internal relations among Caltrans personnel.
• Relations with the contractor.
• Relations with utility companies and other public agencies.
• Relations with the public.
• Relations with the media and traveling public.
1-202 Relations Among Caltrans Personnel 1-202
Within Caltrans, public relations is divided into two subcategories: relations between Relations Among
the resident engineer and staff, and relations between the resident engineer and the Caltrans Personnel
district.
1-202A The Resident Engineer and Staff
Development and maintenance of good relations between Caltrans personnel is largely
a matter of adequate communication and a clear division of responsibility.
Communication is important between project personnel and the resident engineer. It is
recommended that resident engineers hold short staff meetings each workweek. At
these meetings the resident engineer should brief assistant resident engineers on the
planned operations, announce any changes or new assignments of responsibility, and
discuss any other subjects deemed pertinent.
Resident engineers should provide personnel with an opportunity to demonstrate their
capabilities and capacity for responsibility, and provide opportunities for assistant
resident engineers 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, assigning personnel to operations different from
those handled on previous projects is an option. Newly assigned personnel should
study the applicable portions of the Standard Specifications, special provisions, plans,
this manual, and any other Caltrans publications deemed applicable. An individual
should not be assigned new work responsibilities until the resident engineer is satisfied
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, supervisors should keep their
personnel informed of decisions affecting an employee’s area of responsibility. A

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Public Relations 1-2.1
 resident engineer should first learn about district decisions that affect the project from
the supervisor, not outside sources.
Construction personnel also sometimes communicate and work with the other Caltrans
functional units. People in other units do their work with information available to
them, just as construction forces do. When there is a difference of opinion on some part
of the project, whether it is about design, traffic handling, or some other aspect, the
resident engineer should approach the other party with an open mind to discuss the
issue.

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 better to start on a basis of
administering the contract firmly in accordance with the plans and specifications than it
is to address a situation later in the contract’s life caused by laxity.
The employees assigned to construction should have a thorough knowledge of the
plans and specifications governing the contract. This should promote good relations
with the contractor’s personnel. If the resident engineer and assistant resident engineers
demonstrate thorough knowledge of the plans and specifications, it is more likely the
contractor’s personnel will respect the resident engineer’s judgment in cases where
contract interpretation becomes an issue. A satisfactory relationship between Caltrans
and the contractor generally results from good communication between the resident
engineer and the contractor’s superintendent.
Contract administration involves several 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.
There are two types of specifications: method and quality assurance. Method
specifications list explicit materials, equipment, and construction requirements;
whereas, quality assurance specifications contain statements of required results that
focus on the desired quality level of the finished product.
Method specifications are more restrictive as to the contractor’s options. Deviations
from specified methods require change orders. Deviations must also provide equal or
better results while preserving the contract’s integrity.

1-204 1-204 Relations With Utility Companies and Other Public Agencies
Relations With Utility Good public relations with internal and external stakeholders will have a beneficial
Companies and Other effect in completing a construction project within scope, schedule, and budget.
Public Agencies Preconstruction discussions that may affect Caltrans functional units or local agencies
and communities should involve all stakeholders.
The resident engineer should make early personal contact and establish a good working
relationship with staff of affected utility companies and other agencies. Such agencies
may include: local school districts, local transit agencies, permitting agencies,
California Highway Patrol and local police organizations, local bicyclist and pedestrian
advocacy groups, local community groups, and any other government agency or local
group with interest in the project. Early personal contact with staff from these agencies
and groups will acquaint them with upcoming construction operations and will enable

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1-2.2 Public Relations
them to have input and schedule their work or services to the best advantage of all
concerned.
1-205 Relations With the Public 1-205
Another important part of public relations is courteously dealing with the people living Relations With the
or working near the project. They are the ones most affected by construction Public
operations.
By courteously listening to and addressing questions and concerns, the resident
engineer can generate good faith with the general public or individuals.
Construction operations, including temporary closures of streets and driveways, and
construction noise (especially at night) may have an adverse effect on residents and
businesses adjacent to the project. Informing people living and working near the
project about the reason for, and the duration of, the activity will go a long way toward
a higher degree of acceptance and tolerance. Timely notice is important. Also consider
rescheduling construction activity around major business or public events.
The necessity for residential relocations should be considered during constructability
reviews and, if necessary, discussed at project development team meetings. Details for
temporary relocations appear in Section 10.10.05.01 of the Right of Way Manual.
If nighttime noise levels become an issue during construction, and temporary
relocation of residents is not addressed in the project files, contact the construction field
coordinator for guidance.
Start public relations early. The fullest possible cooperation of the contractor’s
organization should be solicited to achieve good public relations most effectively. The
resident engineer and the superintendent can assure people living and working in the
area 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 area residents and businesses. This practice should be
encouraged.
1-206 Relations With the Media and Traveling Public 1-206
When highway construction information must be conveyed to large numbers of Relations With the
highway users, including those who commute regularly over a particular route and Media and
those who use the route only occasionally, contact the public information officer early Traveling Public
in the project. The public information officer will use print and social media, radio,
internet, and television to publicize the upcoming work.
Another helpful method of promoting good public relations is to use district personnel
as speakers at meetings of the local chambers of commerce and service clubs. Resident
engineers so inclined might consider joining a service organization. Frequent notices
and progress reports in the local media are also common and effective methods of
keeping the public informed of changing project conditions.
On advice by the resident engineer, the district should also issue news releases. The
district should contact members of the local news media 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.

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Public Relations 1-2.3
 If someone from the media asks for information, refer them to the district public
information office. Unless specifically instructed to speak to the media, politely refer
all questions to the appropriate public information officer. Sometimes the public
information officers will be the only ones who may respond for Caltrans about an
issue. The public information office may arrange for site visits for the media and will
inform the construction engineer of the scheduled visit. Inform the contractor of these
scheduled visits. In the case of a traffic event, an emergency, or other incidents that
prompt unscheduled media visits, inform the public information officer immediately.
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, be a credit to the organization, and pass along vital
information to the public.

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1-2.4 Public Relations
Chapter 1 Caltrans Construction Organization

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

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Personnel Development 1-3.i
Chapter 1 Caltrans Construction Organization
Section 3
Section 3 Personnel Development Personnel
Development
1-301 General 1-301
Personnel development is essential for successfully implementing Caltrans’ mission, General
vision, goals, and strategic priorities. Moreover, most construction employees want to
learn new job skills. A comprehensive training and development program helps in
recruiting and retaining new construction staff. It is in the best interests of Caltrans to
train staff early in their careers, reinforce that training as time passes, and update staff
job skills as changes in policy and technology affect the way Caltrans conducts
business and serves its stakeholders.
Base staff development needs on Caltrans’ fundamental goals and objectives. Design
each training and development activity to produce construction personnel who are
prepared to perform their essential job duties.
1-302 District Role 1-302
District construction will do the following: District Role
• Identify training needs based on the following:
1. The 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
fulfill the employee’s training and development plan.
• For each construction employee, maintain a 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.
• When evaluating staffing needs and planning job assignments, carefully consider
cross-training opportunities for all staff, if collective bargaining agreements and
memorandums of understanding allow such opportunities. Effective cross-training
adds:
1. More flexibility in completing a job

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Personnel Development 1-3.1
 2. More ability to collaborate
3. Stronger ability to adjust to changing project conditions
• Establish a succession plan, indicating who will assume the duties of the
supervisor and the employees when they are absent. Update the plan each year
based on staff performance and anticipation of planned staff training and
development needs.
• Take immediate action to correct any known deficiency in an employee’s
capability to perform currently assigned tasks.
• Encourage the professional career development of subordinates, and foster a
working environment in which employees are encouraged to learn new job skills.
• Assist employee participation in external training opportunities they request. Such
training must benefit the employees’ professional career development. Ensure the
training schedule does not have a significant negative effect on the employees’
work. This training must also conform to current departmental guidelines for
career-related training.
1-304 1-304 Individual Duties
Individual Duties Each 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. Information related to training classes is available at:
http://construction.onramp.dot.ca.gov/training-0
• Assistant resident engineers are encouraged to complete necessary training classes
to obtain their Resident Engineer Certificate. Certificate completion requirements
are available at:
http://construction.onramp.dot.ca.gov/administrative-training-support/resident-
engineer-certificate-program#overlay-context=.
• Upon completing the necessary training classes to receive the certificate, work
with your training coordinator to submit the certificate program completion form
to headquarters.
• Attend a classroom-based training when scheduled to do so; complete online
training within the established timeframe.
• Evaluate their ability to perform the essential job duties for each task they are
asked to perform. Notify their supervisor if more training is required to execute a
specific job task.
• 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 it 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, employees are to follow the

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1-3.2 Personnel Development
 procedures for requesting and documenting training detailed in the Learning
Management System on Caltrans’ intranet.
1-305 Resources and Budgeting 1-305
Individual construction employees will devote regularly scheduled work time to “in- Resources and
service occupational training” as determined by the employee’s supervisor. This Budgeting
occupational training is in addition to other mandatory training as required by Caltrans’
policies, and will be executed within the district’s training and development plan.
1-306 Subject Matter, Trainees, and Instructors 1-306
The district construction administration must ensure the completeness and accuracy of Subject Matter,
the information disseminated through training and development activities. The Trainees, and
Division of Construction, Office of Construction Training and Environmental, will Instructors
support, coordinate, and assist the district to the full extent of its abilities and resources.
Instructional subject matter for a course should be sufficiently broad to encompass all
aspects of an operation or area of activity to which a person may be assigned.
Occupational instruction should be offered close to the time when personnel will be
required to use the job skills.
Personnel and consultant trainers who prepare and conduct training must be qualified
in the subject matter and in the theory and techniques of training. Assistance for
determining training expertise and training for trainers is available through the Division
of Construction.
1-307 Just-in-Time Training 1-307
Some contract special provisions provide for “just-in-time training,” which is joint Just-in-Time
training with industry and construction staff. This training should include all contractor Training
and Caltrans staff who are directly involved in the construction operation. The
objective of this training is to introduce new practices, improve workmanship, improve
quality, and to provide current and timely training to the people performing the work.
1-308 Training Methods 1-308
Depending on the particular subject, varying instruction methods may be appropriate Training Methods
for in-service training. In all instances, encourage instructors to use teaching techniques
that involve their students rather than transmitting information through 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,
either in the classroom or online training, 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
• Chapter 12, “Construction Surveys,” of the Surveys Manual
• Highway Construction Checklists
• California Manual on Uniform Traffic Control Devices

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Personnel Development 1-3.3
 • Maintenance Manual
• California Tests
• Other technical publications
A highly effective method of industrial training and development is on-the-job training
and mentoring by pairing less experienced staff with seasoned construction personnel.
The supervisor must be careful to pair individuals with compatible personalities. The
mentor should be knowledgeable and well-versed in current Caltrans standards. The
student can enhance the effectiveness of this training technique by respecting the
experience of the mentor, being genuinely interested, and being actively involved in the
training process.
Occupational training must be accomplished as an organized effort followed by on-the-
job experience. No substitute exists for experience, and often a well-regulated, on-the-
job training program is an excellent method for spreading knowledge.
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 Structure Construction can also
exchange qualified instructors.

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1-3.4 Personnel Development
Chapter 1 Caltrans Construction Organization

Section 4 Facilities and Equipment

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

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

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Facilities and Equipment 1-4.1
 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. Complete and mail Form
FA-2134, “Utility Service Request,” to the Division of Accounting. Keep a copy in the
project files under Category 4, “Service Contracts.” The form and instructions are
available on Caltrans’ Electronic Forms System and Division of Accounting intranet
websites:
http://cefs.dot.ca.gov/jsp/forms.jsp
http://accounting.onramp.dot.ca.gov/utility-service-payments-section
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 from Department-furnished materials to obtain a security system, or a
security system may be included in the rental cost for commercial office space. For
details, contact the district office.
Annually service fire extinguishers in Caltrans facilities. For guidelines on fire
extinguishers, refer to Section 8.05, “Emergency Action Plan Requirements,” of the
Caltrans Safety and Health Manual (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

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1-4.2 Facilities and Equipment
California Test 121, “Administrative Instructions for Use of Nuclear Gages,” for
nuclear gauge requirements.
1-405 Automotive Equipment 1-405
District construction assigns vehicles to field personnel. The resident engineer or the Automotive
construction engineer will determine the use of vehicles at the project level with Equipment
consideration for the needs of Structure Construction personnel. To accomplish the
work, vehicles may be exchanged at the project level as necessary.
1-405A Operation of State Vehicles
For policies, guidelines, and rules for driver training and the safe operation of motor
vehicles, refer to Chapter 17, “Motor Vehicle Safety,” of the Caltrans Safety 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, refer to 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.”
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
A vehicle home storage permit must be obtained when a state-owned vehicle is stored
at or in the vicinity of the employee’s home more than 72 nights over a 12-month
period or for more than 36 nights over any 3-month period. The director of the
Division of Equipment develops, publishes, maintains, and oversees the administration
of guidelines for home storage permits issued to Caltrans employees. These guidelines
are available on the Division of Equipment website:
http://equipment.onramp.dot.ca.gov/office-budgets-administration/vehicle-home-
storage-permits
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 (coordinator), notify
the local police authorities, giving full details as you know them, and complete
descriptions of the damaged or missing articles. The 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.”

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Facilities and Equipment 1-4.3
Chapter 1 Caltrans Construction Organization

Section 5 Field Expenses and Purchases

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

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Field Expenses and Purchases 1-5.i
Chapter 1 Caltrans Construction Organization
Section 5
Section 5 Field Expenses and Purchases Field Expenses
and Purchases
1-501 General 1-501
This section contains guidelines for paying for travel expenses and obtaining goods and General
services.
1-502 Travel Expenses 1-502
The Division of Accounting administers payment for travel expenses that Caltrans Travel Expenses
employees incur.
Supervisors must ensure employees do not abuse travel expenses. The Caltrans Travel
Guide, issued by the Division of Accounting, 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
Miscellaneous
Whenever possible, obtain supplies and equipment from district warehouses and Purchases
stockrooms. Use the procedures established in the district for obtaining these supplies.
The Division of Procurement and Contracts provides information and guidelines about
acquiring the following:
• Commodities
• Supplies
• Equipment
• Furniture
• Information technology products and services
For items that are unavailable through district warehouses, use commercial vendors.
The following two procedures are the most frequently used by field personnel to
purchase from such vendors.
1-503A CAL-Cards
CAL-Cards are credit cards used to purchase items that are not available in district
warehouses and stockrooms. For guidelines and information about CAL-Cards, refer to
the CAL-Card Handbook on the website of the Division of Procurement and Contracts.
To use CAL-Cards, follow the procedures established by Procurement and Contracts
and the districts.
In general, use the CAL-Card for office and engineering supplies necessary to support
the construction project.

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Field Expenses and Purchases 1-5.1
 1-503B Cash Purchase Transactions
You may make cash purchases of no more than $50 plus tax for the following:
• Incidental supplies not stocked by the district
• Minor emergencies, services, or other nontravel outlays
Typical cash purchases include items such as postage stamps and post office box rental
fees. Obtain and submit receipts for all cash purchases.
For reimbursement for approved purchases, submit Form FA-0302, “Travel Expense
Claim.”

1-504 1-504 Service Contracts

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

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1-5.2 Field Expenses and Purchases
 Chapter 2-
Safety and Traffic
Chapter 2 Safety and Traffic

Section 1 Safety
2-101 General
2-102 Duties and Responsibilities
2-102A District Deputy Director for Construction
2-102B District Construction Safety Coordinator
2-102C Construction Engineer
2-102D Resident Engineer
2-102E Project Safety Coordinator
2-102F Project Staff
2-103 Managing Safety Hazards
2-103A Imminent Hazards
2-103B 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 Emergency Contracts
2-106 Caltrans-Specific Safe Practices
2-106A Caltrans Division of Construction Code of Safe Practices
2-106B Tailgate Safety Meetings
2-106C High-Visibility Garment
2-107 Safety Precautions for the Public in Construction Areas
2-108 Hazardous Materials

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Safety 2-1.i
Chapter 2 Safety and Traffic

Section 1 Safety Section 1

Safety
2-101 General 2-101
Employers must comply with occupational safety and health standards established by General
federal and state laws. State laws require all employers to provide a safe place of
employment, reasonably free from danger to life or health and to maintain a written
Injury and Illness Prevention Program (IIPP).
The Caltrans Safety Manual, Chapter 1, is the official Caltrans IIPP. The Caltrans Safety
Manual lists safety policies and procedures, provides a centralized reference to
operational safety advisories, and standardizes procedures for reporting employee
occupational injuries, vehicular accidents, and claims against Caltrans. The construction
Code of Safe Practices (COSP), along with the Caltrans Safety Manual, defines standard
safety practices for employees involved with inspecting construction activities and
operations. The construction COSP is applicable only to Caltrans personnel performing
duties in accordance with their job description. The contractor is responsible for means
and methods to complete the work, is required to provide for public safety, and to provide
safe access to Caltrans employees. Contractors and subcontractors follow the prime
contractor’s IIPP and COSP. If a subcontractor’s IIPP and COSP are more stringent, the
subcontractor must follow its own IIPP and COSP.
Federal Highway Administration requirements, the Standard Specifications, and
contract standard special provisions establish compliance with safety regulations as a
contract requirement.
2-102 Duties and Responsibilities 2-102
Districts are responsible for safety on Caltrans construction projects. Duties and
Responsibilities
2-102A District Deputy Director for Construction
The district deputy director for construction should confirm that funding is adequate to
maintain a training program to acquaint Caltrans construction personnel with the basics
of construction safety. This training should take place a minimum of 4 hours per
employee per year and be included in the district’s annual training plan. Safety training
includes orientation for employees when they receive their first construction assignment.
Employees returning to construction following an absence of 5 years or more should also
receive the safety orientation.
Recent California laws have added a responsibility requiring supervisors to ensure that
subordinates are implementing all safety requirements and are provided with the tools
and the training necessary to protect them from being exposed to any potentially unsafe
condition.
2-102B District Construction Safety Coordinator
The district’s construction safety coordinator (CSC) should act as a technical advisor to
construction field personnel. The CSC should also do the following:
• Understand Caltrans safety policies; contract specifications; and the California
Department of Industrial Relations, Division of Occupational Safety and Health

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Safety 2-1.1
 (Cal/OSHA), California Code of Regulations, Title 8 (CCR Title 8), “Industrial
Relations.” Cal/OSHA is the state enforcing agency for safety regulations.
• Make unannounced site visits to ongoing construction projects on a routine and
rotating basis. The CSC should also respond promptly to requests from the resident
engineer or other Caltrans staff to visit projects to review project safety concerns.
• Collaborate with the resident engineer about specialized contract work, such as full
freeway closures and unusual or complex operations including blasting and confined
space operations. The CSC should visit the project periodically to observe the
contractor’s overall efforts, answer questions, or look at specific areas when the
engineer requests it. The frequency of the visits will depend upon the type and
complexity of the work.
• Write a safety audit of each visit to the project site, giving the resident engineer the
original safety audit and copies to the construction engineer and the construction
manager for review and follow-up.
• Be the district’s primary contact with the Division of Construction safety engineer
and the local Cal/OSHA representative, except for emergencies involving imminent
hazards. Refer to Section 2-103A, “Imminent Hazards,” of this manual for more
information. Maintain regular communication with local Cal/OSHA
representatives.
• Administer the district’s construction safety training program, structured to meet
district needs as mentioned in Section 2-102A, “District Deputy Director for
Construction,” of this manual, including the mandatory heat illness prevention
training required annually for all field staff and the mandatory hazard
communication training offered every 2 years.
• Serve as advisor for the construction safety portion of the preconstruction
conference.
2-102C Construction Engineer
The construction engineer should review construction projects to verify that the resident
engineer is monitoring the contractor’s construction safety program. The construction
engineer should review the CSC’s safety audit and confirm that the resident engineer
addresses, adequately closes, and documents closure of items mentioned in the safety
audit. The construction engineer confirms that all deficiencies in the field are abated,
signs the safety audit, and sends it to the construction manager for review and signature.
Construction engineers are responsible for the performance of employees under their
supervision. They provide them with the training, personal protective equipment, and
tools necessary to protect themselves from hazards. As part of the training, construction
engineers should stress that under no circumstances should any Caltrans employees
instruct the contractor how to correct a deficiency, either orally or in writing. They
advise, correct, and reprimand employees for safety violations and should document
their reviews of employee safety programs.
2-102D Resident Engineer
The resident engineer verifies that the contractor complies with all aspects of the contract,
including applicable safety orders found in the CCR Title 8. To accomplish this, do the
following:
• Identify unsafe conditions and the specific contract provisions or CCR Title 8
regulations involved.

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• Assign a project safety coordinator if needed.
• Involve the district CSC in specialized contract work such as full freeway closures,
blasting operations, confined space operations, multi-crane picks of large loads, or
other unusual or complex contractor operations. Consult with the CSC to interpret
Cal/OSHA regulations.
• Inform the CSC how unsafe conditions identified in the safety audit were resolved.
Complete written documentation of the review and abatement results and file it with
other project documents.
• In a special safety audit 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 a project safety audit and file it in Category 6, “Safety,”
of the project records. Use Form CEM-0606, “Construction Safety Checklists,” to
support the project safety audit.
• Using normal contract administration procedures, verify that the contractor complies
with Caltrans contract requirements and CCR Title 8.
• Develop a project-specific COSP document for Caltrans employees addressing all
operations in the project for each contract and all contractor operations. Make it
accessible to workers in the field, and confirm all project personnel have read and
signed it. Keep the COSP in a conspicuous location at the job site office. Refer to
Section 2-106A, “Caltrans Division of Construction Code Safe Practices,” of this
manual for additional guidance on developing a COSP. A baseline COSP document
is on the Division of Construction website:
http://www.dot.ca.gov/hq/construc/safety/
• Discuss project safety at the preconstruction conferences and document safety
discussions in the project files throughout the duration of the project. Cover at least
the following items:
1. Address new Cal/OSHA regulations that might be applicable to the contract.
2. Discuss requirements for contractors to make available the safety data sheets
(SDS) for chemicals or construction materials used on the construction site so
that Caltrans employees can determine their potential risk from contractor use
of products requiring SDS and verify that Caltrans employees have safe access.
The SDS may require provisions for eyewash stations, respirators, and other
devices.
3. Discuss other safety items that may pertain to the contract, such as blasting
operations, work in confined spaces, personal protective equipment, backup
alarms, traffic control, shoring and tunneling, and access to elevated work.
• Before starting work, confirm that contractors do the following:
1. Submit an IIPP to the resident engineer, as required in Section 7-1.02K(6),
“Occupational Safety and Health Standards,” of the Standard Specifications.
4. Submit permits required before starting certain work, such as: trenches or
excavations 5 feet or deeper in which any person is required to descend;
demolition over 36 feet in height; falsework erection and scaffolding in excess
of 36 feet in height; confined spaces; or mining and tunneling.
2. Notify the regional Underground Service Alert (USA). Refer to Section 4-
1902A, “Roadway Excavation,” of this manual.

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 • During the course of work, verify that contractors do the following:
1. Report to the resident engineer any disabling or fatal accidents.
2. Notify the resident engineer immediately if Cal/OSHA arrives on the project
for a site visit. As the site owner, Caltrans staff needs to participate in all
Cal/OSHA site visits.
2-102E Project Safety Coordinator
The resident engineer may delegate safety responsibilities to an assistant resident
engineer who will act as the project safety coordinator. This delegated work will usually
be in addition to other assigned duties, but may be full time on large contracts. If there is
significant structures work, the resident engineer may need to coordinate with the
structures representative to have a structures project safety coordinator assigned for the
structures specialty work.
The project safety coordinator acts as a safety advisor to Caltrans project personnel. The
project safety coordinator should monitor and document contractor compliance with
safety requirements, keep the resident engineer informed, and do the following:
• Monitor ongoing operations on the job site daily.
• Inform the contractor, verbally and in writing, of any operation or activity that does
not comply with Caltrans contract requirements or Cal/OSHA regulations. Provide
reference to the Standard Specifications or the specific regulation violated. Use
Form CEM-0606, “Construction Safety Checklists,” to find the appropriate
reference. These checklists are on the Division of Construction website:
http://www.dot.ca.gov/hq/construc/forms.htm
• Prepare a weekly project safety audit and file it in Category 6 of the project records.
2-102F Project Staff
Caltrans does not intend that the resident engineer and the project safety coordinator do
all monitoring of the contractor’s construction safety activities. All construction
personnel should consider the safety of the operations in conjunction with their normal
inspections and to confirm that they have safe access to perform their duties.
Inspectors—closest to and most familiar with the field operations—should do the
following:
• Be familiar with construction zone traffic management, Cal/OSHA regulations,
Caltrans safety policies, and specifications. Use Form CEM-0606 to monitor the
contractor’s compliance with safety regulations and specifications.
• Routinely monitor, document, and discuss contract safety requirements with the
contractor.
• Request assistance from the project safety coordinator or the district CSC if
uncertain about a regulation’s requirements.

2-103 2-103 Managing Safety Hazards

Managing Safety In carrying out Caltrans’ responsibilities for verifying safety compliance as a contract
Hazards requirement, use the following guidelines.
2-103A Imminent Hazards
Imminent hazards are work conditions that, if not corrected, could result in an accident
causing severe or permanently disabling injury or death. When an imminent hazard is

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2-1.4 Safety
found or the contractor permits repeated occurrences of a hazardous condition, the
Caltrans representative should take the following steps:
• Advise the contractor verbally of the condition and the need for correction.
• Remove all Caltrans employees from the hazardous exposure.
• If the contractor complies, document the incident in the project’s safety audit with
appropriate references in Form CEM-4501, “Resident Engineer’s Daily Report.”
Document the unsafe work condition, discussions with the contractor, and how and
when the unsafe condition was corrected.
• If the contractor does not comply, temporarily suspend the affected operation.
Confirm the suspension order in writing to the contractor.
• Document the incident and the action taken in the resident engineer’s daily report.
Document the unsafe work condition, discussions with the contractor, and how and
when the unsafe condition was corrected.
Whenever it is necessary to suspend a contractor’s operation, notify the CSC, resident
engineer, and the construction engineer of the hazardous condition and the actions taken.
Verify that all contractual remedies to address the contractor’s safety issues have been
exhausted and documentation fully prepared and filed before considering notifying
Cal/OSHA. Involve the CSC as a checker in the process to verify nothing was
overlooked. Get permission from the construction manager before calling Cal/OSHA.
These actions will limit potential multi-employer liability against Caltrans. Notify the
Division of Construction safety engineer about the actions taken. Place safety audits,
including all details leading up to the suspension and copies of orders, in Category 6,
“Safety,” of the contract files.
2-103B Serious Hazards
Serious hazards are work conditions that, if not corrected, could result in a disabling
injury and possibly death or develop into an imminent hazard. When a serious hazard is
found to exist, the Caltrans representative should take the following steps:
• Advise the contractor orally of the condition and the need for timely correction. If
appropriate, set a compliance deadline.
• Remove all Caltrans and consultant employees from the hazardous exposure.
• If the contractor fails to provide timely correction, consider ordering a temporary
suspension of the affected operation. Confirm the suspension order in writing to the
contractor.
• Document the incident in the project’s safety audit with appropriate references in
the resident engineer’s daily report. Document the unsafe work condition,
discussions with the contractor, and how and when the unsafe condition was
corrected.
2-103C Minor or Nonserious Conditions
Minor or nonserious conditions are ones that could result in minor injuries or might be
classified as minor threats to health. When a nonserious or minor condition is found to
exist, the Caltrans representative should take the following steps:
• Advise the contractor orally of the condition and the need for correction.
• Remove all Caltrans and consultant employees from the hazardous exposure.

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 • Document the incident in the project’s safety audit. Document the unsafe work
condition, discussions with the contractor, and how and when the unsafe condition
was corrected.
• If the contractor fails to correct the condition or permits a repeated occurrence, notify
the resident engineer and CSC.
2-104 2-104 Division of Occupational Safety and Health
Division of This section provides information about the organization of Department of Industrial
Occupational Safety Relations, Cal/OSHA, its enforcement powers, and its inspections.
and Health
2-104A Authority and Responsibility
The law requires Cal/OSHA to enforce safety orders and promote safe workplaces and
practices. Caltrans enforces contract requirements, not safety orders. 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 safety orders. Both state and federal law require that the safety
orders be no less restrictive than federal Occupational Safety and Health safety
orders.
• Cal/OSHA has a number of branches responsible for administering the safety orders
as adopted by the Standards Board.
• Citations issued by Cal/OSHA for violations may be appealed to the Occupational
Safety and Health Appeals Board for a hearing and, in rare instances, appealed to a
superior court.
To allow Cal/OSHA to accomplish its mission, the California Labor Code gives
Cal/OSHA the authority to enter and inspect any place of employment to ensure that the
contractor is observing safe conditions and practices. If necessary, this right of entry can
be enforced with a warrant.
2-104B Citations and Civil Penalties
If Cal/OSHA uncovers and documents unsafe conditions or work practices, it may issue
citations. The severity of the violations cited determines the civil penalties, and the
penalty amount is based on procedures established in the regulations. Public agencies are
not exempt from these penalties.
Violations—classified as regulatory, general, serious, willful, or repeat—result in
monetary penalties. Failing to abate hazards or making false statements also mandates
penalties.
Under the multi-employer liability clause, Cal/OSHA has authority to cite all employers
who are observed as having employees exposed to a hazard at a multi-employer
worksite. Cal/OSHA identifies an exposing, creating, controlling, or correcting
employer (defined in next subsection) for each unsafe condition found. It bases
employers’ degree of responsibility on their awareness of the condition, the
foreseeability of the condition, and reasonable steps they take to protect employees.
In addition to receiving the civil penalties noted above, both Caltrans and contractor
managers can be held criminally responsible. To be held criminally responsible, the
manager must knowingly or negligently allow a serious violation, repeatedly violate
safety orders, or directly refuse to correct a known unsafe condition. Criminal penalties
can be as severe as 6 months to 1 year in jail and may include fines.

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2-1.6 Safety
Occasionally, Cal/OSHA will issue an informational memorandum when it encounters
a condition or potential condition to which no employee has been exposed, but if an
employee were to be exposed, a safety violation would exist. Cal/OSHA always
classifies a violation of an informational memorandum as a willful violation.
2-104C Classes of Employers
California recognizes four different types of employers, any of which can be cited by
Cal/OSHA for safety violations. The classification can result in more than one employer
cited for the same violation. The California Labor Code identifies these employer
categories:
Exposing 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 worksite, the one who had the
authority for ensuring the hazardous condition was corrected.
Correcting employer—the employer responsible for correcting the hazard.
On a standard contract put out to bid with plans and specifications, the prime contractor
is the controlling employer in accordance with Section 7-1.02K(6)(a) of the Standard
Specifications.
Caltrans may be the exposing employer if Cal/OSHA observes that a Caltrans employee
is exposed to a hazard and the employee failed to remove themselves from exposure to
the hazard or ask the contractor for correction to provide safe access to the work. Taking
a proactive role in addressing and documenting safety and communicating it to the
contractor would help create a common understanding, emphasize Caltrans’ priority, and
help in protecting the state from being cited under any of the above categories.
2-104D Procedures During Division of Occupational Safety and Health
Inspections
This section describes what takes place during a Cal/OSHA inspection and what resident
engineers and their assistants should do while it is carried out.
2-104D (1) Elements of a Cal/OSHA Inspection
Every Cal/OSHA inspection has three elements: the opening conference, the walk-
through inspection, and the closing conference.
Opening conference—The Cal/OSHA inspector requests the highest level of onsite
management, makes introductions, and states the reason and purpose of the inspection.
The inspector asks questions about the employer, such as the size of the organization,
number of employees on site, addresses, and phone numbers. The inspector may also
ask about the employer’s IIPP, emergency contact numbers, and the addresses of the
medical facilities closest to the job site. The inspector asks the employer for permission
to make a walk-through site inspection and invites the employer to join the inspection.
Walk-through inspection—The inspector will tour the site observing the work in
progress, condition of the site, and work practices followed. The inspector may interview
employees about their training, work procedures, and protective equipment. During the
inspection, the inspector may take photographs and measurements. If it is a post-accident
investigation, the inspector identifies and interviews witnesses and may request contact
information such as name, address, and phone number. The inspector notes violations
observed, findings that will probably result in a citation during the closing conference.

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Safety 2-1.7
 Closing conference—After completing the walk-through inspection, the inspector meets
with managers, supervisors, and employee representatives to discuss the violations and
proposed citations. The inspector bases citations on the observations and on manager,
supervisor, and employee statements. The inspector may hold this conference
immediately after the walk-through inspection or defer it. Although the conference is
usually conducted in person, the inspector may conduct it on the phone.
2-104D (2) Participation in the Inspection
As a matter of policy, Caltrans cooperates and participates with Cal/OSHA. Caltrans
employees are not required to make any statement that may be harmful to their interests
or those of Caltrans. If uncomfortable with answering any questions, politely decline. In
the event of an inspection, do the following:
Opening conference—Notify the CSC that Cal/ OSHA is planning to inspect. If the CSC
is not available, notify the district safety officer and construction engineer of the pending
inspection. If the CSC or safety officer can arrive in a reasonable length of time, request
a delay of the walk-through inspection until their arrival. The resident engineer or
representative should participate in the inspection, and the construction engineer should
also participate.
Walk-through inspection—Participate in and document the inspection. Record what
areas were inspected, who was interviewed, and what violations the Cal/OSHA inspector
mentioned. For Caltrans records, take the same photographs and make the same
measurements as the Cal/OSHA inspector.
Closing conference— Participate in the closing conference. The construction engineer
or another representative should also participate. If the district safety officer or CSC is
not present, insist that the closing conference be delayed until one of them can attend. If
the inspector proposes citations, remain open and noncommittal.
2-104D (3) Procedures if Citations are Received
If you receive citations by personal delivery or mail, take the following actions:
• Notify the district safety officer, CSC, and construction engineer that a citation has
been served.
• Fax a copy of the citation to the Office of Health and Safety in the Division of Safety
and Management Services at (916) 227-2639 or email a copy of the citation to:
[email protected]
• For citations related to structure work, confirm structure representatives notify
Structure Construction.
Work with the district safety officer, CSC, and the Office of Health and Safety in the
Division of Safety and Management Services to resolve citations. If necessary, arrange
for legal support.

2-105 2-105 Emergency Contracts

Emergency Contracts Emergency contracts (refer to Section 5-501, “General,” of this manual) present
additional safety concerns for Caltrans. Cal/OSHA could consider Caltrans as the
controlling employer for this type of work because Caltrans is defining the work and
agreeing to the means and methods to complete the work.
Section 5-506, “Initial Stages of the Project,” of this manual discusses documenting all
discussions regarding safety.

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2-1.8 Safety
Section 5-508, “Prosecution of the Work,” of this manual discusses prosecution of the
work and requires verification that the proposed means and methods are safe and
effective.
2-106 Caltrans-Specific Safe Practices 2-106
Every employee has the responsibility to be informed of and follow the specific policies Caltrans-Specific
and practices discussed in the Caltrans Safety Manual. Safe Practices
2-106A Caltrans Division of Construction Code of Safe Practices
CCR Title 8, Construction Safety Order 1509, “Injury and Illness Prevention Program,”
requires that every employer adopt a written COSP. Verify that one is prepared for every
project. Verify that it includes project-specific items. If unique contract safety items are
not addressed in the COSP, consult with the CSC to have additional COSPs prepared for
the project and included in the project file. If the contractor has developed a project-
specific COSP item that they request Caltrans amend into our COSP, consult with the
CSC. The project file should contain documentation that all employees have read and
understood the COSP.
2-106B Tailgate Safety Meetings
Cal/OSHA safety orders require tailgate or toolbox safety meetings. As stated in
Construction Safety Order 1509, the meetings must be held at least once every 10
working days.
Construction engineers or resident engineers should conduct a tailgate safety meeting
with all employees who are new to the project to discuss the project and potential safety
issues that might arise due to contractor operations.
Tailgate safety meetings should be project-specific. Topics to discuss might include:
upcoming work; specialty work, such as crane critical picks and confined space entry;
review of incidents; or the most recent project safety audit.
Under Cal/OSHA safety orders, contractors and subcontractors are required to hold their
own tailgate safety meetings for the benefit of their own employees.
Section 2-05, “Tailgate Safety Meetings for Field Personnel,” of the heath contains
instructions for tailgate meetings. Follow that section and district policy.
2-106C High-Visibility Garment
The following are required for all Caltrans staff during field operations:
• For daytime use, a minimum of a Class 2 garment is required. Its attached label must
identify the garment as Class 2 and should clearly state that it is an ANSI 107-2010
garment (ANSI 107-2004 garments are also compliant in this and requirements
below).
• For nighttime use, a Class 3 garment is required. A Class 3 garment may be used in
the daytime. The following options meet Class 3 requirements:
1. A Class 3 “sleeved” vest with the ANSI 107-2010 Class 3 label.
2. A newer Caltrans rain jacket with an attached ANSI 107-2010 Class 3 label.
3. A Class 3-equivalent garment—a Class 2 vest with the ANSI 107-2010 label
worn with Class E pants.

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Safety 2-1.9
 2-107 2-107 Safety Precautions for the Public in Construction Areas
Safety Precautions for Construction sites receive many visitors, including nonconstruction staff from Caltrans;
the Public in personnel from federal, state, and local agencies such as the Department of Water
Construction Areas Resources, Department of Fish and Wildlife, and Air Quality Management District;
property or business owners; and members from the media. All visitors not associated
with the contractor should follow Caltrans personal protection equipment requirements
and construction Code of Safe Practices requirements unless their agency’s is more
stringent. Resident engineers and assistant resident engineers should monitor for
potential hazards to the general public and work with the contractor to take reasonable
precautions to exclude the public from the construction area. Provide fencing, if practical,
and “no trespassing” signs at sites that have potential dangers.
2-108 2-108 Hazardous Materials
Hazardous Materials If unanticipated hazardous materials are encountered on the project, notify the district
hazardous waste coordinator who will advise you and may assist in the disposal
procedures. The coordinator may also suggest extra safety measures to take to protect
the public and workers.
Refer to Chapter 7, “Environmental Rules and Requirements,” of this manual for
additional guidelines for dealing with hazardous waste.

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2-1.10 Safety
Chapter 2 Safety and Traffic
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 on Projects Administered by Others
2-204C District Construction Safety Coordinator
2-204D Construction Traffic Manager
2-204E Construction Engineer
2-205 Guidelines for Traffic Control Plans
2-205A Basic Instructions
2-205B General Considerations
2-206 Elements of a Roadway
2-206A Geometrics
2-206B Crossover Transitions
2-206C Existing Ramps
2-206D Clear Recovery Zone
2-206E Lane Widths
2-206F Lateral Shifting
2-206G Surfacing Materials—Color and Texture
2-207 Speed Zones
2-208 Night Work
2-209 Delineation
2-210 Ramp Closures
2-211 Informing the Public
2-212 Keeping the Roadway Clear and Clean
2-213 Roadways Over Railroad Tracks
2-214 Transportation Management Plans
2-214A Policy
2-214B Definitions
2-214C Responsibilities
2-214C (1) District Traffic Manager
2-214C (2) TMP Manager
2-214C (3) Construction Traffic Manager
2-214C (4) Construction Engineers, Resident Engineers, and Construction Inspectors
2-214D Construction Contingency Plan

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

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2-2.ii Traffic
Chapter 2 Safety and Traffic

Section 2 Traffic Section 2

Traffic
2-201 References 2-201
Section 124 of the California Streets and Highways Code authorizes Caltrans to close or References
restrict the use of any state highway whenever it considers such actions necessary for
these reasons:
• To protect the public.
• To protect the highway during construction, improvement, or maintenance
operations.
• To protect the highway from damage during storms.
Closures may also be necessary for major earthquakes or other natural disasters.
Closures are reported and managed using the web-based Lane Closure System (LCS)
Mobile. Refer to Section 4-1202C (1a), “Lane Closure System,” of this manual.
Traffic control systems conform to the Standard Plans, unless the contract specifies
otherwise.
All traffic control devices should conform to Section 12, “Temporary Traffic Control,”
of the Standard Specifications. For their application, review the current California
Manual on Uniform Traffic Control Devices (California MUTCD).
2-202 Objective 2-202
The objective of traffic control is to provide for worker protection and the safe passage Objective
of public traffic—including bicycles, motorcycles, and pedestrians—through and around
the work zone with as little inconvenience and delay as possible.
2-203 Planning 2-203
Consideration for worker safety and the safe movement of traffic through work zones Planning
starts with planning. All contract plans and special provisions must include a traffic
control plan, which may include T Series Standard Plans, detour plans, or motorist
information plans. District construction should review it before the district submits the
plans, specifications, and estimate to headquarters.
The traffic control plan should be appropriate for anticipated conditions that may occur
during construction. The reviewer should determine that the plan can be implemented
and that it adequately facilitates the movement of traffic—including bicycles,
motorcycles, and pedestrians. Discuss comments or suggestions regarding traffic control
with district design and traffic operations during the project’s planning and design phase.
2-204 Responsibilities and Procedures 2-204
Key personnel involved in traffic control have certain responsibilities and procedures as Responsibilities and
follows. Procedures
2-204A Resident Engineer
The resident engineer has the responsibility and authority for administering the traffic

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Traffic 2-2.1
 control plan and all other aspects of safety on construction projects. Administration of
traffic control may be delegated to another person assigned to the project.
Once assigned to the project, do the following:
• Compare the traffic control plan to site conditions. Note any unusual local traffic
patterns and scheduled special events during the life of the contract. At the
preconstruction conference, discuss the traffic control plan with the contractor. For
details related to preconstruction conferences, refer to Sections 5-002,
“Preconstruction Conference with Caltrans Personnel,” and 5-003, “Preconstruction
Conference with the Contractor,” of this manual.
• If the contractor requests modifications to the contract traffic control plans, refer
them to Section 7-1.04, “Public Safety,” of the Standard Specifications and note that
temporary facilities require shop drawings that must be signed and sealed by a
California-licensed engineer. Issue a change order for unanticipated conditions or
changes to the contract plans or specifications. Change orders should include traffic
control plans in sufficient detail to define all elements of the proposed changes.
• The district will establish a procedure for preparation, review, and approval of
changes related to roadway construction and detour plans that include traffic control
devices. Generally, the district traffic operations office is responsible for this review
activity.
• Urgent, unpredictable situations—minor or of short duration—can arise during the
work and should be addressed using engineering judgement. These instances do not
require formally approved plans. Maintain written records of orders given and
actions taken.
• To establish the geometry, markings, devices, and signs that existed during the
project, maintain in sufficient detail a record of the placement into service, the
changes, and the discontinuance of roadways and detours. The record’s form may
vary according to the magnitude and complexity of the subject. Dated notations or
revisions to plans may be helpful. Dated photographs or video recordings,
particularly of points of transition, may be especially valuable.
• If the contractor’s activities interfere with vehicular or pedestrian traffic, contact the
contractor and request correction of the deficiency. If necessary, direct the contractor
in writing to act at once to remedy any issue not in compliance with the contract:
o If the contractor cannot address the traffic safety issue due to lack of materials
and it is safe to do so, consider temporarily suspending the work until correction
can be made.
o If the contractor cannot address the traffic safety issue and it is not safe to
suspend the work, request the contractor take all steps necessary to provide for
traffic safety and allow only the work that had started at the time the issue was
recognized to continue. Consider suspending work for the next shift until a
written plan is provided to address future public safety.
o Call on Caltrans work forces only 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 suspend work. Refer to Section 8-1.06,
“Suspensions,” of the Standard Specifications.

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2-2.2 Traffic
2-204B State Representative on Projects Administered by Others
When others administer the contract, oversight of traffic through and around a work zone
involves overseeing and working with the local agency or private entity’s resident
engineer. The state representative assigned to the project should make sure the local
agency resident engineer performs the duties as outlined above.
For changes to the district-approved traffic control plans on contracts administered by
others, use the same review and approval process established for Caltrans-administered
construction contracts.
As a last resort, the state representative has authority to stop the contractor’s operation,
wholly or in part, or take appropriate action when public safety is jeopardized. Refer to
the Oversight Resident Engineer Guidelines, Sections 3.2.2(d), “Safety,” and 5.2.1,
“Encroachment Permit,” for further guidance.
2-204C District Construction Safety Coordinator
Section 2-1, “Safety,” of this manual covers the responsibilities of the district’s
construction safety coordinator (CSC) who should 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 CSC should document the reviews in the
project records and discuss concerns about the traffic control plan or traffic safety with
the construction engineer, traffic engineer, and resident engineer.
2-204D Construction Traffic Manager
The Traffic Management Plan Guidelines describe the roles and responsibilities of the
construction traffic manager who works in cooperation with the CSC. Responsibilities
include:
• Reviewing periodically the traffic control setup for each work zone and discussing
any deficiencies with the resident engineer.
• Serving as a liaison between construction, the district traffic manager (DTM) and
the transportation management plans (TMP) manager.
• Reviewing the TMP and traffic contingency plan for constructability issues.
• Acting as a resource for the resident engineer, construction engineer, DTM, and
TMP manager during TMP implementation and reviewing the contractor’s
construction contingency plan.
2-204E Construction Engineer
The construction engineer is responsible for confirming that traffic moves through the
work zone according to traffic control plans. If a change order modifies the plans,
construction engineers should take steps necessary to verify that the modified plans are
adequate to provide the highest level of traffic safety and service consistent with
conditions actually encountered. During routine visits to the project, construction
engineers should also review signing, delineation, construction contingency plans, and
general traffic handling.
2-205 Guidelines for Traffic Control Plans 2-205
Follow these guidelines and general considerations for reviewing and approving traffic Guidelines for
control plans. Traffic Control
Plans

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 2-205A Basic Instructions
Basic instructions usually apply more to the planning and design phase of a project, but
they also help provide construction personnel with basic concepts for safe and efficient
traffic flow through a highway construction project. Use these guidelines when
necessary during construction to make changes in traffic control plans.
• Whenever possible, allow traffic to have continued full use of the existing facilities.
• When full use is not possible, accommodate traffic by verifying a continuous
roadway throughout the length of the project, achieved by using one or a
combination of the following:
1. The existing unmodified highway.
2. The newly constructed highway or portions of it.
3. Interim-constructed facilities.
4. A detour where traffic, including pedestrians and bicycles, is diverted over a
temporary roadway.
5. Passage of traffic through the work in progress.
• Confirm that the temporary roadway is engineered to the same design considerations
as those in new construction:
1. Geometrics of alignment and roadway section.
2. Surface of the traveled lanes and shoulders or marginal areas.
3. Pavement markings and other delineations.
4. Barrier and guardrail.
5. Signals and lighting.
6. Signing.
7. Pedestrian and bicycle facilities.
8. Pavement structure.
• Show the design of the temporary roadway, including pedestrian and bicycle
facilities, in the traffic control plan. Verify pedestrian facilities comply with the
Americans with Disabilities Act.
• Make safety and convenience the primary design considerations. Economy will be
a factor only as necessary to obtain balance between benefits and resources. By
itself, cost should not be a primary limiting factor.
2-205B General Considerations
No formalized solution and design applies to all situations. The following guidelines are
intended only to guide engineering judgment and ingenuity:
• Create a physical facility that will encourage motorists to appropriately guide their
vehicles on the intended path of travel and make it possible for the vehicle to perform
as intended.
• The traffic lane—the path the car is intended to follow—is a critical element of the
roadway. The following elements affect the driver’s ability to navigate the intended
path:
1. The lane’s geometry.

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2-2.4 Traffic
 2. Pavement surface condition, texture, and color.
3. Pavement markers and other delineation.
4. Signals, lighting, and signing.
• Try to eliminate surprise elements from temporary roadways. Make the
environment like the approach highway. If differences exist, try to make them
readily apparent.
• Collision concentrations and inconvenience may occur with changes in direction,
number of lanes, alignment, and speed. Where possible, compensate for a required
reduction of one by an improvement of another. For example, compensate for a
sharper curve with solutions such as increased lane width or a clear recovery zone.
• Visualize what effect changing conditions of visibility and lighting will create. Glare
conditions in rain, at night, or when facing the rising or setting sun may affect 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 in daytime and at night.
Consider sight distance for drivers due to temporary features (for example,
falsework impeding view of traffic signal system). Anticipate needs for special
treatments such as lighting.
• Review the project for indications of driving difficulty. For instance, look for such
signs as broken delineators, skid marks, and tire marks on temporary railing, all of
which indicate a potential need for improvement. Be aggressive in seeking changes
to improve the situation. Perform additional reviews periodically throughout the
duration of the construction project, since changes may affect the facility’s
effectiveness.
• Reductions in the width or number of lanes affect the capacity and flow of traffic.
When severe congestion is forecast because of capacity reductions, include plans for
using the media to notify the public, Construction Zone Enhanced Enforcement
Program (COZEEP) services, alternate route development, metering by upstream
ramp closures, changeable message signs, radar feedback speed signs, highway
advisory radios, and monitoring the end of the traffic queue.
2-206 Elements of a Roadway 2-206
Following are guidelines for the design of roadways carrying traffic through work zones. Elements of a
Roadway
2-206A Geometrics
For conditions shown on the plans that need adjustment, discuss proposed changes with
the district traffic operations office. Include these considerations for conditions requiring
minor changes in the field:
• Design for the speed that vehicles will travel. The following determine the safe speed
of a vehicle:
1. Alignment
2. Profile
3. Cross section
4. Pavement surface characteristics
5. Lateral clearances to obstructions

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Traffic 2-2.5
 • Design the temporary roadway for speeds consistent with the permanent roadway.
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, confirm that the design speed differential is no more than 10 mph.
Geometrics for a transition at the end of a high-speed approach should be better than
those adequate for a situation within the work zone.
• Locate the transition so it is visible to the approaching motorist. Avoid placing
entering transitions on or just beyond horizontal curves or the crest of a summit
vertical. The transition should be accessed before 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 clear the work zone.
• In the transition, if physically possible, 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 for the least change in alignment, speed, or both. When changes are
necessary, make one change at a time. For example, if the number of lanes is reduced
and the direction changed, complete the lane drop before starting the alignment
change.
2-206B Crossover Transitions
The following guidelines apply to crossover transitions:
• Design crossover transitions to the highest geometric standards within tolerable
limits of cost. Use tangent diagonal crossing in preference to reversing curves.
• When crossovers require the removal of median barriers or protective devices,
review conditions and, where possible, maintain the integrity of the remaining
portions of the devices. For example, anchor guardrail ends and install crash
cushions.
• When crossovers are not in use, place positive barriers across entry areas. Include
appropriate signage.
• Consider additional signage and temporary lighting for crossovers. Consider driver
expectation and ambient light in the area of the crossover for temporary lighting.
2-206C Existing Ramps
For temporary modifications of existing ramps, review acceleration and deceleration
lanes. Reducing standards on existing roadways, such as sharpening curves and
shortening auxiliary lanes, can adversely affect operating characteristics. Supplemental
construction work may be necessary to retain the existing roadway’s effective operating
characteristics.
2-206D Clear Recovery Zone
Whenever physically possible, establish and maintain a safely traversable area outside
the delineated roadway wide enough for a clear recovery zone. To enhance night
visibility, delineate material, equipment, excavations, or obstructions 15 feet or more
from the traveled way (outside normal required protection parameters). Creating clear
recovery zones may also require ordering staging of certain elements of the work,

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2-2.6 Traffic
cleanup grading, and temporary placement or removal of materials. Refer to Section 7-
1.04, “Public Safety,” of the Standard Specifications, and Topic 902.2, “Sight Distance
and Clear Recovery Zone Standards,” of the Highway Design Manual.
2-206E Lane Widths
Lane widths should be consistent with the widths of the approach roadway. A desirable
standard consists of full width lanes plus an effective width of constructed shoulder. To
provide extra maneuvering room, provide wider lanes or additional surfaced shoulder
width in transitions and critical alignment. Confirm that the minimum lane widths in the
standard special provisions and those shown on the Traffic Handling Plans match. If they
don’t, the standard special provisions govern.
2-206F Lateral Shifting
Construction situations frequently require a lateral shifting of traffic in relation to the
normal path of travel and may involve dropping a lane. Use the standard formula for
taper length shown in the California MUTCD or in the project’s traffic control plan
details.
Before opening lanes to traffic, remove or obliterate all conflicting traffic stripes and
markings. Obliterated traffic stripes and markings should not be visible to drivers as
pavement delineation during the day, at night, and under all weather conditions. Verify
that the pavement was not damaged during removal.
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 critical. If new
asphalt concrete joins existing asphalt concrete, the difference in texture and color
between them creates a taper in the new traffic lane that may convey the wrong sense
of direction, especially at night or in rain. An inevitable degree of mismatch between
the old and new surfaces creates a slight discontinuity that may cause a car to lurch
or swerve. Avoid these difficulties by bringing the temporary surfacing back onto
the existing highway in a square joint.
• A square joint is even more necessary when asphalt concrete joins concrete, because
at night and during rainy weather, the joints often stand out more prominently than
traffic lane lines.
• When conditions prevent starting the temporary surfacing at a square joint on the
existing pavement, a treatment such as a light sand seal can establish the continuity
of the traveled lane. Establishing continuity is especially necessary if previous traffic
shifts have created confusing or conflicting diagonal joints and have eradicated
pavement markings.
2-207 Speed Zones 2-207
The following guidelines apply to speed zones: Speed Zones
• If the safe operating speed of traffic through a work zone is significantly less than
the approach speed of highway traffic, a reduced work-zone regulatory speed limit
may be established.

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Traffic 2-2.7
 • Do not use a reduced regulatory speed limit as a substitute for other means of
creating a safe roadway.
• Establish reduced regulatory speed limits in accordance with procedures in the
California MUTCD. District construction and traffic operations office should jointly
review and agree to the limits, and it is advisable to discuss the limits with the
California Highway Patrol (CHP). Caltrans recommends using COZEEP for any
project with a proposed reduced speed zone when funding is available. Refer to
Section 2-215, “Construction Zone Enhanced Enforcement Program,” of this
manual.
• To avoid having to obtain more than one speed reduction order per project, verify
that 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 placed.
• It is imperative that the regulatory speed limit be posted only in areas of the project
where required and only for the duration of the conditions justifying the reduction
as discussed in the speed reduction order provided by district traffic operations staff.
• Regulatory speed limit signing may be considered during work activities when
workers are present on foot and have direct exposure to vehicular traffic. When work
activities are complete for the day, verify that the contractor removes or covers the
signs. When possible, implement temporary speed limit reductions in conjunction
with a COZEEP operation.
• Twenty-four-hour-a-day regulatory speed reductions require prior coordination with
the local CHP office prior to implementation. Imposing a 24-hour-a-day regulatory
speed reductions can be difficult to justify and obtain approval for. Consult with
your CSC, construction traffic manager, and DTM to discuss 24-hour-a-day speed
reductions.
• Use the posting of advisory speeds on warning signs to advise the public what speed
is considered appropriate at specific locations, such as points of curvature or traffic
diversion. The selected speed should be what a driver exercising due care would
drive in normal conditions of light and weather. Advisory speeds are not enforceable
by the CHP.

2-208 2-208 Night Work

Night Work Frequently, special provisions restrict work on the existing traveled way to a specified
period at night. Based on traffic counts, the district traffic operations office determines
times for closures and for night work.
The effectiveness of handling traffic through night construction depends on the contract
plans and the details of the contractor’s activities. Consider these details:
• Avoid traffic splits if possible. Shift traffic to one side or the other, but do not split it
into two traffic streams. This requirement may mean closing an extra lane.
• Confine the work area to as short a distance as practical.
• Work areas should be well lighted, but in a way not to blind drivers of approaching
vehicles. If properly shielded, most lights can be mounted on construction
equipment. Confirm that lighting intensity complies with the Cal/OSHA
requirements.

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2-2.8 Traffic
• Providing for exit ramp traffic within the coned-off area may be difficult. Sometimes
through traffic tends to follow an exiting vehicle. To expedite the work, it is helpful
to close the exit temporarily if the contract, traffic patterns, and volumes permit.
Consult with the transportation management center prior to temporarily closing a
ramp not previously scheduled through the LCS.
• In addition to requirements for signs and warning devices shown on the plans for
traffic control systems, changeable message signs in advance of the work may be
used effectively. Refer to Section 4-1203B (13), “Portable Changeable Message
Signs,” of this manual. You may also consult the district traffic operations office.
• For the use of amber flashing lights and for driving and parking in a closed lane at
night, refer to the Code of Safe Practices at:
http://www.dot.ca.gov/hq/construc/publicationlist.htm
• Verify all equipment is visible to traffic as required by the California Code of
Regulations, Title 8 (8 CCR), “Industrial Relations.”
• Review closure layouts for visibility and effectiveness. Confirm cone locations are
straight and spaced in accordance with sheet T9 of the Standard Plans.
• 8 CCR 1599, “Flaggers,” requires illuminating flagger stations during the hours of
darkness and lighting should be in compliance with 8 CCR 1523, “Illumination,”
for nighttime highway construction. The traffic control system for flaggers should
follow Sheet T13 of the Standard Plans. Confirm that all flaggers are clearly visible
to traffic and their positioning is safe and effective.
• For high-visibility garment requirements refer to Section 2-106C, “High-Visibility
Garment,” of this manual.
• For nighttime operations for contractor staff, the law recommends but does not
require ANSI 107-2004 Class 3 garments. Caltrans inspectors should verify that
garments worn by the contractor’s staff comply at least with ANSI 107-2004
Class 2.
• To maintain cones, signs, and other safety devices, the contractor must patrol the
project’s traffic control systems. Verify that the contractor has assigned a dedicated
person to full time maintenance of traffic control as required by the Standard Plans.
• Personnel representing the contractor who are capable of and empowered to make
decisions quickly if the need arises must be on the job at all times.
2-209 Delineation 2-209
In accordance with Caltrans policy, no undelineated roadway can be opened to Delineation
unrestricted or uncontrolled traffic. Before opening a roadway to unrestricted public
traffic, the final delineation must be in place on the roadway either by using long-term
or short-term temporary delineation or channelizing devices.
For a detailed discussion of acceptable temporary delineation methods, refer to Section
4-12, “Temporary Traffic Control,” of this manual. For a discussion of final delineation
and pavement markings, refer to Section 4-84, “Markings,” of this manual.
2-210 Ramp Closures 2-210
During the planning and design phase of any project, an impact study is made for a Ramp Closures
proposed prolonged ramp closure. The public distribution of the environmental

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Traffic 2-2.9
 document includes local businesses that may be affected and notifies them of any public
hearing.
District construction should request an impact study for proposed prolonged ramp
closures not formally considered in the planning or design phase. Contact the project
manager to arrange the study. It is not necessary to restudy impact previously studied
during planning and design unless significant commercial development has occurred in
the area in the interim. Before making a decision to approve a change order that would
result in a prolonged ramp closure, weigh the results of the study with factors, such as
construction costs, travel costs, delay, and safety.
Request an impact study for ramp closures of short duration where the possibility of
adverse results or sufficient public concern exists to identify effects on adjacent
businesses.

2-211 2-211 Informing the Public

Informing the Timely publicity can significantly improve traffic behavior on a construction project.
Public Motorists who are forewarned of construction conditions will be ideally more tolerant of
delay and inconvenience and probably will be more alert and responsive to work zone
traffic control.
Coordinate with the district public information office to provide the public with advance
information on project road closures, new road openings, traffic rerouting, and changes
in traffic conditions available. Follow the district’s instructions for distributing news
releases. For guidelines on publicizing information, refer to Section 1-206, “Relations
With the Media and Traveling Public,” of this manual.
2-212 2-212 Keeping the Roadway Clear and Clean
Keeping the Roadway Caltrans or the contractor prepares plans to provide unobstructed roadways. Periodic
Clear and Clean project safety audits should note deficient areas and provide recommendations for the
contractor to correct those deficiencies. During these audits, examine the locations of
planned roadside obstacles as well as protective safety devices, signs, striping, detours,
falsework, temporary railing, attenuators, and clear recovery zones. Retain
documentation of these audits 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. Verify the contractor
maintains an unobstructed roadside when work is not in progress.
Verify that all traffic control facilities are in good repair with a continuing program of
inspection, replacement, and cleaning.

2-213 2-213 Roadways Over Railroad Tracks

Roadways Over When construction activities involve railroad rights-of-way or grade crossings, contact
Railroad Tracks the district railroad liaison agent to confirm 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.

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2-2.10 Traffic
The district railroad liaison agent should report to the Public Utilities Commission any
proposed detours that include an at-grade railroad 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 shown on the railroad crossing
sign.
• Existing protection at the crossing.
• Date the detour will be put into use and the estimated time it will be in use.
• Estimated volume of traffic to be detoured over the crossing.
• Whether additional protection is proposed.
If construction involves structure work, send a copy of the above information to Structure
Design.
The special provisions provide detail for railroad requirements including contractor’s
responsibilities with the railroads to move materials or equipment within the limits of the
railroad property.
2-214 Transportation Management Plans 2-214
A TMP is a program of activities for minimizing or alleviating work-related traffic delays Transportation
through traffic-handling practices and strategies, including: public awareness campaigns, Management Plans
motorist information, demand management, incident management, system management,
alternate route planning, and construction methods and staging. Depending on the
complexity of the work or the magnitude of anticipated effects, a TMP may provide
closure charts, standard special provisions for maintaining traffic, traffic control plans,
and—for major projects—a separate comprehensive report. Caltrans’ Transportation
Management Plan Guidelines provide more information on the recommended level of
detail for TMPs.
2-214A Policy
The Code of Federal Regulations, Title 23, Section 630, “Work Zone Safety and
Mobility,” requires Caltrans to adopt a policy that implements TMPs on all federally
funded highway projects. TMPs should be consistent with the Final Rule guidelines for
developing and implementing the policy.
Caltrans requires TMPs for all planned activities on the state highway system. During
the project initiation or planning stage, Caltrans considers TMP measures with
associated road user costs and additional construction costs to the fullest extent feasible.
TMPs include strategies to minimize work-related traffic delays while reducing the
overall duration of work activities where appropriate. Strategies that may result in a net
reduction of overall delay for motorists include full facility closures, extended weekend
closures, continuous weekday closures, A+B contract specifications, and performance-
based, traffic-handling specifications.
2-214B Definitions
Major lane closures—those expected to result in significant traffic impacts despite the
implementation of TMPs.
Significant traffic impact—an individual traffic delay of 30 minutes or more above
normal travel time during recurring congestion on the existing facility. TMP strategies
are designed to maintain additional delays below this maximum threshold, that is, less

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Traffic 2-2.11
 than 15 or 20 minutes. With approval from the District Lane Closure Review Committee,
you may exceed the 30-minute maximum delay.
2-214C Responsibilities
The district construction office and the resident engineer should confirm that the
contractor’s activities are compatible with the TMP that affects the project.
2-214C (1) District Traffic Manager
• Acts as the single focal point for all traffic decisions resulting from planned activities
on the state highway system.
• Determines the extent of a TMP.
• Facilitates review and approval of TMP measures and planned lane closure requests.
• Directs the termination or modification of active planned lane closure operations
when traffic delays become significant, without compromising traveler or worker
safety.
2-214C (2) TMP Manager
• Acts as the single focal point for development and implementation of TMPs.
2-214C (3) Construction Traffic Manager
• Serves as a liaison between construction, the DTM, and the TMP manager.
• Reviews the TMP and traffic contingency plan for constructability issues.
• Acts as a resource for the resident engineer, the DTM, and the TMP manager during
TMP implementation.
• Reviews the contractor’s contingency plan.
2-214C (4) Construction Engineers, Resident Engineers, and Construction
Inspectors
• Confirm full implementation of approved TMPs in close coordination with the
DTM so that the disruption to the traveling public is minimized.
• Work with the DTM to verify that project activities conform to the TMP,
contingency plans are implemented when necessary, and disruption to the traveling
public is minimized and does not exceed limits established in the TMP.
• Include the district TMP manager, the DTM, and the public information officer as
appropriate in preconstruction or work planning meetings.
• Determine when the contractor must submit a construction contingency plan.
• Verify that the contractor is prepared to comply with TMPs related to work
performance.
• Notify the district transportation management center when unforeseen traffic delays
result from planned work.
• Verify that the contractor uses the LCS Mobile website to status closures in a timely
manner. Refer to Section 4-1202C (1a), “Lane Closure System,” of this manual.
• Coordinate work activities with the CHP and other local and regional transportation
stakeholders as appropriate.
During construction, district construction directs the implementation of TMP elements
that are part of the contract or encroachment permit. Contract managers direct their

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2-2.12 Traffic
respective separate contracts or agreements, such as for rideshare activities, transit
activities, and public awareness campaigns.
Confirm that changeable message signs, highway advisory radio, and other media tools
provide accurate and timely information to motorists regarding closure times. Caltrans
can enforce contractor compliance with closure pickup deadlines in two ways:
• A “maintaining traffic” standard special provision allows assessing the contractor a
contract payment deduction for the value of a traffic delay when the contractor
exceeds the closure window. The special provisions specify the minimum penalty
of $1,000 for each 10 minutes and can exceed the minimum depending on the
duration of the delay, traffic volumes, and the highway facility. The DTM calculates
the delay penalty during the design phase of the project.
• The Caltrans representative can suspend the contract work.
Caltrans can order a contractor to pick up a closure early if traffic delays become
significant because of a project incident or activities outside the project area. Caltrans
should order early pickup only when traveler and worker safety will not be
compromised. The “maintaining traffic” special provisions for capital projects provide
for compensating contractors for early pickup. Encroachment permit provisions require
the permittee to pick up a closure early without compensation.
2-214D Construction Contingency Plan
The contractor develops a construction contingency plan to identify activities,
equipment, processes, and materials that may delay reopening of closures in the event of
failure or breakage. The contingency plan identifies alternative or additional equipment,
materials, or workers necessary to allow continuing activities and on-time reopening of
closures if a problem occurs. If the equipment, materials, or workers are not onsite, the
contingency plan specifies the method of mobilizing these items and personnel, and the
time required to complete the mobilization.
Critical pieces of equipment are those necessary to complete the planned work in the
closure, for which no close onsite substitutes exist, and which—if rendered
inoperative—would extend the closure beyond the time allowed in the closure charts.
Critical work activities are those performed in a closure that would render any portion of
the traveled way unsuitable for public traffic use. The activities would, therefore, cause
the closure to remain past the time allowed in the closure charts.
The contractor develops a contingency plan and submits it within 1 day of the resident
engineer’s request or as specified in the standard special provisions. Discuss the
contingency plan at the project partnering or preconstruction meeting.
Samples of activities that may require a contingency plan:
• Any activity requiring a full roadway closure
• Blasting
• Rapid-strength concrete operations, including concrete slab replacement
• Roadway excavations that encroach on the traveled way and are not protected by K-
rail
• Cold planing hot mix asphalt for depths of 2 inches or greater
• Hot mix asphalt paving
• Asphalt or concrete grinding

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Traffic 2-2.13
 • Chip seal
• Asphalt or concrete pavement sealing operations
• Bridge work
• Placement of reinforcing steel or structural members
• Falsework erection or removal, including adjustments
• Bridge demolition
• Striping
A construction contingency plan describes:
• Critical stage for each operation when the alternative or additional equipment,
materials, or workers must be activated.
• Communication equipment (for example, cell phones) and procedures to follow
when communicating with the resident engineer’s field representatives during
contingency plan activation.
• Intended amount of work to be done during each closure. Describe the work by
length, width, and unit of measure conforming to the appropriate progress pay items.
• Operation work schedule with a timeline set at 20-minute intervals.
• How the contractor will meet the projected rates for material delivery to the job site.
Materials produced offsite and delivered to a job site, such as asphalt concrete and
concrete, can be delayed by events including plant breakdown, loss of trucking, or
trucking delayed by traffic congestion because of accidents or by the project itself.
• Beginning and ending times for critical work activities for work conducted in a
closure.
• A general time-scaled logic diagram displaying the major activities and sequence of
planned activities that comply with special provision requirements.
• A set of contingency action plans for each stage of the activities to prevent late
opening of the traffic lanes. Clearly identify early-finish and late-finish milestones
for every major activity. The contingency action plans should include detailed
operations undertaken in case a major activity passes the late-finish milestone.
• Anticipated cooling times needed for asphalt concrete pavements before opening a
lane, shoulder, or ramp to public traffic.
• Anticipated times for sweeping the roadway following grinding or import borrow
haul operations to allow public travel with little to no visible dust when the lane is
opened to traffic.
• Anticipated times to place and compact temporary asphalt tapers once paving is
complete and prior to opening to traffic.
• Anticipated times for beginning the closure pickup.
• Anticipated length of time, rounded to the nearest 5 minutes, to pick up the closures.
• Timelines for the contractor and the engineer to meet at the job site, review progress,
and forecast when work will be stopped to open the lane, shoulder, ramp, or route
to the public.
The contractor verifies or updates the contingency plan at the same time as submitting
the written schedule of planned closures. If a revision is required, the contractor should

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2-2.14 Traffic
not close any lanes until the resident engineer has reviewed the contingency plan.
2-215 Construction Zone Enhanced Enforcement Program 2-215
Caltrans and the CHP have an interagency agreement that is the basis for the Construction
Construction Zone Enhanced Enforcement Program (COZEEP). It is an enhancement Zone Enhanced
tool for construction zones and is not intended as a replacement for other temporary Enforcement
traffic control measures. Caltrans contracts, procedures, and guidelines form the basis Program
for traffic-control measures throughout its construction projects and establish a baseline
for operations statewide. COZEEP is not a baseline measure—an important fact when
resources are limited and CHP personnel may not be available when requested. Under
the agreement, Caltrans pays the CHP for furnishing officers and cars for construction
zones.
To implement COZEEP, use the guidelines below, intended to apply COZEEP resources
more uniformly throughout the state. Use the guidelines when determining when and
how to use COZEEP on a project. Document the reasons for COZEEP use.
2-215A COZEEP Funding
Consult your district COZEEP coordinator for a current estimate of hourly and mileage
COZEEP cost.
2-215A (1) Estimating COZEEP Funding Requirements
The project engineer should include the project estimate funds necessary to provide
COZEEP as state-furnished materials and services. The pending file for the project
maintained by the resident engineer should include the basis of that estimate.
The cost estimate used in the plans, specifications, and estimate is based on the expected
number of events needing COZEEP identified during project development. The cost
estimate should include an estimated number of COZEEP service hours and travel time
converted into an equivalent dollar cost.
When estimating COZEEP hours, take the following CHP operating policies into
account:
• CHP policy requires two officers in each unit from 10:00 p.m. through 6:00 a.m.
Caltrans obtained an exception to have one officer per vehicle whenever two or more
units are near one another on the same project, however, this is a local CHP office
commander decision. Coordination with the district COZEEP coordinator is needed
to determine local CHP policies.
• CHP policy and the COZEEP agreement require that a sergeant or higher ranked
officer be assigned to oversee COZEEP officers if there are more than 4 officers
assigned to a project.
• The CHP memorandum of understanding requires a minimum payment of 4 hours
per officer. Caltrans reimburses CHP officers who provide COZEEP services on
overtime at time and a half.
• Time and mileage are based on officers’ starting and stopping times at their reporting
station and include travel to and from the project. CHP officers are supposed to be
assigned from the nearest local office. Check with the COZEEP coordinator to
determine location of the nearest CHP office that will be supporting your project.

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 2-215A (2) Redirection of Project Funds
The detail estimate will show the initial funding level provided for COZEEP as
supplemental funds for state-furnished materials and services. If additional funds are
required during the life of the project, the resident engineer can transfer available
contingency funds to “state-furnished materials and services—COZEEP.” Likewise, the
resident engineer may transfer unused COZEEP funds to the contingency fund and use
them for other purposes when 90 percent of the contract item work is completed.
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 supplemental work funds
and contingency funds, propose a fund request. The request may be processed under
the G-12 process or require a California Transportation Commission supplemental
vote. Process, justify, and document the request the same way as any other fund
request.
• Maintenance funded projects—on maintenance projects, obtain additional funding
through a request to the district Maintenance Unit.
2-215B COZEEP Responsibilities
The resident engineer and project engineer share responsibilities for COZEEP
implementation and funding allocation.
2-215B (1) Project Engineer
• On every project that requires the contractor to close traffic lanes, the project
engineer should assess the need for COZEEP as part of the project’s safety review,
constructability review, or both. The project engineer should consult with the
resident engineer to determine which specific construction operations should use
COZEEP and use that as the basis of the initial funding.
• The project engineer should include adequate COZEEP funds in the project
estimate. Look in the resident engineer’s pending file for design assumptions and
estimate calculations.
2-215B (2) Resident Engineer
• The resident engineer administers the COZEEP program on the project.
• The resident engineer should determine which contractor activities might use
COZEEP support. This should be done when a request for COZEEP has been
received in writing from the contractor. Supporting justification for use or nonuse of
COZEEP should be documented in Category 21, “Construction Zone Enhanced
Enforcement Program,” of the project files. Any contractor requests for COZEEP
that are denied by the resident engineer should be in writing to the contractor stating
the reasons for denial of the COZEEP support.
• If a change order is processed that requires COZEEP support, and it is estimated that
existing state-furnished materials funding for COZEEP is not sufficient, include
additional funding for COZEEP as part of the change order.
• If the contractor requests additional CHP support beyond what the project plan
includes, you may, if appropriate, write a change order. The contractor bears costs

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2-2.16 Traffic
 and expenses for additional support from the CHP, and Caltrans deducts associated
costs from monies due the contractor.
• When evaluating cost reduction proposals and change orders requested by the
contractor, take into account the costs and savings for COZEEP services.
• Initiate and obtain CHP sign-off of Form CEM-2101, “COZEEP Daily Report.” At
the end of each day, report to the district COZEEP coordinator the COZEEP services
used during that week.
2-215C COZEEP Implementation
Use the following criteria and risk factors to determine when COZEEP is needed on a
project.
2-215C (1) Freeways and Expressways
As funding and operations allow, consider providing COZEEP for the following
situations:
• Day or nighttime temporary closures of all lanes in the same direction of travel (full
freeway closures).
• Nighttime closures of two or more lanes on a freeway with three or more lanes of
travel in the same direction.
• Other closures determined on a project-specific basis.
Generally, COZEEP is not necessary when only one lane is closed on freeways with four
or more lanes in the same direction of travel.
2-215C (2) Connectors and Ramps
Evaluate the COZEEP use criteria for lane closures on freeway-to-freeway connectors
and for night closures of exit and entrance ramps. Daytime ramp closures do not usually
need COZEEP.
2-215C (3) Conventional Highways
Evaluate the COZEEP use criteria for complete highway closures and nighttime closures
of one or more lanes on multilane highways. In general, closures on two-lane highways
and daytime closures on multi-lane highways do not require COZEEP.
2-215C (4) COZEEP Use Criteria
The following COZEEP use criteria are not an all-inclusive list. Safety reviews
conducted during the project’s development may identify other deciding factors.
• A median barrier, bridge rail, or retaining wall may block worker escape routes.
Lack of escape options increases the likelihood of motorist-involved accidents that
will disrupt traffic flow.
• Night construction activities (for example, replacing pavement slab, replacing
bridge joint seals, and replacing pavement markers) that do not create an obvious
work zone, except while operations are in progress, can create an unexpected
condition for drivers—even those familiar with the highway.
• Construction activities such as night paving may be a deciding factor when the
operation requires a large number of trucks into and out of the work area.

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

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

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Traffic 2-2.19
 2-215D (7) Problem Resolution
Resolve any accounting differences between the information Caltrans gives the CHP and
the internal information CHP obtains from its payroll system. Return exceptions to the
district and area offices involved for resolution. Make every effort to resolve disputes at
the lowest level (between the resident engineer and the CHP coordinator at the local CHP
area office). If an impasse occurs, the district COZEEP coordinator and the designated
CHP division office contact should act as the second level of review. The last level of
review will be the COZEEP statewide coordinator.
2-216 2-216 Pedestrian Facilities
Pedestrian Facilities Work zone activities can disrupt the public’s mobility and access. Caltrans attempts to
maintain safe and convenient access for pedestrians and bicyclists, who are susceptible
to disruptions because of their slower speeds and sensitivity to uneven surfaces, noise,
airborne dust, road debris, and fumes.
Reviewing the needs and control of all road users is an essential part of highway
construction, utility work, maintenance operations, and the management of traffic
incidents through a work zone. Users include motorists, bicyclists, and pedestrians
within the highway, including persons with disabilities, defined by the Americans with
Disabilities Act of 1990 (ADA). The California MUTCD Part 6 contains figures that can
be adapted for traffic-handling plans. Figures 6H-28 and 6H-29, “Sidewalk Detour or
Diversion,” and “Crosswalk Closures and Pedestrian Detours” of the California
MUTCD are examples for accommodating the needs and control of pedestrians.
The design phase of a project considers accommodating pedestrians through or around
the work zone.
2-216A Related Caltrans Standard Specifications
The contractor is responsible for accommodating pedestrians through or around the work
zone. These Standard Specifications sections apply to pedestrian facilities:
• Section 7-1.02A, “General,” requires the contractor to comply with current laws,
regulations and decrees.
• Section 7-1.04, “Public Safety,” requires that the contractor provide for the safety of
the public during construction.
• Section 12, “Temporary Traffic Control,” directs the contractor’s attention to the
California MUTCD.
• Sections 12-4.04, “Pedestrian Facilities,” and 16-2.02, “Temporary Pedestrian
Facilities,” require the contractor to provide pedestrian access.
Verify that the contractor adheres to the following:
• If the contractor’s activities require the closure of one accessible pedestrian facility,
provide a travel path that replicates, if possible, the most desirable characteristics of
the existing walkway. Take special care to consider areas in schools or senior citizen
center locations.
• When construction affects the pedestrian facility, the contractor should maintain a
continuous unobstructed path connecting existing accessible elements (parking lots,
bus stops, and so forth) through the project.
• Provide advanced notification of sidewalk closures.

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2-2.20 Traffic
• Keep pedestrian facilities clear of obstructions. Traffic control devices, equipment,
and other construction materials and features should not protrude into the usable
width of the sidewalk, temporary pathway, or other pedestrian facility.
• In addition to required openings through falsework, provide accessible pedestrian
facilities during pile driving, footing, wall, and other bridge construction activities
where an accessible route was available before construction began.
• Provide hand railings on each side of pedestrian walkways as necessary to protect
pedestrian traffic from construction operation hazards. Maintain railings and
walkways in good condition.
• Provide protective overhead covering as necessary to protect from falling objects
and dripping from overhead structures.
• A pedestrian traffic handling plan may be required if the contract plans do not
identify the affected facility. Refer to Section 7-1.04, “Public Safety,” of the
Standard Specifications for guidance on temporary facilities that provide safe
passage of traffic.
• The contractor is responsible for accommodating pedestrians through or around the
work zone whenever the work disrupts pedestrian facilities.
At the preconstruction conference, discuss the need for temporary pedestrian facilities
and ADA requirements. For details related to preconstruction conferences, refer to
Section 5-003, “Preconstruction Conferences with the Contractor,” of this manual.
2-216B Requirements of the California Manual on Uniform Traffic Control
Devices
When planning for pedestrians in work zones, verify that the contractor does the
following items:
• Avoids putting pedestrians into conflicts with worksite vehicles, equipment, and
operations and with vehicles moving through or around the worksite.
• Provides pedestrians with a reasonably safe, convenient, and accessible path that
replicates, as nearly as practical, the most desirable characteristics of the existing
sidewalks or footpaths.
When existing pedestrian facilities are disrupted, closed, or relocated, the temporary
facilities should be detectable and include accessibility features consistent with those in
the existing pedestrian facility. Refer to Part 6, Chapter 6D of the California MUTCD.
If the pedestrian facility existing before construction began was accessible to pedestrians
with disabilities, the one provided during construction should also be accessible.
Do not sever or move a pedestrian route for nonconstruction activities such as parking
for vehicles and equipment.
Maintain a width of 60 inches throughout the length of the pedestrian pathway. When it
is not possible to maintain a width of 60 inches, provide a 60-by-60-inch passing space
at least every 200 feet to allow individuals in wheelchairs to pass. The path must have a
clear width of no less than 48 inches. Verify that no fixed objects (cabinets, poles, and
so forth) will reduce the path width at any point.
The path must be stable, firm, and slip resistant. Pedestrian facilities must be surfaced
with asphalt concrete, portland cement concrete, or timber. Dirt is not an acceptable
surface.

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Traffic 2-2.21
 The cross slope must be no greater than 1:50 (2 percent) and the running slope no greater
than 1:20 (5 percent).
Signs and other devices mounted lower than 7 feet above the temporary pedestrian
pathway should not project more than 4 inches into accessible pedestrian facilities. Refer
to Part 6, Section 6D.02, “Accessibility Considerations,” of the California MUTCD.
Place a barrier across the full width of a closed sidewalk. A person with a visual disability
traveling with the aid of a long cane should be able to detect it.
Unless the contractor can provide a reasonably safe route that does not involve crossing
the roadway, use appropriate advance signing to direct pedestrians to cross to the
opposite side of the roadway. In urban and suburban areas with high vehicular traffic
volumes, place the signs at intersections. Midblock worksites should not cause
pedestrians to skirt the worksite or make a midblock crossing. Refer to Part 6, Section
6H, “Typical Applications,” and figures 6H-28 and 6H-29 of the California MUTCD.
Consider separating pedestrian movements from both job site activity and vehicular
traffic. When pedestrians are routed adjacent to live traffic, provide barrier protection to
prevent vehicles from entering the pedestrian facility.
Do not use tape, rope, or plastic chain strung between devices as controls for pedestrian
movements. They are not detectable by persons with visual disabilities.
2-216C Permanent Facilities
Verify that the contractor constructs permanent new facilities and alterations to existing
facilities in accordance with the contract plans and specifications.
Additional resources for consideration:
• Caltrans Design Information Bulletin 82-05, “Pedestrian Accessibility Guidelines
for Highway Projects,” which addresses requirements for pedestrian accessibility
for public use in new construction and alterations of existing facilities.
• Standard Plans A87A, A88A, A88B, A90A, A90B, ES-4C, ES-5C, and ES-7A.
• Section 4-73, “Concrete Curbs and Sidewalks,” of this manual provides policies and
procedures for those facilities.
If a change order is needed to add a permanent facility, contact the district Design Unit
to develop plans.
During the inspection process, check that all contractor-installed finished elements
comply with dimensions and installation requirements.
Do not exceed the maximums shown in the requirements listed in Section 4.3,
“Pedestrian Accessibility Guidelines for Highway Projects,” of Design Information
Bulletin Number 82-05. They are absolute.
2-216D Temporary Facilities
For temporary pedestrian facilities, do the following:
• Pedestrians, including persons with disabilities, need to be accommodated through
and around work zones. If a temporary pedestrian facility is needed, it should follow
the ADA checklist in the Temporary Pedestrian Facilities Handbook available at:
http://www.dot.ca.gov/hq/construc/safety/
• Routinely inspect temporary pedestrian facilities for compliance.

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2-2.22 Traffic
• Document reasons why an item does not comply with the ADA checklist in
Category 46, “Assistant Resident Engineer’s Daily Reports,” of the project records.
• Construction staff needs to complete the job-related temporary pedestrian facilities
training within 6 months of assignment to inspect or administer contracts if they
have not taken the online training within the previous 3 years. In addition, it is
recommended that construction field staff take the online training every 3 years as a
refresher. To sign up for the training, submit a training request in Staff Central for
this course by following the instructions at:
http://construction.onramp.dot.ca.gov/temporary-pedestrian-facilities-training

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Traffic 2-2.23
Chapter 2 Safety and Traffic

Section 3 Major Construction Incidents

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

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

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Major Construction Incidents 2-3.1
 • A hazardous spill on a roadway within construction project limits.
• An incident causing major traffic delays.
2-302C Notification of Emergency Highway Closure
Immediately report to the district dispatch center or the traansportation management
center (TMC) any situation that requires emergency closures of traffic lanes or the
highway. For information on reporting closures, refer to Section 4-1203C,
“Maintaining Traffic,” of this manual. Provide timely and accurate information to
allow the TMC to notify the California Highway Patrol, the media, and the public of
possible delays.

2-303 2-303 Reporting Procedures

Reporting Procedures Immediately report all reportable accidents and major incidents to the district TMC, the
district dispatch center, or—when TMC or the center is closed—the Caltrans Highway
Information Center. Use Form CEM-0603, “Major Construction Incident
Notification.”
Email an initial report to [email protected]. The Office of Health
and Safety in the Division of Safety and Management Services and the Division of
Construction monitor this email address. Also send copies of the report to the district
construction safety coordinator and district management.
If email is unavailable, fax the form to the numbers at the top of the form, the district
construction safety coordinator, and district management.
When necessary, Form CEM-0603 may also be used to email or fax an updated report
providing supplementary information to the initial report.
2-304 2-304 Guidelines
Guidelines When responding to major incidents in construction zones, do the following:
• Take appropriate action without jeopardizing public or employee safety.
• Document all incident details, paying special attention to traffic controls set up and
the contractor’s activity at the time of the incident. Take pictures of the job site
along the incident location and file them with the incident details in Category 6,
“Safety,” of the project file.
• Provide timely and accurate information to management to document the extent of
the incident and to identify major issues and current actions.
• In the event of a closure or restriction, restore the transportation facility to full
operation as quickly as possible.
• Mitigate the effect on the public or the project caused by unusual or extraordinary
occurrences.
The district construction deputy director activates a construction incident response
team when warranted by the sensitivity and severity of a major incident. The team’s
principal purpose is to provide incident information to Caltrans managers and the
media. The team enables the resident engineer to focus on restoring the transportation
system, the project, or both. The team may also advise the resident engineer on
technical matters. The construction engineer heads the team, which may also include:
• A representative of the district public relations staff.

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2-3.2 Major Construction Incidents
• Technical personnel from other Caltrans functional areas such as safety, traffic,
structures, design, or environmental.
Report hazardous material encounters and hazardous spills as outlined in 2-303,
“Reporting Procedures,” earlier in this section. For more information on procedures to
follow in the event of hazardous material encounters or hazardous spills, see Figure
7-1.1, “Unknown Hazards Procedures,” in Chapter 7, “Environmental Stewardship,” of
this manual.
As described in Section 2-214D, “Construction Contingency Plan,” of this manual, the
contractor must have a contingency plan for reopening closed traffic lanes.

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Major Construction Incidents 2-3.3
 Chapter 3-
General Provisions
Chapter 3 General Provisions

Section 0 Introduction
3-001 Scope
3-002 Purpose

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Introduction 3-0.i
Chapter 3 General Provisions

Section 0 Introduction Section 0

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

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Introduction 3-0.1
Chapter 3 General Provisions

Section 1 General Section 1

Sections 1-1.06, “Abbreviations,” and 1-1.07, “Definitions,” of the Standard General
Specifications define terms and abbreviations used in specifications and the Bid Item
List. Some sections of the Standard Specifications may include definitions that are
specific to that section. The Standard Plans also contain a list of abbreviations and
symbols that the engineer’s estimate uses for unit of measure.
Resident engineers and others preparing contract documents and correspondence must
be familiar with the terms and symbols and use them correctly.

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General 3-1.1
Chapter 3 General Provisions

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

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Bidding 3-2.i
Chapter 3 General Provisions

Section 2 Bidding Section 2

Bidding
3-201 General 3-201
Section 2, “Bidding,” of the Standard Specifications covers proposal requirements and General
conditions that apply to a contractor bidding on a project. The Division of Engineering
Services - Office Engineer (DES-OE) and the Division of Procurements and Contracts
(DPAC) must adhere to requirements of this specification. District construction
personnel must be familiar with this specification, 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 publication of contract information in the California State Contracts Register.
Before bid opening, Caltrans will allow a minimum of 3 weeks (more if the project is
complex) for contractors to obtain plans and specifications, and prepare their bids.
Emergency projects may have a shortened advertisement period. Plans and
specifications for major and Minor A projects are available at:
http://www.dot.ca.gov/hq/esc/oe/contract_awards_services.html
DPAC advertises for Minor B projects. The Minor B limit is evaluated and re-
established every 2 years and DPAC announces the new policy by issuing a DPAC
Information Bulletin:
http://dpac.onramp.dot.ca.gov/bulletins-and-memos
Solicitation documents for Minor B projects are no longer provided in hard copy form.
Plans and specifications for Minor B projects are available at:
http://www.dot.ca.gov/hq/dpac/
3-203 Bid Opening 3-203
Information on where and when the bid openings are held for all projects, including Bid Opening
electronically bid projects if scheduled, is available at:
http://www.dot.ca.gov/hq/esc/oe/contract_awards_services.html
DPAC opens bids in Sacramento for Minor B projects. Bid openings are held at 1727
30th Street, 1st Floor, Sacramento at 3:00 p.m. on the date specified in the solicitation.
Bidders may participate in person or via teleconference by calling 1-866-700-7952 and
entering the pass code 7089821#.
3-204 Communication With Bidders 3-204
To protect the integrity of the bidding process, no bidder must be given a real or Communication
perceived advantage over any other bidder. Use the following guidelines to ensure that With Bidders
any information provided to one bidder is also provided to all other potential bidders
for a particular project.
• Only designated district construction personnel must answer bidder inquiries. The
design engineer, construction field personnel, or other nondesignated Caltrans

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Bidding 3-2.1
 personnel must never respond to bidder inquiries. Respond to inquiries within two
business days, even if only to acknowledge receipt, pending further review.
• Thoroughly investigate bidder inquiries, and provide timely and conclusive
responses. Post responses to the consolidated bidder inquiry system located at:
http:/cap3/oe/inquiry/
• Number the responses to facilitate bidder comments and the follow-up questions to
responses. Specify the date responses are posted.
• 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 2-1.07, “Job Site and Document Examination,” of
the Standard Specifications or any other provision of the
contract, the plans, Standard Specifications, or special provisions
nor to excuse the contractor from full compliance with those
contract requirements. Bidders are cautioned that subsequent
responses or contract addenda may affect or vary a response
given previously.

• Refer directly to the plans, specifications, and other provisions of the contract.
Quote specific sections of the Standard Specifications and special provisions, as
well as specific sheet numbers and details on the plans and Standard Plans.
• Ensure conclusive responses. If an inquiry cannot be answered conclusively by
directly referring to the contract provisions and requires some measure of
amplification, confirm the statewide interpretation by consulting with the district
construction office, the Division of Construction, the Division of Engineering
Services, or other program with the necessary knowledge. Give special emphasis
to assessing the need for an addendum. Before giving a response that involves
inquiries regarding construction methods, obtain direction from the district
construction office. Routinely route inquiries and proposed responses through
appropriate support and construction functions. Before bid opening, the resident or
construction engineer responsible for administering the project will review all
inquiries and subsequent responses at the Office Engineer website.
• 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 DES-OE as soon as
possible of addenda proposed or under consideration. Responses to inquiries,
whether made orally or in writing, do not become part of or change the contract.
However, they may be used in defending Caltrans or the contractor’s position in a
dispute when the industry has been given related knowledge before bidding.

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3-2.2 Bidding
• Rarely respond with “Please bid per the current contract documents” However,
such responses may be appropriate, depending on the scope of the particular issue,
the timing of the bidder inquiry, and other factors.
• It may be impractical to post responses to certain inquiries submitted too close to
the bid opening date. Although you should aggressively pursue the investigation of
all bidder inquiries, Caltrans may consider the particular circumstances and waive
posting a response, if warranted.
• Post all responses, including “Please bid per the current contract documents”
responses.
3-205 Disclosure of Construction Estimates 3-205
Until bids are opened, the engineer’s estimate of the cost of each contract item, Disclosure of
supplemental fund allocation, contingency fund allocation, Department-furnished Construction
materials allocation, and any other portion of the project estimate are not public Estimates
information.
Before bid opening, bidders may know only the total allocated funds available on a
specific project. This information is available for Minor A and major projects. The
weekly advertisement for bid listing provides the information either in hard-copy form
or on the internet:
http://www.dot.ca.gov/hq/esc/oe/

For Minor B project funds allocation information, call the Sacramento office at (916)
227-6000 or use the internet:
http://www.dot.ca.gov/hq/dpac/

3-206 Names of Prospective Bidders 3-206

For all projects except Minor B construction projects, the names of prospective bidders Names of
are available at: Prospective Bidders
http://www.dot.ca.gov/hq/esc/oe/contract_awards_services.html

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Bidding 3-2.3
Chapter 3 General Provisions

Section 3 Contract Award and Execution

3-301 General
3-302 District Recommendation

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

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Contract Award and Execution 3-3.1
Chapter 3 General Provisions

Section 4 Scope of Work

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

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Scope of Work 3-4.i
Chapter 3 General Provisions

Section 4 Scope of Work Section 4

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

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Scope of Work 3-4.1
 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.
Extra work is any work, desired or performed, but not included in the original contract.
Extra work is not a payment method. Refer to Section 3-9, “Payment,” and Section 3-
5, “Control of Work,” of this manual for a discussion of payment methods for extra
work.
Use the specifications’ definitions of the various bid items if the changed work is extra
work. If the changed work is the same as items included in the contract, make payment
at the bid item price.
If the changed work can be defined as bid items, but the unit cost differs materially,
make payment under the provisions of Section 4-1.05B, “Work-Character Changes,”
of the Standard Specifications, rather than for the entire added work as changed work.
Changed work becomes a part of the contract when added by an approved change
order. The contractor bears the same responsibility for this changed work as for any
other work performed under the contract.
3-403A Work-Character Changes
Before work can be considered a work-character change, an ordered change to the
plans or specifications must occur. If such an ordered change materially increases or
decreases the unit cost of a bid item, then a work-character change has occurred. Work-
character changes are not to be confused with differing site conditions, discussed in
Section 3-404 of this manual.
When calculating the adjustment for a work-character change, the original bid price
bears no relation to the adjustment unless it can be demonstrated that the bid price
actually represents the cost of the work. Section 5-3, “Change Orders,” of this manual
contains examples of calculations. Example change orders are available at:
http://www.dot.ca.gov/construction/change-order/examples.html
Also refer to Section 9-1.15, “Work-Character Changes,” of the Standard
Specifications and Section 3-904C, “Work-Character Changes,” of this manual.

3-404 3-404 Differing Site Conditions

Differing Site A differing site condition clause was initially developed by the federal government in
Conditions the 1920s to protect contractors from excessive risk. The inclusion of the clause
benefits Caltrans by reduced bidding contingencies that may be included by
contractors. The differing site condition clause is required on all federally funded
projects under Code of Federal Regulations, Title 23, Section 635.109 (23 CFR
635.109), “Standardized Changed Condition Clauses.”
When a differing site condition occurs, Section 4-1.06, “Differing Site Conditions (23
CFR 635.109),” of the Standard Specifications provides requirements for Caltrans and
the contractor. When a differing site condition arises, contact the district Materials Unit
or Geotechnical Services.

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

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Scope of Work 3-4.3
 Type 2 differing site conditions are more difficult to prove and are most frequently
asserted by the contractor when there is no soils report data available for comparative
analysis. Consider the plans and specifications when evaluating a Type 2 differing site
condition. Certain designs imply expected conditions; for example, a spread footing
foundation may mean that groundwater will not be present at the footing.
Consider the following three elements when analyzing a Type 2 differing site
condition:
1. Unknown physical condition encountered not inherent in the area.
2. Physical condition at the site is unusual in nature.
3. Materially different than ordinarily encountered in the type of work required by the
contract.
3-404B Procedure
The contractor is required to investigate the site and carefully examine the bid
documents under Section 2-1.07, “Job Site and Document Examination,” of the
Standard Specifications. For the contractor to recover damages for a differing site
condition claim, the following steps must be taken:
• Before disturbing the conditions, the contractor must provide to the resident
engineer written notice in the form of a request for information. Refer to Section
3-5, “Control of Work,” of this manual for additional information.
• The resident engineer or structure representative must investigate the conditions
and determine if they differ materially and cause an increase or decrease in the cost
or time to do the work. Compare the encountered conditions with the contract
documents as well as the following: the log of test borings; any other records of
geotechnical data obtained by Caltrans’ investigation of sub-surface conditions; the
materials Information Handout; the site conditions above ground; and other
available records of data. The conditions encountered must either be materially
different from those represented by the bid documents or be materially different
from those normally encountered or inherent in the industry.
The resident engineer must remain alert to the possibility that a differing site condition
may result in a credit to the state. If such a condition is encountered, the resident
engineer must promptly notify the contractor in writing.
The specifications for differing site conditions do not apply to those situations covered
in other sections of the Standard Specifications. For example, those situations found in
Section 5-1.36D, “Nonhighway Facilities,” and Section 19-1.03D, “Buried Man-Made
Objects,” are not differing site conditions.
Differing site conditions are not considered work-character changes because the
conditions do not result from ordered changes. However, determine and give
compensation or credit due to differing site conditions in the same manner as work-
character changes. To determine how compensation is made for work-character
changes and for an example change order, refer to Section 5-3, “Change Orders,” of
this manual.
3-404C Management Review Committee
If the resident engineer disagrees with the contractor’s claim of a differing site
condition, a management review committee is formed to clarify Caltrans’ position on

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

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Scope of Work 3-4.5
 information required by Section 4-1.07B, “Value Engineering Change Proposal,”
of the Standard Specifications. Thus, the proposal must include information
regarding the following:
1. Any construction effects related to staging, right-of-way, or environment.
2. Any required permits or permit modifications.
3. Maintenance or enhancement of essential functions or characteristics of the
project such as service life; reliability; economy of operation; ease of
maintenance; desired appearance; conformity to design, safety, and other
applicable standards; and what the deadline is that the contractor requires a
decision be made on the proposal.
• Get concurrence from the construction manager that the preliminary written
proposal is acceptable. If acceptable, notify the contractor to submit a complete
proposal. The proposal must have sufficient detail to enable a final review and
approval. The information provided should answer all questions that arose from
Caltrans’ review of the preliminary proposal. It must also include applicable
calculations, revised plans, and revised specifications. To resolve issues, the
contractor and the resident engineer may need to have additional meetings and
discussions. Before forwarding the proposal for final review by the appropriate
units, ensure the proposal is complete.
• With assistance from the resident engineer, the construction engineer coordinates
Caltrans’ evaluation of the VECP to meet the deadline requested. The review
includes the designer and the project manager. It may be necessary to consult with
additional subject matter experts to aid in the evaluation, such as the structure
designer on record and Geotechnical Services. In addition to the subject matter
experts, the evaluation may also include the Division of Construction’s field
coordinator, the construction manager, and the deputy district director or region
division chief of construction.
• Consider the following factors in determining whether or not a proposal is
acceptable (do not include any cost benefit resulting from these factors in the
actual computation of net savings in construction costs):
1. Any engineering, environmental, legal, or administrative considerations
making the proposal impractical or unacceptable.
2. The relationship of net savings to the cost of evaluating and implementing the
proposal.
3. Any total benefit to the public including construction savings or reduced
engineering costs.
4. Improved operations.
5. Reduced maintenance.
6. Improved safety and traffic service or other values that clearly favor the
proposal.
• Compute the VECP net savings due to the changed work in accordance with the
methods detailed in Section 4-1.05B, “Work-Character Changes,” of the Standard
Specifications. The net savings must result from the difference in the actual cost of
doing the work in accordance with the contract plans and specifications as
originally planned and the actual cost of doing the work based on designs,

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3-4.6 Scope of Work
 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 the
contractor agreed to share.
• If the submitted proposal appears acceptable, but Caltrans’ anticipated engineering
costs are high, the contractor must stipulate in writing a willingness to share such
costs before the proposal will be evaluated further. This willingness must be
stipulated whether or not the proposal is ultimately adopted. Such a letter from the
contractor provides the district with the authority to deduct engineering costs from
progress payments. To record Caltrans’ engineering costs, proceed as follows:
1. For the phase 3 expenditure authorization, establish a sub-job number.
Establish this number regardless of the proposal’s subsequent approval or
rejection. Charge all time spent evaluating the proposal to the sub-job number.
2. To provide the means of segregating costs, the district must immediately
prepare and submit for master file the sub-job number. After executing the
change order for the VECP, do not charge construction engineering to the sub-
job number.
3. In conformance with Section 4-1.07B, “Value Engineering Change Proposal,”
of the Standard Specifications, you may deduct from progress payments a
portion of Caltrans’ engineering costs for evaluating the VECP. Use the
following method to determine the deduction. If Caltrans’ engineering costs
(A) exceed Caltrans’ share (B) of the total computed net savings, deduct the
difference (A minus B) from progress payments. Inform the contractor of the
reason for any deductions.
• If the submitted proposal provides for a substantial benefit to the public but no net
savings, a change order may be issued based on public benefit. However, the
change order would not be written as a change order for a VECP but as an
engineer-requested change order.
• In accordance with Section 4-1.07B, “Value Engineering Change Proposal,” of the
Standard Specifications, prepare a change order to authorize the VECP. For
guidance in preparing a change order for a VECP, refer to Section 5-314, “Value
Engineering Change Proposals,” of this manual. Carefully consider the change
order’s clauses covering payment to the contractor. In the change order, resolve all
compensation and other issues related to the proposal. Before starting the
authorized work, the contractor must execute and Caltrans must approve the
change order.
• If you determine the proposal is not acceptable, you must get concurrence from the
district construction deputy director.
3-406 Cleanup 3-406
Section 4-1.13, “Cleanup,” of the Standard Specifications requires the contractor to Cleanup
clean up the work site. In addition to this general requirement, Section 22, “Finishing
Roadway,” of the Standard Specifications, contains more detailed requirements for
cleaning the roadway. For more information, refer to Section 4-22, “Finishing
Roadway,” of this manual.

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Scope of Work 3-4.7
 Before recommending relief of maintenance or acceptance of the contract, ensure the
contractor meets all the requirements for cleaning up the site. Section 4-1.13 of the
Standard Specifications allows 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.

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3-4.8 Scope of Work
Chapter 3 General Provisions

Section 5 Control of Work

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

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Control of Work 3-5.i
3-511 Submittals
3-512 Construction Surveys
3-513 Records
3-514 Noncompliant and Unauthorized Work
3-515 Job Site Appearance
3-516 Areas for Use
3-517 Equipment
3-518 Property and Facility Preservation
3-518A Landscape
3-518B Railroad Property
3-518C Nonhighway Facilities
3-518C (1) General
3-518C (2) Duties of the Utility Relocation Resident Engineer
3-519 Maintenance and Protection
3-519A General
3-519B Load Limits
3-519C Damage by Public Traffic
3-520 Maintenance and Protection Relief
3-521 Requests for Information and Potential Claim Records
3-521A General
3-521B Requests for Information
3-521C Potential Claim Records
3-521C (1) Form CEM-6201D, Initial Potential Claim Record
3-521C (1a) Resident Engineer’s Response to the Initial Potential Claim Record
3-521C (2) Form CEM-6201E, Supplemental Potential Claim Record
3-521C (2a) Resident Engineer’s Response to the Supplemental Potential Claim Record
3-521C (3) Form CEM-6201F, Full and Final Potential Claim Record
3-521C (3a) Resident Engineer’s Response to the Full and Final Potential Claim Record
3-521D Documentation Guidelines for Disputes
3-521E Sample Dispute Response Clauses
3-521E (1) Request for Information for Notification of a Possible Differing Site Condition
3-521E (1a) General
3-521E (1b) If No Merit
3-521E (1c) If Merit
3-521E (1d) If Partial Merit
3-521E (2) Requests for Information to Protest a Time Adjustment Determination in a Change Order
3-521E (2a) General
3-521E (2b) If No Merit
3-521E (2c) If Merit
3-521E (2d) If Partial Merit

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3-5.ii Control of Work
 3-521E (3) Requests for Information to Protest a Weekly Statement of Working Days
3-521E (3a) General
3-521E (3b) If No Merit
3-521E (3c) If Merit
3-521E (3d) If Partial Merit
3-521E (4) Potential Claim Record
3-521E (4a) General
3-521E (4b) If No Merit
3-521E (4c) If Merit
3-521E (4d) If Partial Merit
3-521E (4e) Request Additional Information
3-522 Alternative Dispute Resolution Processes
3-522A Partnering-Facilitated Dispute Resolution
3-522B Dispute Resolution Ladder
3-522B (1) Dispute Resolution Ladder—Establishment
3-522B (2) Dispute Resolution Ladder—Operation
3-522C Dispute Resolution Advisor and Dispute Resolution Board
3-522C (1) Establishment
3-522C (2) DRA or DRB Member Replacement
3-522C (3) Operation
3-522C (3a) Informal Dispute Meetings
3-522C (3b) Traditional Dispute Meetings
3-522C (3c) Dispute Resolution Board Progress Meetings
3-522C (4) DRA or DRB Recommendations and Responses
3-523 Final Inspection and Contract Acceptance
3-523A General
3-523B Contract Acceptance
3-523C Work for Other Agencies or Owners
3-524 Guarantee
3-524A General
3-524B Work Not Completed by Contractor

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Control of Work 3-5.iii
Chapter 3 General Provisions
Section 5 Control of Work Section 5
Control of Work
3-501 General 3-501
Section 5, “Control of Work,” of the Standard Specifications, details how contract General
work will be controlled. The proper performance of the contractor and resident
engineer ensure control.
Ensure the contractor provides quality control over the work. During the manufacture
of products and the execution of the project, the contractor performs the actions
necessary to assess and adjust production and construction processes to control the
level of quality produced in the end product or facility, and to fulfill specified
requirements.
Caltrans performs activities required for Department acceptance. The resident engineer
and authorized representatives sample, test, and inspect the work to determine if the
quality characteristics meet the contract requirements within the tolerances specified.
When tolerances are not specified, use judgment to determine if any deviation is
allowed consistent with the trades involved.
For additional information on quality control and Caltrans acceptance, refer to Section
3-606, “Quality Assurance,” of this manual.
Standard Specifications Section 5-1.01, “General,” requires the contractor to provide
safe and unrestricted access to the work for inspection by Caltrans. The resident
engineer must take full advantage of this access.
The Department of Industrial Relations, Division of Occupational Safety and Health
(Cal/OSHA) establishes standards for safe access to work, and Caltrans enforces them
under Section 7-1.02K(6), “Occupational Safety and Health Standards,” of the
Standard Specifications.
The cost of providing access for inspection of bid item work is included in the bid item
price. If the contractor is required to construct facilities specifically to provide access
for inspection of extra work, the cost may be included on change order bills. These
costs, however, are limited to only the increased cost of providing inspection for the
extra work, and may not include the access costs that fall under the original item work.
Never operate the contractor’s equipment or allow any Caltrans representatives to
operate the contractor’s equipment. During quality assurance inspections, only the
contractor’s own equipment operators must operate the equipment.
3-502 Engineer’s Authority 3-502
The term “engineer” refers to the resident engineer and authorized representatives. The Engineer’s
engineer is responsible for contract administration and is authorized to make the final Authority
decision on questions regarding the contract. The engineer must act in accordance with
Caltrans policies and procedures and, in the absence of written policy or procedures,
must exercise judgment within their ability and span of control as established by the
district.

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Control of Work 3-5.1
 The engineer will focus on the details and methods of performing the work only if one
or more of the following conditions exist:
• The details and methods of performing the work are specified.
• The essential attribute or end result cannot be measured.
• Public safety or convenience is involved.
Otherwise, the details and methods must be left to the contractor’s discretion.
Resident engineers must report their assignments to all interested parties by submitting
Form CEM-0101, “Resident Engineer’s Report of Assignment.” Submit this form as
early as possible.
The resident engineer is the lead for contact and correspondence with the contractor.

3-503 3-503 Protests

Protests Section 5-1.06, “Protests,” of the Standard Specifications allows the contractor to
protest an engineer’s decision by submitting a request for information. Protests by the
contractor of weekly statements of working days, change orders, or failure to issue a
change order must be done through a request for information.

3-504 3-504 Partnering

Partnering Partnering allows all parties and stakeholders to establish and maintain cooperative
communication channels and mutually resolve conflicts at the lowest responsible level.
Become familiar with and follow Section 5-1.09, “Partnering,” of the Standard
Specifications and the Caltrans publication, Field Guide to Partnering on Caltrans
Construction Projects. This publication is available at the partnering website:
http://www.dot.ca.gov/hq/construc/partnering.html
For additional guidance, contact the partnering coordinator in either the district or the
Division of Construction. The names and contact numbers for these coordinators are
available on the partnering website at the CT Partnering Coordinators link.
Supplemental funds to cover the anticipated partnering costs are included in projects
with an engineer’s estimate of more than $1 million. To pay for Caltrans’ share of the
partnering costs, execute a change order using the change order code AUZZ.
Use of a partnering facilitator is recommended on all projects. Use of a partnering
facilitator is required, however, on all projects above $10 million and greater than 100
working days. A list of partnering facilitators is available on the Caltrans partnering
website.
When selecting a partnering facilitator:
• Consider the extent of a candidate’s experience as a partnering facilitator on other
Caltrans projects.
• Check with other resident engineers or the partnering coordinator in either the
district or in the Division of Construction for information regarding potential
facilitators.
• Interview several facilitators. Do not assume all facilitators are the same. Search
for the right facilitator for the job.
• Confirm the full scope and cost of the facilitator’s work. Not all facilitators
perform the same amount of work and the cost differences for a 1-day session can
be as much as $15,000. The cost for each session should include all costs of the

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3-5.2 Control of Work
 facility, full payment for the facilitator, materials used during the session, and all
pre- and post-session work. The facilitator should make an effort to get to know
the parties, facilitate the sessions to foster a team dynamic, provide meeting notes,
and follow up on any action items discussed at the meeting.
• Ensure the facilitator’s services include administering monthly project surveys.
The facilitator is allowed to charge for this survey.
3-505 Order of Work 3-505
If the plans or special provisions do not contain a specified sequence of operations, Order of Work
contractors may select their own schedules, provided the planned order of work meets
any dates specified for completion and openings of portions of the work to traffic.
Occasionally, the contractor may submit a proposed modification of the specified order
of work that will be more satisfactory for the work’s operation. If, in the resident
engineer’s opinion, Caltrans will benefit as much or more by adopting the proposed
modification as it would under the specified plan, the contractor’s plan may be
implemented with a change order requested by the contractor. Caltrans must receive a
monetary adjustment if the contractor has any reduced costs from the change. Also, a
contractor may benefit if a change is proposed and accepted under a change order for a
value engineering change proposal. Refer to Section 3-405, “Value Engineering,” of
this manual and Section 4-1.07, “Value Engineering,” of the Standard Specifications.
The resident engineer must recheck the specified plan of operations during the work’s
progress. Changes in circumstances may necessitate altering the planned sequence and
schedule. Construction in stages is often a part of the contract on major projects, and
revised progress schedules may be required as the stages of work develop.
3-506 Assignment 3-506
If the contractor submits any of the following contractor action request forms to the Assignment
resident engineer, the contractor must also include a completed and signed Form STD.
204, “Payee Data Record,” as part of the submittal in accordance with Section 5-1.12,
“Assignment,” of the Standard Specifications. Submittal of scanned or faxed copies is
acceptable.
• Form CEM 1202A, “Contractor Action Request–Change of Name/Address,” is
submitted by the original contractor as an informational submittal to notify
Caltrans of change to the contractor’s business name or mailing address.
• Form CEM 1202B, “Contractor Action Request–Assignment of Contract Monies,
Assignee Change of Name/Address” is submitted by the original contractor or
surety as an informational submittal to provide notification if a contractor is
assigning contract payments to another entity (surety, bonding company, or escrow
company, among others). If payments are assigned to another entity and the
remaining contract work is assigned to a new prime contractor, the contractor must
submit Forms CEM-1202B and CEM-1203 to cover both actions.
• Form CEM 1203, “Contractor Action Request–Assignment of Contract
Performance,” is submitted by the original contractor, surety, or bonding company
to assign contract performance to another contractor. An assignment of
performance request is an action submittal that requires the Division of
Construction Chief’s consent (as authorized agent for the director) in order for the
request to be approved.

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Control of Work 3-5.3
 Carefully review and verify the information in contractor action request submittals.
Adhere to the procedures listed in the instructions of Forms CEM-1202A, CEM-
1202B, and CEM-1203. For a contractor business name change submitted under Form
CEM-1202A, refer to Section 3-704A, “Responsibilities,” of this manual for
information regarding validation of insurance bonds and contract bonds.
3-507 3-507 Subcontracting
Subcontracting Contractors can use subcontractors on their projects provided the subcontractor and the
prime contractor comply with Section 5-1.13, “Subcontracting,” of the Standard
Specifications, and with state and federal laws and regulations. The contractor is
required to submit Form CEM-1201, “Subcontracting Request,” before subcontracted
work starts.
When projects use subcontractors, the resident engineer must focus primarily on:
• Always knowing which subcontractors are working on the project and on which
specific items they are working.
• Ensuring that listed subcontractors have a valid public works contractor
registration number before they begin work.
• Ensuring that listed subcontractors are not improperly removed or replaced.
• Ensuring that the prime contractor achieves the subcontracting level pledged when
the contract was awarded to meet requirements of the Disadvantaged Business
Enterprise (DBE), Disabled Veteran Business Enterprise (DVBE), and small
business programs.
• Ensuring adherence to the provisions of the Public Contract Code.
For more information on these subcontracting requirements, refer to Section 8-3,
“Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises,” of
this manual.
3-507A Amount of Work Subcontracted
Section 5-1.13, “Subcontracting,” of the Standard Specifications, requires that the
prime contractor perform at least 30 percent of work using the contractor’s own
organization unless a different percentage is specified in the special provisions. This
requirement does not apply if the work is for a building-construction, non-federal-aid
contract.
The percentage of work subcontracted is calculated for first-tier subcontractors only. A
contractor’s organization includes only workers employed and paid directly by the
prime contractor and only equipment owned or rented by the prime contractor, with or
without operators.
Discuss unusual subcontracting situations with the construction engineer. If the
situation indicates that additional information is necessary but only available through
an inspection of the contractor’s records, request a copy of the subcontract agreement
from the prime contractor. If a review of the subcontract agreement does not help
resolve the situation, discuss the possibility of an audit with Division of Construction’s
field coordinator.
3-507B Calculating the Amount of Work Subcontracted
The contractor must submit Form CEM-1201, “Subcontracting Request,” stating what
percentage and dollar amount of an item will be subcontracted. The resident engineer

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3-5.4 Control of Work
must verify the amount. Any rational method of estimating the amount will be
acceptable; for example:
• The percentage of an area, volume, or length.
• The portion applicable to material cost.
• The portion of labor and equipment cost.
When an entire item is subcontracted, use the prime contractor’s item bid price as the
dollar amount for the form. When a portion of an item is subcontracted, apply the
percentage of the bid item subcontracted to the prime contractor’s item bid price as the
dollar amount for the form.
To ensure that the contractor is not requesting approval for a subcontractor other than
those listed in the bid documents, the resident engineer must check the DBE, DVBE,
and small business commitment listings and the list of subcontractors. If a discrepancy
is noted, advise the contractor and ask for an explanation. The resident engineer must
not approve the subcontracting request until the contractor provides an acceptable
explanation.
3-507C The Subletting and Subcontracting Fair Practices Act
3-507C (1) Subcontracting in the Bidding Process
Sections 4100 through 4114 of the Public Contract Code are called the “Subletting and
Subcontracting Fair Practices Act” (Act) and apply to Caltrans construction projects.
The Act is designed to prevent prime contractors from “bid shopping” for
subcontractors after bids are opened and the low bidder is known.
The Act requires that subcontracted work in excess of one-half of 1 percent (0.005) of
the contractor’s total bid amount or $10,000 (whichever is greater), must be listed in
the prime contractor’s bid proposal. When a prime contractor fails to list a
subcontractor in its bid, the law requires that the prime contractor must perform the
work with its own forces. The prime contractor may not add an unlisted subcontractor
by requesting a substitution. Exceptions to this requirement are discussed in Public
Contract Code 4107 (c) and Public Contract Code 4109.
For building projects such as a maintenance station or other off-highway project, all
subcontracted work in excess of one-half of 1 percent (0.005) of the contractor’s total
bid amount must be listed.
Ensure that the listed subcontractor performs the work or that the contractor complies
with the substitution procedures in the Act.
3-507C (2) Substitution Process
• To replace a subcontractor listed in the bid documents, the prime contractor must
submit a written request based on the reasons identified in Public Contract Code
Section 4107, and include the public works contractor registration number of each
substituted subcontractor. To ensure this requirement is met, verify that the
subcontractor’s registration number is valid at the California Department of
Industrial Relations’ Public Works Contractor (PWC) Registration Search website:
https://efiling.dir.ca.gov/PWCR/Search
When the prime contractor requests a substitution, proceed as follows:
1. Send the request to the district construction office for review.

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Control of Work 3-5.5
 2. The district construction office must send a written notice to the listed
subcontractor by certified mail, overnight mail, or fax, informing the listed
subcontractor of the prime contractor’s request to substitute and the reasons for the
request. The notice must provide the subcontractor 5 business days to submit a
written objection to the substitution.
3. If the listed subcontractor does not file a timely written objection, the resident
engineer must approve the substitution. The resident engineer must approve the
new subcontractor following the guidelines under Section 3-507D, “Procedure for
Approval or Acknowledgment of Subcontractors,” of this manual. If the removed
subcontractor’s firm was a listed DBE, DVBE, or small business, refer to Section
8-3, “Disadvantaged Business Enterprises and Disabled Veteran Business
Enterprises,” of this manual for additional steps required in the process.
4. If the listed subcontractor submits timely written objections to the substitution, the
district must conduct a hearing. Send written notice of the hearing to the prime
contractor and the subcontractor a minimum of 5 business days before the hearing
is conducted. The written notice should include a request that any substantiating
documents be provided before the hearing.
3-507C (3) Hearing Process for Substitutions
The intent of the substitution hearing is to give both parties the opportunity to explain
to the hearing officer why a substitution should or should not occur. Substitution
hearings are conducted informally. Normally, the hearing officer is the district
construction deputy director.
3-507C (3a) Before the Substitution Hearing
• Obtain from both parties documents to substantiate the reasons for substitution.
• Review all information submitted by both parties and provide copies to the hearing
officer. If the hearing officer believes legal or other assistance may be required
during the substitution or hearing process, the district must contact the construction
field coordinator, who will arrange for such assistance as appropriate.
• The hearing officer must develop a line of questioning to ensure that sufficient
evidence exists on which to base a decision about the request.
3-507C (3b) During the Substitution Hearing
• Audio or video recording may be used to assist in taking notes but is not required.
• The hearing officer should allow each party sufficient time to present its position
and offer a counterargument on the substitution request. List additional supporting
information presented by either party in the hearing notes.
3-507C (3c) After the Substitution Hearing
• The hearing officer will issue written findings and a decision on the substitution
request. As soon as possible after the hearing, send a copy of the decision to the
prime contractor and the objecting subcontractor by certified mail with a return
receipt.
• Send the Division of Construction’s labor compliance manager a copy of the final
decision.
• Require the contractor to submit a Form CEM-1201, “Subcontracting Request,”
for the new subcontractor.

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3-5.6 Control of Work
3-507C (4) Violations of the Subletting and Subcontracting Fair Practices Act
The following presents typical examples of some of the more common violations of
the Act by a prime contractor:
• Subcontracting additional work to a listed subcontractor where the work was not
originally listed as subcontracted work and is in excess of the threshold
requirements.
• Using a subcontractor not listed at bid time whose dollar value of work is in excess
of the threshold.
• Substituting subcontractors without Caltrans’ consent.
• Performing work that the bid documents designated a subcontractor to perform.
If these or any other violations occur, proceed as follows:
• Discuss the apparent violations with the construction engineer and the district labor
compliance officer.
• If the construction engineer and district labor compliance officer agree that an
apparent violation has occurred, send the prime contractor a certified letter
including the following:

You are in apparent violation of the Subletting and Subcontracting Fair Practices Act,
Sections 4100 through 4114 of the Public Contract Code, for work being performed
on item(s) ____ of Caltrans Contract No. ____. You will be assessed a penalty of
$____ as provided in Section 4111 of the Public Contract Code.
If you wish to dispute this apparent violation or the assessed penalty, you must request
a hearing with Caltrans. You will be given 5 days’ notice of the time and place of the
scheduled hearing in accordance with Section 4110 of the Public Contract Code.
If you do not request a hearing, the penalty will be assessed as a permanent deduction
on the next progress pay estimate.

• Send copies of the letter to the subcontractor and to the district labor compliance
officer.
• If a contractor requests a hearing, schedule it using the same procedure described
in Section 3-507C (3), “Hearing Process for Substitutions,” of this manual.
Occasionally, the contractor will list subcontractors that the Act does not require to be
listed. In this case, changes require only an updated subcontracting request to identify
the new subcontractor. For the process, refer to Section 3-507D, “Procedure for
Approval or Acknowledgment of Subcontractors,” of this manual. If the subcontractor
is a DBE, DVBE, or small business, refer to Section 8-3, “Disadvantaged Business
Enterprises and Disabled Veteran Business Enterprises,” of this manual for additional
requirements.
3-507C (5) Hearing Process for Substitution Violations
Section 4110 of Public Contract Code requires Caltrans to conduct a hearing for
violations of the Subletting and Subcontracting Fair Practices Act. The intent of the
violation hearing is to determine whether a penalty should be assessed against the
prime contractor for the violations. Each party is entitled to present its arguments on the
alleged violations. The hearing should follow the process outlined below.

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Control of Work 3-5.7
 3-507C (5a) Before the Violation Hearing
• Retain a neutral decision-maker to be the hearing officer. To keep the process as
short as possible, this person would preferably be a Caltrans employee at senior
transportation engineer level or above who is completely out of the chain of
command for the project at issue.
• Hire a certified court reporter to transcribe the proceedings. Contact the Division of
Construction labor compliance program manager for assistance with this process.
• If necessary, subpoena third parties (the subcontractor, supplier, or others). Contact
the Division of Construction labor compliance program manager for assistance
with this process.
3-507C (5b) During the Violation Hearing
• The resident engineer and district labor compliance officer testify under oath to the
facts that led Caltrans to conclude an issue or apparent violation existed. They
should be prepared to provide copies of all documents or other evidence used to
reach that conclusion, for example, correspondence, diaries, or payroll records.
Caltrans should provide the original documents. Conclusions drawn from the
documents can be summarized verbally as testimony.
• The hearing officer will conduct direct and cross-examination of witnesses under
oath.
• The hearing officer will accept any documents provided by each party and have
the court reporter place them into the record as part of the certified transcript. The
hearing officer will verbally verify that documents were received by noting what
they are and assigning them an exhibit number.
• The hearing officer will ensure that the only issue addressed at the hearing is the
violation of the Act (for example, not a DVBE violation or labor compliance
issue). For violations of DBE, DVBE, or small business requirements, refer to
Section 8-3, “Disadvantaged Business Enterprises and Disabled Veteran Business
Enterprises,” of this manual.
3-507C (5c) After the Violation Hearing
• The hearing officer must evaluate the evidence provided at the hearing and render
a decision on the alleged violation within 10 days of the hearing.
• If the prime contractor is found to be in violation of the Act, the contractor must be
assessed a penalty, taken as an administrative deduction, ranging from 0 to 10
percent of the subcontract amount. The hearing officer will determine the penalty
amount based on the circumstances involved. The hearing officer’s finding is the
final Caltrans administrative decision on the application and enforcement of the
Act.
• Send the decision to the contractor and, if applicable, the subcontractor. Send a
copy to the Division of Construction, which may refer the violation to the
Contractors State License Board, in accordance with Section 4111 of the
Subletting and Subcontracting Fair Practices Act.
• Deduct the penalty amount from the next estimate.
3-507D Procedure for Approval or Acknowledgment of Subcontractors
The resident engineer has the responsibility of approving subcontractors on federally

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3-5.8 Control of Work
funded projects and acknowledging subcontractors on state-financed projects. In
general, approving or acknowledging subcontractors is necessary for only first-tier
subcontractors. The contractor must submit Form CEM-1201, “Subcontracting
Request,” to request subcontracting of contract work. When the contract is awarded,
the contractor receives a blank Form CEM-1201, “Subcontracting Request.” Provide
additional blank forms to the contractor when necessary. The last page of the form
contains instructions for completing the form.
Upon receipt of Form CEM-1201, and before approving the contractor’s request, do
the following:
• Check the contractor’s portion of the form to confirm that the listed subcontractors
and work percentages match the bid documents.
• Verify that subcontractors are not on the Department of Industrial Relation’s
debarred contractors list available at:
http://www.dir.ca.gov/dlse/debar.html
• Complete lines 1 through 9.
• Verify that subcontractors comply with the DBE, DVBE, and small business goals
submitted by the contractor before contract award. Ensure that no conflict exists
between DBE, DVBE, and small business requirements and the listing
requirements of the Act.
• If the contractor’s request meets all the requirements, sign, date, and distribute the
form.
Process the requests in the order of the request number since lines 2 and 6 contain
running balances based on the percentage of work required. Follow the form’s
instructions to complete the rest of the form.
3-508 Representative 3-508
As required by Section 5-1.16, “Representative,” of the Standard Specifications, Representative
contractors, including those in a joint venture, must name in writing one authorized
representative and provide the representative’s contact information. Resident engineers
must insist that contractors meet this requirement promptly. If the contractor’s
representatives from a joint venture disagree with each other, the resident engineer can
contractually refuse to work with more than one representative.
3-509 Character of Workers 3-509
Caltrans policy calls for a work environment with zero tolerance for violence, threats, Character of
harassment, and intimidation. This policy also applies to any subcontractor or Workers
employee of a contractor in their work with Caltrans personnel. Caltrans may discharge
a worker from the project for engaging in any of these actions. Refer to Section 5-1.17,
“Character of Workers,” of the Standard Specifications for more information.
If possible, notify the worker’s supervisor and discuss the decision to remove a worker
before or as soon as possible after issuing the directive. The contractor may request
reinstatement of the worker. If so, the resident engineer conducts a meeting with the
construction engineer, the contractor’s authorized representative, and—at the
contractor’s discretion—the affected worker, to discuss the reason for removing the
worker and the contractor’s request for reinstatement.
None of these procedures affect the engineer’s authority to direct the removal of a
worker from the project.

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Control of Work 3-5.9
 3-510 3-510 Coordination with Other Entities
Coordination with Section 5-1.20, “Coordination with Other Entities,” of the Standard Specifications
Other Entities requires the contractor to coordinate with other contractors or entities at or near the job
site and materials sources to avoid delays.
3-510A Permits, Licenses, Agreements, and Certifications
The contractor is to possess all required permits, licenses, agreements, and
certifications (PLAC) before starting the work covered by them. Ensure that the
contractor maintains a copy of the required PLAC at the job site.
Unless the necessary PLAC needed to enable the contractor to use a possible local
material source or disposal site are included in the information handout, the contractor
must obtain them at no cost to Caltrans even if the agreement made between Caltrans
and the property owner is included in the information handout.
3-510B Contractor-Property Owner Agreement
If the contractor is proposing to use a noncommercial material source or disposal site,
ensure the contractor has met the requirements of Sections 5-1.20A, “General,”
5-1.20B, “Permits, Licenses, Agreements, and Certifications,” and 6-1.03, “Local
Materials,” of the Standard Specifications.
Arrange a joint meeting with the contractor and agencies that have jurisdiction over the
use of the site to discuss the work and the required documentation to be submitted. This
documentation may include permits, environmental studies, grading plans, Stormwater
Pollution Prevention Plan, and testing imported soil from noncommercial sources, for
example, lead and pH.
Provide the contractor with a copy of the appropriate sample agreement. The contractor
may use one of the sample agreements below or provide an equivalent agreement:
• Example 3-5.1, “Agreement Between a Contractor Working on State Facilities and
a Real Property Owner for Acquiring Construction-Related Material from Property
Owner’s Property”
• Example 3-5.2, “Agreement Between a Contractor Working on State Facilities and
a Real Property Owner for Disposing of Construction-Related Material on
Property Owner’s Property”
Review Section 7-1.02K(6)(j)(iii) of the Standard Special Provisions and consult with
the district aerially deposited lead coordinator concerning lead level of the existing soils
on site, at:
http://www.dot.ca.gov/hq/construc/environmental/
Add the following text to the Agreement when applicable:
Owner acknowledges the material being deposited on the property contains lead
with concentrations between 80 mg/kg and 320 mg/kg, which is above the
residential California human health screening level for lead as determined by the
California Environmental Protection Agency. By submission of this agreement, the
owner certifies 1) the property is a commercial/industrial property and 2) the
property is not and will not be used for any type of housing, including but not
limited to, apartment, motel, hotel, farm, ranch, or any other type of property,
including but not limited to, daycare, park, school, hospital, or university, which
could allow occupants to reside on the property now or in the future or would lead

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3-5.10 Control of Work
 to daily, repeated, long term exposure to the material. The property is zoned as
_______________.
After the contractor and property owner enter into an agreement and obtain all required
documentation, the contractor must submit these for approval. After review and
verification of the adequacy of the contractor’s submittals, provide written approval to
the contractor to use the site. Refer to Examples 3-5.3 and 3-5.4 for approval letter
samples.
In those cases in which Caltrans has made prior arrangements by designating a disposal
or borrow site and entering into an agreement with a private property owner for
disposal, removal, or excavation of material, the designated sites may be made
available for contractor use as discussed in Section 7-103H, “Disposal, Staging, and
Borrow Sites,” of this manual. In accordance with Section 5-1.20B, “Permits, Licenses,
Agreements, and Certifications,” of the Standard Specifications, the contractor must
comply with the provisions of the Caltrans-owner agreement if the contractor uses the
site or the contractor may make a new agreement with the property owner.
When the contractor makes a new agreement with the property owner that revises the
terms of the Caltrans-owner agreements, the new agreement supersedes the Caltrans-
owner agreement. Review the new agreement to ensure that Caltrans is relieved of its
obligations under the terms of the original agreement.
Under some agreements, Caltrans will directly pay the owner of the material or
disposal site. Payment must be made to the owner and royalties deducted from
payments to the contractor. In the case of county-consummated agreements, royalties
usually are deducted in a similar way.
Before contract acceptance, Section 5-1.20B(4), “Contractor-Property Owner
Agreement,” of the Standard Specifications requires the contractor to submit a
document signed by the owner of the site indicating that the contractor has
satisfactorily complied with the provisions of the agreement. If the owner is not
satisfied, determine what additional work is necessary before recommending
acceptance of the contract and advise the contractor accordingly. Do not delay
recommending acceptance of the contract if you determine that the contractor has
complied with the terms of the agreement.
An agreement between the contractor and a property owner is not required for
procuring local material from an established commercial source.
For the disposal of waste material in a commercial landfill or treatment facility, verify
the types of wastes accepted and the permit status of the landfill or treatment facility by
accessing the California Water Resources Control Board, CalRecycle, and Department
of Toxic Substances Control websites:
http://www.waterboards.ca.gov/water_issues/programs/land_disposal/walist.shtml
http://www.calrecycle.ca.gov/DataCentral/Facilities.htm
http://www.dtsc.ca.gov/HazardousWaste/
Alternatively, contact the facility to obtain a copy of the facility’s permit.

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Control of Work 3-5.11
 Example 3-5.1. Agreement Between a Contractor Working on State Facilities and a Real Property
Owner for Acquiring Construction-Related Material From Property Owner’s Property (1 of 2)

AGREEMENT BETWEEN A CONTRACTOR WORKING ON STATE FACILITIES AND A REAL

PROPERTY OWNER FOR ACQUIRING CONSTRUCTION-RELATED MATERIAL FROM
PROPERTY OWNER’S PROPERTY

Contract No.: ____________________________

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

• California Fish and Game Code (Section 1602), “Lake or Stream Bed Alteration Agreement”—A permit required
prior to the removal or placement of material in a location where it can pass into waters of the state, directly or
indirectly, through causes such as erosion or maintenance.

California Department of Transportation  Construction Manual  July 2017

3-5.12 Control of Work
Example 3-5.1. Agreement Between a Contractor Working on State Facilities and a Real Property
Owner for Acquiring Construction-Related Material From Property Owner’s Property (2 of 2)

• California Fish and Game Code (Section 5650)—A prohibition against the deposition of petroleum products
(including asphalt), or any material deleterious to fish, plants, or birds where it can pass into the waters of the
state.

• Federal Clean Water Act (Sections 301 and 402), “General Permit for Discharges of Storm Water Associated
with Construction Activity”—A permit is required prior to soil disturbance of an area of one acre or more.

• Federal Clean Water Act (Section 404), “Permit for Discharge of Dredged or Fill Material”—A permit from the
United States Army Corps of Engineers may be required for the discharge of fill material into waters of the
United States including wetlands.

• State Contract Act, aggregate sources must comply with the Surface Mining and Reclamation Act of 1975
(SMARA).

Owner and Contractor agree that the Material will be excavated, removed, and transported, and the Property left in
a manner that will not cause injury or harm to any person or property. If an injury or harm does occur to any person
or property or should any environmental impacts or litigation arise as a result of the excavation, removal,
transportation, deposition, or the final form in which the Property is left, the Contractor agrees to indemnify,
defend, protect, and hold harmless the Department in any action in law or equity in accordance with Section
7-1.05, “Indemnification,” of the Standard Specifications.

Pursuant to Section 5-1.20B(4),”Contractor-Property Owner Agreement,” of the Standard Specifications, Owner

acknowledges Contractor will submit this agreement to the Department as evidence that the Owner has authorized
the use of the Property as a Material source for the Project. Owner acknowledges that the Contractor is not
authorized to make any representations or agreements on behalf of the Department. Contractor and Owner agree
that the Department is released from any and all obligations to Owner made by Contractor under this agreement
and the Department is released from any and all obligations to Owner under any prior agreement made between
the Department and Owner.

Owner and Contractor acknowledge that they have had the opportunity to receive independent legal advice with
respect to the meaning, implications, and advisability of entering into and executing this agreement.

Date: _______________ ___________________________________________________________

(Signature of Property Owner)

Date: _______________ ___________________________________________________________

(Signature of Contractor’s Authorized Representative)

California Department of Transportation  Construction Manual  July 2017

Control of Work 3-5.13
 Example 3-5.2. Agreement Between a Contractor Working on State Facilities and a Real Property
Owner for Disposing of Construction-Related Material on Property Owner’s Property (1 of 2)

AGREEMENT BETWEEN A CONTRACTOR WORKING ON STATE FACILITIES AND A REAL

PROPERTY OWNER FOR DISPOSING CONSTRUCTION-RELATED MATERIAL ON
PROPERTY OWNER’S PROPERTY

Contract No.: ____________________________

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

• California Fish and Game Code (Section 1602), “Lake or Stream Bed Alteration Agreement”—A permit required
prior to the removal or placement of material in a location where it can pass into waters of the state, directly or
indirectly, through causes such as erosion or maintenance.

California Department of Transportation  Construction Manual  July 2017

3-5.14 Control of Work
 Example 3-5.2. Agreement Between a Contractor Working on State Facilities and a Real Property
Owner for Disposing of Construction-Related Material on Property Owner’s Property (2 of 2)

• California Fish and Game Code (Section 5650)—A prohibition against the deposition of petroleum products
(including asphalt), or any material deleterious to fish, plants, or birds where it can pass into the waters of the
state.

• Federal Clean Water Act (Sections 301 and 402), “General Permit for Discharges of Storm Water Associated
with Construction Activity”—A permit is required prior to soil disturbance of an area of one acre or more.

• Federal Clean Water Act (Section 404), “Permit for Discharge of Dredged or Fill Material”—A permit from the
United States Army Corps of Engineers may be required for the discharge of fill material into waters of the
United States including wetlands.

Owner and Contractor agree that the Material will be transported, deposited, and left in a manner that will not
cause injury or harm to any person or property. If an injury or harm does occur to any person or property or
should any environmental impacts or litigation arise as a result of the excavation, removal, transportation,
deposition, or the final form in which the Property is left, the Contractor, agrees to indemnify, defend, protect, and
hold harmless the Department in any action in law or equity in accordance with Section 7-1.05, “Indemnification,”
of the Standard Specifications regardless of the manner or form of the action.

Pursuant to Section 5-1.20B(4),”Contractor-Property Owner Agreement,” of the Standard Specifications, Owner

acknowledges Contractor will submit this agreement to the Department as evidence that the Owner has
authorized the placement of the Material on the Property. Owner acknowledges that the Contractor is not
authorized to make any representations or agreements on behalf of the Department. Contractor and Owner agree
that the Department is released from any and all obligations to Owner made by Contractor under this agreement
and the Department is released for any and all obligations to Owner under any prior agreement made between
the Department and Owner.

Owner and Contractor acknowledge that they have had the opportunity to receive independent legal advice with
respect to the meaning, implications, and advisability of entering into and executing this agreement.

Date: ________________ ____________________________________________________________

(Signature of Property Owner)

Date: ________________ ____________________________________________________________

(Signature of Contractor’s Authorized Representative per Std. Spec 5-1.16)

California Department of Transportation  Construction Manual  July 2017

Control of Work 3-5.15
 Example 3-5.3. Sample Approval to Acquire Material From Property Owner’s Property Letter

STATE OF CALIFORNIA—CALIFORNIA STATE TRANSPORTATION AGENCY EDMUND G. BROWN Jr., Governor

DEPARTMENT OF TRANSPORTATION
DIVISION OF CONSTRUCTION
[Resident Engineer’s Address]
[City, CA ZIP] Making Conservation
a California Way of Life.
[PHONE (Area Code) xxx-xxxx]
[FAX (Area Code) xxx-xxxx]
TTY 711
www.dot.ca.gov

Date: [Month dd, yyyy]

[Contractor’s Name]
[Address]
[City, State ZIP]

Subject: Approval to Acquire Material From [property owner’s name and address]

Dear [contractor name]:

In accordance with the provisions of Sections 5-1.20, “Coordination With Other Entities” and 6-2.04,
“Local Materials,” of the Standard Specifications, you are authorized to remove [insert number]
cubic yards of [type of material] (“Material”) from [property owner name]’s property located at
[property address]. According to the submitted agreement, [contractor name] and [property owner]
have represented all necessary permits, licenses, and clearances were obtained and submitted before
the removal of the Material and have released the Department of Transportation (Department) from
any obligations resulting from its removal.

The Department does not warrant or guarantee that the Material is of any particular type or is
suitable for any particular purpose.

The agreement also includes [contractor]’s and [property owner]’s promise to hold the Department
harmless from all claims for injury to persons or damage to property resulting from the disposal. The
contractor shall comply with all parts of the contract including Section 7-1.06, “Insurance,” and 7-
1.05, “Indemnification,” of the Standard Specifications. [Contractor name] shall defend, indemnify,
and save harmless the state from any and all claims, demands, causes of action, damages, costs,
expenses, actual attorneys’ fees, losses or liabilities, in law or in equity arising out or in connection
with [contractor name]’s performance of this contract including acquiring material from [property
owner name]’s property.

Sincerely,
[Name of resident engineer]

c:

bc:

“Provide a safe, sustainable, integrated and efficient transportation system

to enhance California’s economy and livability”

California Department of Transportation  Construction Manual  July 2017

3-5.16 Control of Work
 Example 3-5.4. Sample Approval for Disposal of Material Outside the Highway Right-of-Way Letter

STATE OF CALIFORNIA—CALIFORNIA STATE TRANSPORTATION AGENCY EDMUND G. BROWN Jr., Governor

DEPARTMENT OF TRANSPORTATION
DIVISION OF CONSTRUCTION
[Resident Engineer’s Address]
[City, CA ZIP] Making Conservation
a California Way of Life.
[PHONE (Area Code) xxx-xxxx]
[FAX (Area Code) xxx-xxxx]
TTY 711
www.dot.ca.gov

Date: [Month dd, yyyy]

[Contractor’s Name]
[Address]
[City, State ZIP]

Subject: Approval for Disposal of Material Outside the Highway Right-of-Way

Dear [contractor name]:

In accordance with the provisions of Sections 5-1.20, “Coordination With Other Entities,” of the
Standard Specifications, you are authorized to dispose of [insert number] cubic yards of [type of
material] (“Material”) to [property owner name]’s property. According to the submitted agreement,
[contractor name] and [property owner] have represented all necessary permits, licenses, and
clearances were obtained and submitted before the disposal of the Material and have released the
Department of Transportation (Department) from any obligations from its disposal.

The Department does not warrant or guarantee that the Material is of any particular type or is
suitable for any particular purpose.

The contractor shall comply with all parts of the contract including Sections 7-1.06, “Insurance,” and
7-1.05, “Indemnification,” of the Standard Specifications. [Contractor name] shall defend, indemnify,
and save harmless the state from any and all claims, demands, causes of action, damages, costs,
expenses, actual attorneys’ fees, losses or liabilities, in law or in equity arising out or in connection
with [contractor name]’s performance of this contract including disposing material on [property owner
name]’s property.

Sincerely,
[Name of resident engineer]

c:

bc:
“Provide a safe, sustainable, integrated and efficient transportation system
to enhance California’s economy and livability”

California Department of Transportation  Construction Manual  July 2017

Control of Work 3-5.17
 3-511 3-511 Submittals
Submittals The contract may require that plans, working drawings, or samples be submitted to the
engineer for authorization. Submittals are considered either “action submittals” or
“informational submittals.”
Action submittals consist of written and graphic information and samples that require
the engineer’s response. The engineer reviews the submittals, makes corrections, or
sends the submittals back to the contractor for correction.
Informational submittals consist of written information required to be provided before
the affected work can start, but they do not require a response by the engineer.
Caltrans has a procedure for authorizing plan submittals for facilities that were
designed by Structure Design. Resident engineers should review this procedure if the
work includes such facilities. To view this procedure, refer to Section 132,
“Miscellaneous Buildings,” of Bridge Construction Records and Procedures, Vol. 2.
Pumping plants and electrical and mechanical equipment use a similar procedure.
Districts must establish procedures for facilities designed by the district.
In addition, the contract may require that plans and calculations be submitted to the
resident engineer for review and authorization for falsework, shoring, and bridge
demolition. Refer to Sections 120, 122, and 124, respectively, of the manual Bridge
Construction Records and Procedures, Vol. 2, for guidelines for the review and
approval process.
3-512 3-512 Construction Surveys
Construction Surveys Section 5-1.26, “Construction Surveys,” of the Standard Specifications requires
Caltrans to place stakes and marks necessary to permit satisfactory completion of the
work. For information on construction surveys, refer to Chapter 12, “Construction
Surveys,” of the Caltrans Surveys Manual.
The district Surveys Unit will set the construction marks and stakes when the area is
ready and will start setting marks and stakes within 2 business days of receiving the
request for construction stakes.

3-513 3-513 Records

Records Section 5-1.27, “Records,” of the Standard Specifications requires the contractor to
retain project records for at least 3 years after final project payment or resolution of any
claims, whichever is later.
These records must be available for inspection, copying, and auditing by state
representatives, and must be segregated by work cost categories:
• Bid item work.
• Change order work that is not extra work.
• Extra work.
• Work performed under a potential claim record.
• Overhead.
• Subcontractors, suppliers, owner-operators, and professional services.
This section also requires the contractor to use the Caltrans internet change order
billing system. Provide training within 30 days of a contractor’s request, and help the

California Department of Transportation  Construction Manual  July 2017

3-5.18 Control of Work
contractor’s representative establish an account after receiving the training. Refer to
Section 5-103E, “Change Order Billing,” of this manual for additional information.
3-514 Noncompliant and Unauthorized Work 3-514
Section 5-1.30, “Noncompliant and Unauthorized Work,” of the Standard Noncompliant and
Specifications, specifies the contractor’s responsibility for rejected or unauthorized Unauthorized Work
work and for the removal and replacement of material that does not meet specification
requirements.
Unauthorized work includes excavation outside planned slopes and below the grading
plane. Unless an approved change order authorizes such excavation, do not permit it.
Except for material that is permitted to remain in place under the specifications for
“contract compliance” and “operating range,” reject material represented by a test
result not meeting the specified requirement.
Ensure the rejected material gets removed and replaced or remedied in some other
manner if it is appropriate. When rejected material is remedied, it may remain in place
only if the resident engineer gives written approval. In most cases, the approval
requires a contractor-requested change order. For example, a change order would be
necessary to approve a contractor’s proposal to remedy out-of-specification aggregate
base by adding more aggregate to material deposited previously. A change order is
necessary in this situation because the remedy requires a change in specifications.
However, the resident 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
noncompliant material to remain in place without contract payment, unless the
specifications, in consideration of “operating range” and “contract compliance,” or an
approved change order, provide for such action.
3-515 Job Site Appearance 3-515
Section 5-1.31, “Job Site Appearance,” of the Standard Specifications requires the Job Site Appearance
contractor to keep the job site neat and includes provisions for disposal of debris.
3-516 Areas for Use 3-516
Section 5-1.32, “Areas for Use,” of the Standard Specifications allows the contractor to Areas for Use
occupy the highway only for purposes necessary to perform the work unless
arrangements are made with Caltrans for temporary storage. The contractor has no
right to make use of the property or to allow others to use it when such use is not
reasonably necessary to perform the required work. For example, residency trailers
must not be placed within the right-of-way, although one trailer may be allowed for
yard security purposes if the engineer approves temporary storage within the right-of-
way.
Prohibit any use of a Caltrans right-of-way that conflicts with the above requirements.
If a contractor requests the use of the highway for temporary storage or for any unusual
or complicated situations, discuss the request with the construction field coordinator.
The contractor may enter into a rental agreement to use state-owned property outside
the right-of-way.

California Department of Transportation  Construction Manual  July 2017

Control of Work 3-5.19
 Also, usable property under bridges or viaducts or other property that cannot be sold as
excess, but can be leased, is 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
prohibit the use, of nonoperating right-of-way by the contractor. When the use of an
airspace parcel is not part of the contract and a contractor later requests such use, the
contractor must negotiate a lease for the parcel. A standard form is used for the lease
and calls for payment based on fair market value. No special consideration will be
given because the lessee is performing Caltrans work. Also, all normal provisions
requiring insurance and parcel protection will be enforced.
3-517 3-517 Equipment
Equipment Section 5-1.33, “Equipment,” of the Standard Specifications, requires each piece of
equipment to have a number stamped or stenciled on it. The identifying number should
further be referenced to the license plate issued for the piece of equipment. The
additional reference is especially important in the case of tractor and trailer
combinations where the tractor may pull different trailers on separate occasions.
Use the identifying numbers to keep records of working and idle time for both
equipment and operators, including, among other items, contract items, extra work,
move in and out, and plant erecting. Some items of work will require more complete
records than other items. Determine which items of work need these records and how
much detail will be necessary. Records of this kind are also required for costs when the
quantity of certain contract items runs over 125 percent or under 75 percent of the
estimated quantity.
Do not instruct the contractor’s employees in equipment operation because the
contractor may interpret suggestions as the resident 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.
3-518 3-518 Property and Facility Preservation
Property and Facility Section 5-1.36, “Property and Facility Preservation,” of the Standard Specifications
Preservation makes the contractor responsible for protecting and preserving all property involved in
the project, including underground facilities and other facilities that are not openly
visible. The resident engineer must be diligent in determining and pointing out the
existence of property Caltrans knows about, especially underground facilities and other
facilities that are not openly visible. For information about locating and protecting
underground utilities, refer to Section 3-518C, “Nonhighway Facilities,” of this
manual.
Ensure that the contractor does everything required under the contract to protect and
preserve property. The contractor may be required to install temporary safeguards to
protect existing facilities. However, the contractor’s responsibility includes only what
is necessary to protect against damage by construction activity.
If a facility was not sufficiently protected and it is damaged, the contractor is
responsible for replacing it with material of equal or better quality.
Ensure that the contractor does not begin any excavation without first contacting the
regional notification center.

California Department of Transportation  Construction Manual  July 2017

3-5.20 Control of Work
3-518A Landscape
The plans and specifications may require that certain trees, shrubs, and other vegetation
be preserved. Ensure that the contractor is aware of all plant life to be protected.
If any permanent protection is ordered, pay for this work as for any other ordered
additional work.
3-518B Railroad Property
Ensure the contractor’s operations do not interfere with railroad operations. Do not
allow the contractor’s operations to encroach on the railroad right-of-way unless it is
specifically allowed by the contract. If work is required on or affecting the railroad
right-of-way, the railroad requires a railroad flagger be present.
For any excavations on or affecting railroad property, ensure the contractor submits
work plans showing the protection system to be used. The district railroad coordinator
is Caltrans’ liaison with the railroad and should submit the work plans to the railroad
for approval. The review time for these work plans is 65 days.
3-518C Nonhighway Facilities
3-518C (1) General
In some instances, utilities will be relocated or abandoned to clear the right-of-way
before construction of a highway project. A utility relocation resident engineer is
assigned to coordinate and inspect utility relocation to clear the right-of-way before
construction. The resident engineer assigned to a project assumes the responsibility of
the utility relocation resident engineer. Make contact with all of the affected utility
owners to facilitate the coordination of the work with the contractor’s activities.
The district Right of Way Unit, acting through the district utility coordinator, is
responsible for making changes to “notice to owner” forms and right-of-way
agreements. The district Right of Way Unit must also make all decisions about
financial liability between Caltrans and the owner for utility work. Send change orders
involving utility work to the district utility coordinator for concurrence.
3-518C (2) Duties of the Utility Relocation Resident Engineer
The utility relocation resident engineer must perform the following duties:
• Review all documents for the utility relocation work, including the “notice to
owner” forms, encroachment permits, special provisions, contract plans, and
correspondence about utilities not shown on the plans.
• Check the location of proposed and existing utility installations for possible
conflicts with the proposed construction of the highway project.
• Determine whether Caltrans or the utility will establish necessary survey control
and establish lines and grades. If Caltrans is responsible for these items, ensure that
necessary lines and grades are properly established so that relocation crews can
efficiently perform the work. For possible conflicts, compare all facilities with
available plans. Also, spot-check survey marks at critical locations for possible
conflicts. Require changes where necessary.
• If utility relocation or abandonment is to occur before the highway project starts
and there is sufficient time for entries to be made before contract advertising,
submit to the district utility coordinator any changes or notices of newly

California Department of Transportation  Construction Manual  July 2017

Control of Work 3-5.21
 discovered facilities and enter them on the contract plans or in the special
provisions. Document in the resident engineer’s pending file the changes or new
facilities that cannot be included in the contract before advertising.
• If utility relocation or abandonment is concurrent with the highway project, include
utility owners and the district utility coordinator in preconstruction conferences
with the contractor. On larger projects with a number of utility relocations, it is
advisable to schedule a separate meeting for each owner. In these meetings,
discuss:
1. Special provision requirements.
2. The contractor’s schedule as it affects relocation work, project safety, and
traffic control.
3. Potential problems.
4. Keep records of such meetings, and confirm any decisions made through
letters to all parties.
• Before allowing any change in the planned location of a utility facility or any
excavation to determine the location of underground utility facilities, ensure that
such action complies with the “Policy on High and Low Risk Underground
Facilities Within Highway Rights of Way” in Appendix LL of the Project
Development Procedures Manual.
• The district utility coordinator will advise the resident engineer when utility
relocation work warrants full-time inspection. Keep records of utility relocation
work on Form CEM-4601, “Assistant Resident Engineer’s Daily Report.” When
inspection is full-time, keep records for the following as complete as possible:
1. Number of workers
2. Equipment description
3. Hours worked
4. Materials salvaged
• When inspection is part-time, record all detail consistent with observed activity. At
a later date, the district Right of Way Unit will request these records to verify the
utility owner’s final bill.
• Keep the contractor advised of any utility work that will require a change in the
contractor’s work activities. Keep detailed records of any alleged or actual right-of-
way delays related to utilities. Make recommendations to the district on any
requests for time adjustments resulting from such delays. Refer to Section 3-804A
(2), “Change Order Time Adjustments (Center Block),” of this manual for
procedures for time extensions.
• The contractor is required to notify the resident engineer in writing of discovery of
an underground facility not indicated on the plans or in the special provisions. In
the absence of written notification from the contractor, document the location of
the underground facility and include this documentation in a written confirmation
sent to the contractor.
• Whenever the contractor has not received prior indication of an existing facility,
change orders, including the repair of any damage, will be considered for approval.
However, Caltrans will not pay for the repair of damage caused by negligence after
the contractor was notified of the existence of a utility facility.

California Department of Transportation  Construction Manual  July 2017

3-5.22 Control of Work
• Whenever underground facilities are discovered and they are not shown in the
plans or the special provisions, notify the district utility coordinator. Instead of
relocating the underground facility, the parties involved may reach an agreement
with the utility owner about satisfactory protection of the facility before the
contractor begins any physical work. If the contractor must protect the utility
facility, prepare a change order to cover the payment for such work. The term
“protection work,” as used in contract administration, must include any work
necessary to ensure the utility’s service, reliability, and ability to operate at
approximately the same level as before any disturbance from construction
activities. This work may include exploration to find exact locations, placement of
barricades or warning devices, shoring, or even temporary bypass facilities or
permanent relocation. However, this protection work will not include facility
repairs for damage resulting from negligent equipment operation around properly
protected facilities.
• Notify the district utility coordinator immediately when a utility facility is in
conflict with the planned work. Follow up the notification in writing. Include
drawings or plan sheets showing the location of the existing facility, the affected
work, recommended action, and the estimated date when the conflict will begin to
affect the contractor’s work activities and time of completion. The district utility
coordinator must arrange relocation work necessary to resolve the conflict.
• Determine whether facilities shown on the plans or specifications are being
adequately protected from damage as required by the contract. Notify the
contractor in writing of any inadequacies.
• When judging the extent of compliance required by the specifications, take into
account the type of facility involved. Consider such things as the consequences of
a potential accident. When consequences involve life and limb, do not permit work
in such areas unless the contractor has made physical checks of the facility
location. When working around hazardous facilities, do not assume calculations
made from plans are accurate whether the plans were prepared by Caltrans or the
utility owner.
3-519 Maintenance and Protection 3-519
Maintenance and
3-519A General
Protection
Section 5-1.37, “Maintenance and Protection,” of the Standard Specifications requires
the contractor to maintain and protect the work until Caltrans has granted maintenance
and protection relief or has accepted the contract. This section also requires the
contractor to prevent construction equipment that exceeds legal maximum weight
limits from operating on completed or existing treated base, pavement, or structures.
If the highway in question is a state highway, Caltrans’ maintenance forces will
maintain the part of the existing highway outside of the limits necessary to construct
the bid item work. If the highway in question (or highway part) is under the control of a
local authority, either the local authority or Caltrans maintenance forces will maintain
the part of the existing highway outside the limits necessary to construct the bid item
work in accordance with the maintenance agreement between Caltrans and the local
authority.
The maintenance area supervisor or area superintendent, and the resident engineer must
have a clear understanding of which portions of the highway Caltrans maintenance

California Department of Transportation  Construction Manual  July 2017

Control of Work 3-5.23
 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 on an existing highway, the owner (Caltrans or the local
authority) will continue to maintain the highway or portions of it until the
contractor takes possession by erecting signs or begins bid item work. The owner
will resume maintaining the highway or portions of it when the contractor is
relieved from maintenance responsibility under Section 5-1.38, “Maintenance and
Protection Relief,” of the Standard Specifications.
• Often, on widening or improvement projects, existing highway facilities will be
located outside the areas of work where no alterations, modifications, or
replacements are planned. In these cases, except for repair of damage because of
the contractor’s operations, the owner will maintain the highway facility. 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 damage caused by the public occurs to an existing facility within the
construction limits and the work required to repair the damage is similar to the
work being done by the contractor, the contractor may do the repairs.
• In case of emergency conditions within construction limits, the maintenance area
supervisor and the resident engineer should determine how to address the
condition quickly and safely.
• Pay as extra work any work done by the contractor to maintain and repair damage
to existing facilities (except for damage the contractor caused).
3-519B Load Limits
Except for special conditions described in Section 5-1.37, “Maintenance and
Protection,” of the Standard Specifications, all equipment hauling material over roads
or streets open to public traffic to, from, or within the project must comply with weight
limitations required by the Vehicle Code Division 15. If the contractor wishes to move
equipment that exceeds the size or weight limits, the contractor must provide necessary
protective measures and repair any damage resulting from those overloads.
Refer to the Bridge Construction Records and Procedures manual when the contractor
requests moving or placing overloads on structures.
To enforce weight limitations for overloads hauled over public roads and streets,
follow the procedure outlined below:
• Ensure contractors do not place or move equipment that exceeds the weight limits
on or across a structure without written authorization.
• Coordinate with the project’s structure representative on the review of all
submittals requesting authorization to place on, or cross a structure with equipment
that exceeds the weight limits. If a structure representative has not been assigned,
coordinate the review through the bridge construction engineer. Structure
Construction personnel will review the overload proposal in accordance with
Bridge Construction Records and Procedures manual, Bridge Construction Memo
150-1.0, “Weight Overload Guidelines for Bridges on Construction Projects.”
After written authorization is provided, coordinate with the structures
representative (or bridge construction engineer) to ensure the contractor’s plan to

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3-5.24 Control of Work
 move the overload on or across the structure is implemented in accordance with
the authorized plan.
• Recognize that the most commonly used material transfer vehicles have axle
loadings double the legal limit when empty, and triple the legal limit when loaded.
When the contract requires the use of transfer vehicles or other types of heavy
paving equipment, or the contractor at their option has determined they will use a
material transfer vehicle, discuss at the prepaving and preconstruction conferences
the contractor’s plans to conform to the load limitation requirements.
• The assistant resident engineer receiving a weighmaster certificate indicating an
overload may accept a load that is not more than 200 pounds over the legal gross
weight. However, advise the contractor immediately that if the violation continues,
Caltrans will refuse to accept such loads and will notify the California Highway
Patrol.
• When a weighmaster certificate indicates that a load is more than 200 pounds over
the legal gross weight, reject the load and notify the California Highway Patrol that
overloads are being hauled.
• Prohibit rejected material from being used in the work unless the load is reduced
and is again weighed to ensure the legal gross vehicle weight.
• Record the identification of rejected weighmaster certificates in the daily report.
3-519C Damage by Public Traffic
Only in some cases will Caltrans pay to repair damage to completed permanent
facilities caused by public traffic. Completed permanent facilities are any features
constructed by the contractor that will become a permanent part of the project. Unless
specifically provided for, Caltrans will not pay for damage to temporary facilities such
as falsework and forms.
The facility need not be 100 percent complete for the contractor to be compensated, but
it must be functional. Caltrans must not pay for damage from public traffic to facilities
that are not considered functional yet. For example, guardrail posts or guide marker
posts or a bridge still supported by falsework would not be considered functional.
However, for a concrete barrier that only requires a specified light abrasive blast finish,
Caltrans may pay for damage caused by public traffic because the barrier is functional.
Following are guidelines for determining payment for damage by public traffic:
• Whenever the resident engineer orders the pavement or deck of a structure opened
to public traffic, the contractor is relieved of responsibility for damage to the
completed permanent facilities caused by public traffic. The contractor will be
relieved of responsibility whether the opening to public traffic occurs before the
scheduled opening time, occurs as the natural sequence of events, or occurs as the
result of a contract specification. The contractor will be relieved of responsibility
for damage to completed permanent facilities caused by public traffic whether
traffic is placed on new alignment not previously used by traffic or traffic is placed
on new resurfacing opened after daily closures. Compensation for damage caused
by public traffic is appropriate if the completed surfacing consists of an asphalt
concrete base or leveling course.

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Control of Work 3-5.25
 • If the contractor requests an opening ahead of the normal schedule, the following
applies:
1. When the opening does not conform to the specified or shown order of work,
it must be covered by a change order approved by headquarters, in accordance
with Section 5-3, “Change Orders,” of this manual. If Caltrans will not
compensate the contractor for damage to completed permanent facilities, the
change order must state this fact.
2. When the opening does not conform to the specified or shown order of work,
the resident engineer will normally base approval or disapproval of the change
order on an evaluation of the benefit to public traffic. If the benefit is
substantial, it is appropriate to approve the change order and compensation in
accordance with Sections 5-1.38, “Maintenance and Protection Relief,”
5-1.39, “Damage Repair and Restoration,” and 7-1.03, “Public Convenience,”
of the Standard Specifications. If measurable benefits accrue to the contractor,
ensure the change order provides a credit to Caltrans.
3. If the benefits to public traffic are borderline or negligible, it is appropriate to
approve the change order under the condition that the contractor be
responsible for damage caused by public traffic. The contractor must
acknowledge the condition in writing. Again, if measurable benefits accrue to
the contractor, include a credit to Caltrans in the change order.
4. If good reason exists for doing so, the resident engineer can refuse to approve
a proposed opening.
• Except as provided for in Section 5-1.38, “Maintenance and Protection Relief,” of
the Standard Specifications, Caltrans will not relieve the contractor from
responsibility for damage to completed permanent facilities if the contractor never
does the following:
1. Moves public traffic from the existing traveled way.
2. Places public traffic on new pavement.
When the contract temporarily routes public traffic closer to the facilities than the
traffic will be after completion of the work, the contractor will be relieved of
responsibility for damage to the completed permanent facilities caused by public
traffic. For example, Caltrans will relieve the contractor of responsibility if damage
occurs to a completed guardrail at the edge of the shoulder when the plans or special
provisions require public traffic to be temporarily placed on the shoulder to facilitate
construction.

3-520 3-520 Maintenance and Protection Relief

Maintenance and The contractor may be relieved from maintaining and protecting certain completed
Protection Relief portions or sections of the work under conditions specified in Section 5-1.38,
“Maintenance and Protection Relief,” of the Standard Specifications.
Caltrans policy recommends relief for only those portions of the work specifically
mentioned in the specifications unless a request for relief fully justifies exceptions.
For completed roadways, the specified length of 0.3 miles is the minimum practical
length of completed main roadway on which to recommend relief from maintenance
and protection. However, shorter units of completed work, such as on-ramps, off-

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3-5.26 Control of Work
ramps, frontage roads, or approaches to under-crossings and overcrossings, may also
be eligible for maintenance and protection relief.
Do not recommend relief from maintenance and protection on a 0.3-mile section with
exceptions within that length unless you provide a valid reason to support the
recommendation. Exceptions must be defined in terms of longitudinal sections of
highway or certain specified areas. For example, it is unacceptable to recommend
maintenance and protection relief for a total project except for the inlet ditch to the right
of stations 20+00 to 25+00. It is acceptable to recommend relief for the total project
except for stations 15+00 to 27+00 (the section of highway that could be affected by
the uncompleted ditch to the right of stations 20+00 to 25+00).
Completed bridges or other major structures may also receive maintenance and
protection relief. For purposes of relief from maintenance and protection, the following
describes what constitutes a “bridge or other major structure:”
• Section 1-1.07, “Definitions,” of the Standard Specifications indicates a structure
will be considered a bridge if the plans or other portions of the contract so identify
it.
• Other structures to be considered of major importance are culverts in excess of 6.5
feet in diameter or of approximate equivalent area.
• A facility not meeting the above criteria will be considered of major importance
only if its final cost exceeds 5 percent of the original total bid for all of the bid
items (including mobilization).
• Projects with noncontiguous locations may be accepted location by location,
provided the work at each requested location is complete. Noncontiguous areas of
work outside the right-of-way on major projects may also be accepted if the
procedures outlined in Section 3-523C, “Work for Other Agencies or Owners,” of
this manual have been followed.
Maintenance and protection relief excuses the contractor from responsibility for repair
of damage from causes other than those resulting from the contractor’s own operations
or from the contractor’s negligence. Before recommending a request for maintenance
and protection relief, determine that the requested work will not be damaged as a result
of incomplete adjoining work. For example, a roadway section may be complete while
an upstream culvert remains incomplete. Water flowing past the uncompleted culvert
may damage a portion of the requested roadway section.
Before recommending maintenance and protection relief, analyze each situation
critically to determine if it qualifies in all respects. Indiscriminate recommendations for
relief from maintenance and protection must not jeopardize the project’s proper
completion. Once the contractor is relieved from maintaining and protecting a portion
of the work, the contractor cannot be required to do more work on it except by
agreement or to remedy defective work or materials.
If the engineer has any doubts about the requested area’s eligibility, deny the
contractor’s request for relief from maintenance and protection. Inform the contractor
in writing so no doubt exists as to the status of the contractor’s request and the nature of
uncompleted work. Section 5-1.38, “Maintenance and Protection Relief,” of the
Standard Specifications states that the portion of work must have been completed
under the contract and to the engineer’s satisfaction before it becomes eligible for
maintenance and protection relief.

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Control of Work 3-5.27
 For landscape projects, the contract usually includes a special provision to allow
granting relief from maintenance and protection for items not directly connected with
plant establishment work or highway planting and irrigation systems. The special
provisions could grant relief from maintenance and protection for typical items of
work, such as asphalt concrete placed as island paving or sidewalks and seal coats
placed on islands, curbs, and fences. Such items may not have a direct bearing on the
success or failure of plant establishment, and it is unreasonable to require the contractor
to maintain them.
However, to be consistent with the policy for nonlandscape contracts, this type of relief
from maintenance and responsibility will be granted for an entire group of items, not
item by item. An item that protects the planting or is involved in plant establishment
should not be submitted for maintenance and protection relief. This category typically
includes planter boxes, sprinkler systems, header boards, or mesh.
Safety roadside rest areas will not be accepted item by item but may be recommended
as completed units.
Maintenance and protection relief denotes recognition of completed work. Therefore,
the resident engineer must conduct a maintenance review of areas that will be granted
maintenance and protection relief. Also, recommendations for this action on work for
other public agencies or owners require the concurrence of these agencies and owners.
Before recommending relief from maintenance and protection on such portions of the
work, complete the procedures outlined in Section 3-523C, “Work for Other Agencies
or Owners,” of this manual. In the communication recommending relief, include a
statement that the agency authorities concur or, in the absence of such concurrence,
include justification for relief.
For requests for relief from maintenance and protection, use Form CEM-0501, “Relief
from Maintenance.”

3-521 3-521 Requests for Information and Potential Claim Records

Requests for
3-521A General
Information and
Potential Claim During the course of the project, and up to receiving the proposed final estimate, the
contractor must submit a contract dispute or protest in the form of a request for
Records
information. If the request for information leads to a dispute, the contractor must follow
the three-part potential claim process specified in the contract. The three parts of the
potential claim process are the initial potential claim record, the supplemental potential
claim record, and the full and final potential claim record.
Ensure that on all potential claims-related documents, the date and time of receipt, and
the name of the person who received it are noted.
Ensure that the request for information and potential claim documents are complete
and timely. If the information is incomplete, notify the contractor of the deficiencies
and request that the contractor resubmit the document with the complete information. If
the contractor failed to submit the request for information or potential claim record
within the specified time, notify the contractor that the submittal was not timely and
state that this failure to comply with the procedure provided for in the contract is a
waiver of the potential claim, a waiver of the right to a corresponding claim for the
disputed work, and a bar to arbitration.
Some sample dispute response clauses are located in Section 3-521E, “Sample Dispute
Response Clauses,” of this manual.

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3-5.28 Control of Work
3-521B Requests for Information
The contractor may submit a request for information at any time to clarify contract
provisions, notify the resident engineer of a change in condition, or file a protest. The
request for information must be in writing and delivered to the resident engineer (in
person, by mail, or by email) by the contractor.
Using a request for information, the contractor may protest an approved change order
not executed by the contractor, compensation for work specified in the change order,
adjustment of contract time, Weekly Statement of Working Days, progress payment,
delays, liquidated damages, or any decision by the resident engineer.
Note that not all requests for information will result in a potential claim.
Upon receipt of a request for information used as a protest, however, the resident
engineer starts a section in Category 62, “Disputes,” of the project records. Additional
information, including related documents and correspondence will be included in this
section.
The resident engineer references the contractor’s request for information and must
respond in writing within the time specified in the contract. A response should include
acknowledgement that the request for information was received and may include the
information requested, an invitation for further discussion, a request for clarification, or
the anticipated date for a complete response.
3-521C Potential Claim Records
The contractor submits a written potential claim record when the contractor believes
additional compensation is due in accordance with Section 5-1.43, “Potential Claims
and Dispute Resolution,” of the Standard Specifications. Follow the potential claim
record process when protested issues and disputes are not resolved.
The contractor provides a unique identification number for each potential claim
submitted. For supplemental potential claim records and full and final potential claim
records, the contractor must certify each form with reference to the False Claims Act,
Government Code Section 12650–12655.
If a supplemental potential claim record or a full and final potential claim record is
received without this certification or is otherwise incomplete or incorrectly filled out,
notify the contractor in writing that it was not submitted in accordance with Section
5-1.43, “Potential Claims and Dispute Resolution,” of the Standard Specifications and
that the contractor is allowed 15 days to correct the deficiencies or withdraw the
potential claim. If the corrected record is not provided in the required time, notify the
contractor in writing that Caltrans will not consider the potential claim. Discuss this
latter notification with the construction engineer.
If the nature, circumstances, or basis of the claim differs from the prior potential claim
record, reject the record and return it with a letter indicating which component has
changed.
3-521C (1) Form CEM-6201D, Initial Potential Claim Record
The initial potential claim record provides a notification to Caltrans of a disputed issue.
This record provides the nature and circumstances of the dispute and gives the parties
the opportunity to mitigate the associated costs with the goal of an early resolution.
When the contractor’s initial potential claim record is not timely, Caltrans may be

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Control of Work 3-5.29
 disadvantaged by limiting available corrective actions. The timeliness of the original
initial potential claim record is one of the many considerations in evaluating a
contractor’s protest, especially when quantifying the contractor’s damages and
compensation requests.
3-521C (1a) Resident Engineer’s Response to the Initial Potential Claim Record
The resident engineer’s response to the initial potential claim record acknowledges the
dispute, directs the contractor on how to proceed with the disputed issue, and informs
the contractor of the contractual time requirements to submit the supplemental and full
and final potential claim record.
The resident engineer must determine if the contractor’s dispute has merit. If the
dispute does have merit, the resident engineer must take appropriate action within the
scope of the contract and within the resident engineer’s authority to resolve the dispute.
If the resident engineer cannot resolve the dispute or lacks the authority to act, the
resident engineer should discuss the issue with the construction engineer and the
structure construction engineer, if appropriate.
3-521C (2) Form CEM-6201E, Supplemental Potential Claim Record
The supplemental potential claim record provides justification for additional
compensation and adjustments with references to the appropriate provisions of the
contract. The record must also include the estimated costs and impacts to the schedule.
The contractor must update the cost estimate or the impact to the schedule as soon as a
change is recognized.
Upon receipt of Form CEM-6201E, “Supplemental Potential Claim Record,” analyze
the contractor’s potential claim. This may involve discussing the potential claim with
peers, subject matter experts, and district management.
Potential claims involving differing site conditions that lack merit must also include an
internal review by a management review committee as referenced in Section 3-404,
“Differing Site Conditions,” of this manual.
3-521C (2a) Resident Engineer’s Response to the Supplemental Potential Claim
Record
Ensure the supplemental potential claim record is timely and is submitted on Form
CEM-6201E, “Supplemental Potential Claim Record.”
Once you receive a complete potential claim record submittal, evaluate it and provide a
detailed response letter to the contractor within the time specified in the contract. The
response letter must include the following sections:
• Background—Explain 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 potential claim record. 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.
• If the potential claim is determined to have no merit, remind the contractor of the

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3-5.30 Control of Work
 option to further pursue the potential claim as specified in the contract. Inform the
contractor of the contractual time requirements for the alternative dispute
resolution procedures and for submitting the full and final potential claim record.
When properly prepared, the response letter serves as the basis for the preliminary
construction claim findings.
Follow the guidelines in Section 3-521D, “Documentation Guidelines for Disputes,”
later in this section.
3-521C (3) Form CEM-6201F, Full and Final Potential Claim Record
Upon receipt of Form CEM-6201F, “Full and Final Potential Claim Record,” evaluate
it and respond within the time specified in the contract. Do not respond to the
contractor if the full and final potential claim record is submitted after contract
acceptance. Review and consider the information before processing the proposed final
estimate.
3-521C (3a) Resident Engineer’s Response to the Full and Final Potential Claim
Record
The requirements and format for the resident engineer’s response to the full and final
potential claim record are the same as outlined in Section 3-521C (2a), “Resident
Engineer’s Response to the Supplemental Potential Claim Record.” Refer also to
Section 3-521D, “Documentation Guidelines for Disputes,” later in this section.
3-521D Documentation Guidelines for Disputes
The following are guidelines for keeping records and responding to requests for
information and potential claim records:
• Ensure that reports and documents are factual and accurate. Use specific
statements in daily reports. An entry such as, “Told the contractor that . . .” is not
satisfactory, whereas “I told Foreman Smith that...” is satisfactory. A general
conclusion about the effect of a conversation is not helpful; a statement of the
conversation is better.
• Answer letters containing questionable or erroneous statements made by the
contractor in writing by refuting or correcting the contractor’s statement.
• Put orders and decisions in writing. Confirm any important statement about the
unacceptability of the work in writing. Before ordering the contractor to proceed
with extra or additional work, obtain approval. If the contractor verbally informs
you of a dispute, advise the contractor to comply with the applicable requirements
of the Standard Specifications. Include this verbal discussion in the resident
engineer’s daily report.
• Identify the issue and try to come to agreement with the contractor on a brief
description of the dispute. Identify areas of agreement and disagreement within the
issue. This will help to minimize the peripheral items that could cloud the dispute.
• The engineer’s response to the contractor’s supplemental potential claim record
will serve as the basis for the Caltrans position paper in alternative dispute
resolution proceedings.
• Focus on costs specific to the dispute, but do not discuss any funding availability,
such as project contingency balance, with the contractor.

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Control of Work 3-5.31
 • 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 tentative agreements for the labor,
equipment, or material quantities involved.
• Take preconstruction and project progress photographs. Photographs and videos
are valuable in confirming job conditions at a particular point in time. Dated
pictures of areas where work is not underway may be as important as pictures of
construction operations or completed work.
• Record the full names of all of the contractor’s personnel involved in any dispute.
These individuals may need to be located later. Information such as full names and
addresses of the contractor’s personnel are contained in the certified payrolls.
• Record equipment information such as description, model number, contractor’s
equipment number, size, and capacity to help calculate and confirm costs
associated with disputes.
Category 62, “Disputes,” of the project records must contain copies of all documents
related to every dispute on the project including progress schedules. This information
provides the basis for preparing the preliminary construction claim findings. Follow the
procedures outlined in Section 5-102, “Organization of Project Documents,” of this
manual to provide a good basis for documenting claims.
3-521E Sample Dispute Response Clauses
Use the following sample clauses in responses to requests for information and potential
claim records. Edit the clauses to fit the specific situation.
3-521E (1) Request for Information for Notification of a Possible Differing Site
Condition
3-521E (1a) General
“I have received your request for information dated [insert date] providing notification
of a possible differing site condition encountered at [give location]. It is my
understanding that you believe the material encountered differs materially from that
shown on the plans or is considered to be of an unusual nature . . .”
3-521E (1b) 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 believe a differing site condition exists, follow the procedures and
processes described in Sections 5-1.42, ‘Requests for Information,’ and 5-1.43,
‘Potential Claims and Dispute Resolution,’ of the Standard Specifications.”
3-521E (1c) 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 may be
warranted to complete the work.
“Please furnish me with the additional costs that may result from the increased work as
a result of this differing site condition.”

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3-5.32 Control of Work
3-521E (1d) If Partial Merit
“I have investigated the material and the contract documents [specify which
documents], and have found that the material from [specify locations/stations] does not
vary from that shown on the contract documents and the material from [specify
locations/stations] does vary from that shown on the contract documents. Therefore,
additional cost or extension of contract time may be warranted to complete the work
from [specify locations/stations].
“Please furnish me with the additional costs for the work from [specify
locations/stations] that may result from the increased work as a result of this differing
site condition.”
3-521E (2) Requests for Information to Protest a Time Adjustment Determination
in a Change Order
Use the following clauses in your response to a protest of time determination in a
change order:
3-521E (2a) General
“I have received your request for information dated [insert date] to protest the time
adjustment under Change Order No. [x]. I understand that you are protesting the
determination of [y] working days time extension for this change and you believe you
are entitled to [z] working days time extension.”
3-521E (2b) If No Merit
“My review of Change Order No. [x], anticipated work, and the progress schedule
indicates that the work required by the change order does not impact the controlling
operation [if a critical path method (CPM) review was performed substitute “critical
path” for “controlling operation”]. Therefore, you are not entitled to an extension of
contract time.
“If you still believe that a time extension is warranted, please provide documentation
to support your position, either in narrative form or an analysis showing the impact of
this work on the completion date of the project. Continue to follow the procedures and
processes described in Sections 5-1.42, ‘Requests for Information,’ and 5-1.43,
‘Potential Claims and Dispute Resolution,’ of the Standard Specifications.”
3-521E (2c) If Merit
“My review of Change Order No. [x], anticipated work, and the progress schedule
indicates that the work required by the change order impacts the controlling operation
[if a CPM review was performed, substitute “critical path” for “controlling
operation”]. I have determined a time extension of [y] days associated with the work.
“Change Order No. [x] will be revised to reflect this adjustment of contract time. Please
review and sign the revised change order if you agree with the change.”
3-521E (2d) If Partial Merit
“My review of Change Order No. [x], anticipated work, and the progress schedule
indicates that the work required by the change order does not alter the controlling
operation [if a CPM review was performed substitute “critical path” for “controlling
operation”] as you have indicated. My review indicates that the timeline for the
controlling operation [if a CPM review was performed substitute “critical path” for
“controlling operation”] was lengthened by [no. of days or dates]. Therefore, you are

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Control of Work 3-5.33
 entitled to an extension of contract time by [y] days. Change Order No. [x] will be
issued to provide an adjustment of contract time for [no. of days or dates].
“If you still believe that an additional time extension is warranted, please provide
documentation to support your position, either in narrative form or an analysis showing
the effect of this work on the completion date of the project. Continue to follow the
procedures and processes described in Sections 5-1.42, ‘Requests for Information,’ and
5-1.43, ‘Potential Claims and Dispute Resolution,’ of the Standard Specifications.”
3-521E (3) Requests for Information to Protest a Weekly Statement of Working
Days
Use the following clauses in your response to a request for information to protest the
determination of contract time in a Weekly Statement of Working Days:
3-521E (3a) General
“I have received your request for information dated [insert date], to protest the Weekly
Statement of Working Days No. [x]. It is my understanding that you are protesting the
charging of [specify day or days protested] as a working day because [specify the
contractor’s reasons for protesting the days in question].”
3-521E (3b) If No Merit
“The Weekly Statement of Working Days was completed in accordance with Section
8-1.05, ‘Time,’ of the Standard Specifications. Our records indicate that you were
working on the controlling operation more than 50 percent of the scheduled work shift
in question. This constitutes a working day as defined in Section 1-1.07, ‘Definitions,’
of the Standard Specifications. If you believe that the day(s) in question should be
considered nonworking days, please submit documentation in support of your protest.
In the absence of such documentation, the Weekly Statement of Working Days No. [x]
will remain unchanged.
“If you decide to pursue this as a potential claim, follow the procedures and processes
described in Sections 5-1.42, ‘Requests for Information,’ and 5-1.43, ‘Potential Claims
and Dispute Resolution,’ of the Standard Specifications.”
3-521E (3c) If Merit
“I have reviewed the project records and have determined that [insert date] should be
revised to indicate a nonworking day. Attached is the revised weekly statement of
working days no. [x].”
3-521E (3d) If Partial Merit
“Our records indicate that you were working on the controlling operation for the entire
day on [insert date(s)] but not on [insert date(s)]. [insert date(s)] should be revised to
indicate a nonworking day. Attached is the revised Weekly Statement of Working
Days No. [x].
“The Weekly Statement of Working Days was completed in accordance with Section
8-1.05, ‘Time.’ of the Standard Specifications. Our records indicate that you were
working on the controlling operation more than 50 percent of the scheduled work shift
in question. This constitutes a working day as defined in Section 1-1.07, ‘Definitions,’
of the Standard Specifications. If you believe that the day(s) in question should be
considered nonworking days, please submit documentation in support of your protest.
In the absence of such documentation, the revised Weekly Statement of Working Days

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3-5.34 Control of Work
No. [x] will remain unchanged.
“If you decide to pursue this as a potential claim, follow the procedures and processes
described in Sections 5-1.42, ‘Requests for Information,’ and 5-1.43, ‘Potential Claims
and Dispute Resolution,’ of the Standard Specifications.”
3-521E (4) Potential Claim Record
Use the detailed format and response guidelines in Section 3-521C, “Potential Claim
Records,” of this manual in conjunction with the following clauses to respond to a
potential claim record. Also, refer to Section 3-521C (1a), “Resident Engineer’s
Response to the Initial Potential Claim Record,” 3-521C (2a), “Resident Engineer’s
Response to the Supplemental Potential Claim Record,” and 3-521C (3a), “Resident
Engineer’s Response to the Full and Final Potential Claim Record,” of this manual.
3-521E (4a) General
“I have received your [state initial, supplemental, or full and final] potential claim
record dated [insert date], regarding [state the issue]. It is my understanding that this
potential claim is the result of a dispute over [state the dispute and give background of
the dispute].
“I understand your position to be [quote the contractor’s position as described in the
potential claim record].”
3-521E (4b) If No Merit
“I have reviewed your [state initial, supplemental, or full and final] potential claim and
based on the information you provided I find that it has no merit. [Explain why in
detail.]
“If you decide to pursue this as a potential claim, follow the procedures and processes
described in Sections 5-1.42, ‘Requests for Information,’ and 5-1.43, ‘Potential Claims
and Dispute Resolution,’ of the Standard Specifications.”
3-521E (4c) If Merit
“I have reviewed your [state initial, supplemental, or full and final] potential claim and
based on the information you provided I find that it has merit. [Explain why.] Change
Order No. [x] will be issued to address the points that have merit. Please provide me
with the cost associated with your notice of potential claim for review and
determination of compensation.”
3-521E (4d) If Partial Merit
“I have reviewed your [state initial, supplemental, or full and final] potential claim and
based on the information you provided I find that the following points have merit: [List
points and explain why in detail.] The following points do not: [List points and explain
why in detail.]
“If you decide to pursue this as a potential claim, follow the procedures and processes
described in Sections 5-1.42, ‘Requests for Information,’ and 5-1.43, ‘Potential Claims
and Dispute Resolution,’ of the Standard Specifications. Change Order No. [x] will be
issued to address the points that have merit. Please provide me with the cost associated
with your notice of potential claim for review and determination of compensation.”
3-521E (4e) Request Additional Information
“I have reviewed your [state initial, supplemental, or full and final] potential claim

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Control of Work 3-5.35
 record [or request for information]; however, I am unable to make a determination
based on the information you provided. Please provide me with the following
information so I can make a determination regarding your potential claim.”
3-522 3-522 Alternative Dispute Resolution Processes
Alternative Dispute Alternative dispute resolution helps resolve disputes and potential claims, mitigate
Resolution Processes damages, and maintain project schedules.
The alternative dispute resolution processes are partnering, dispute resolution ladders,
(DRL), dispute resolution advisors (DRA), and dispute resolution boards (DRB). Their
use is based on the size and duration of the contract. Refer to the special provisions and
Sections 5-1.09, “Partnering,” and 5-1.43E, “Alternative Dispute Resolution,” of the
Standard Specifications to determine which alternative dispute resolution process is
appropriate for the contract.
In order for the alternative dispute resolution processes to be most effective, they must
be set up and used in accordance with the applicable provisions. Set up partnering, the
DRL, the DRA, or the DRB as quickly as possible within the time specified to avoid
putting timely referral and resolution of a dispute in jeopardy.
3-522A Partnering-Facilitated Dispute Resolution
As one of the alternative dispute resolution processes, partnering is used to develop and
maintain trust and collaboration among project team members. Using partnering best
practices makes it more likely that the project team will jointly resolve project issues
and prevent them from becoming disputes. Refer to Section 5-1.09, “Partnering,” of the
Standard Specifications and Section 3-504, “Partnering,” of this manual for further
guidance.
If facilitated dispute resolution is included in the partnering charter for the project and
the project team is no longer having a productive dialogue regarding a dispute, discuss
with the contractor the use of facilitated dispute resolution as a way to reestablish
productive dialogue and obtain a better understanding of the dispute. Schedule
facilitated dispute resolution within the timelines provided in Section 5-1.43E(3)(e),
“DRB Traditional Dispute Meeting,” of the Standard Specifications. Partnering-
facilitated dispute resolution is not a substitute for any other contract requirement or
administrative claims procedure or provision. Refer to Chapter 7, “Resolving
Disputes,” of the Field Guide to Partnering on Caltrans Construction Projects for
further direction and guidance.
3-522B Dispute Resolution Ladder
Projects with bids less than $3 million may use the partnering dispute resolution ladder
(DRL). The optional DRL process will be included in the special provisions or can be
added with a no cost change order.
The DRL is an optional part of the alternative dispute resolution process. If used, the
DRL runs concurrently with requests for information and potential claim records. It is
not a substitute for any other contract requirement or administrative claims procedure
or provision.
3-522B (1) Dispute Resolution Ladder—Establishment
• At the preconstruction conference, kickoff partnering workshop, or any time
before contract acceptance, the resident engineer offers the contractor the option of
using a DRL as an alternative dispute resolution process. When accepted by the

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3-5.36 Control of Work
 contractor, the resident engineer should document the DRL by filling out Form
CEM-6208, “Dispute Resolution Ladder Establishment,” which lists the names,
titles, and contact information for Caltrans and contractor personnel. Caltrans’
dispute resolution ladder, in ascending order, is as follows:
• Field Level—Inspector
• Level 1—Resident Engineer
• Level 2—Construction Engineer
• Level 3—Construction Manager, Office Chief, or Deputy District Director of
Construction, as designated by the Deputy District Director of Construction.
The resident engineer and the contractor’s representative may use Form CEM-6209,
“Elevation of a Dispute,” to define the dispute before elevating it.
The resident engineer does not pay the contractor’s costs for participating in the DRL
process.
3-522B (2) Dispute Resolution Ladder—Operation
A dispute will be advanced up the ladder when an agreement between the parties on a
defined level cannot be reached within the time specified. A dispute can be elevated
sooner if both representatives on the defined level agree and the representatives at the
next higher level concur.
3-522C Dispute Resolution Advisor and Dispute Resolution Board
A DRA and a DRB are used on projects with at least 100 working days. A DRA is an
experienced neutral party that Caltrans and its contractor use to help resolve disputes
on contracts with a total bid of $3 million to $10 million. A DRB is a three-member
board of knowledgeable neutral parties that Caltrans and the contractor use to resolve
disputes on contracts with a total bid of more than $10 million.
Use of a DRA or DRB allows knowledgeable and experienced board members who
are not directly involved with the contract an opportunity to review and analyze a
dispute and provide their recommendations. Although these recommendations are not
binding, they are valuable in helping to resolve disputes before disputes become
claims. These recommendations become important if the dispute is carried over to
arbitration.
Disputes are documented in a Potential Claim Record. They must be referred to the
DRA or DRB, and a dispute meeting must be held within the timelines specified.
Generally, it is not in Caltrans’ best interest to wait to have a dispute heard. Rarely do
disputes get smaller as time passes. Furthermore, memories fade with time, and project
personnel often move on. Adhering to the timelines is key to resolving disputes as
quickly and as fairly as possible. For DRA and DRB submittal requirements and
traditional dispute meeting timelines, refer to:
http://www.dot.ca.gov/hq/construc/dispute_resolution/drainfo.htm
http://www.dot.ca.gov/hq/construc/dispute_resolution/drbinfo.htm
If a contractor is not adhering to the specified timelines for referring a dispute to the
DRA or DRB, remind the contractor, in writing, of the contractual requirement to do
so. If a contractor indicates that they wish to defer having the dispute meeting, a new
date can be arranged if the resident engineer agrees to the request. If not, remind the

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Control of Work 3-5.37
 contractor of the contractual requirements regarding the timelines for having a dispute
meeting.
The Division of Construction’s alternative dispute resolution (ADR) engineer
maintains the DRA and DRB websites and a list of prequalified member candidates.
3-522C (1) Establishment
When contractually required, the parties establish and use the DRA or DRB as part of
the administrative dispute resolution and potential claims process. Early establishment
of the DRA and DRB is important for resolving disputes as they occur. Delays may
affect the ability of the DRA or DRB to accurately analyze disputes without a baseline
reference.
Use the following procedure to select the best candidates from the prequalified lists.
Links to the lists can be found under “Dispute Resolution” at the Division of
Construction’s internet website.
1. Review the list of names and associated summaries of experience to find the most
qualified candidates for the particular project.
2. Select a candidate with the knowledge and work history that best match the type of
project.
3. Select a candidate with dispute resolution experience in the areas with the largest
potential for dispute.
4. Contact the Division of Construction field coordinator and ADR engineer for
guidance and additional information about the prospective candidates.
5. Contact the candidates, provide them with the project information, and determine
their desire and availability to serve. If a candidate is willing and available to serve,
request a disclosure statement with an updated résumé.
The Division of Construction field coordinator must approve the candidates nominated
by Caltrans and the third DRB candidate. The division field coordinator must also
approve candidates not on the Caltrans prequalified list.
Nominating a DRA or DRB candidate not on the prequalified list requires that the
candidate has completed training by the Dispute Resolution Board Foundation. In
addition, the candidate needs to have a minimum of 10 years of experience in or
directly related to public works, heavy-highway construction projects with, or on
behalf of, federal, state (particularly Caltrans), or local government agencies. The
experience must be any combination of the following:
1. Supervisor, manager, or executive in public-works heavy-highway construction
contracts with emphasis in resolving disputes arising out of those contracts.
2. Attorney representing parties in litigating or arbitrating public-works, heavy-
highway construction contract claims.
3. Judge or arbitrator adjudicating or otherwise resolving public-works, heavy-
highway construction contract claims.
Require the candidate to submit a candidate application and send the application to the
ADR engineer who processes it. A link to the application can be found at the Division
of Construction website. If the candidate is approved and agrees, the candidate is added
to the prequalified list by the ADR engineer.

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3-5.38 Control of Work
Submit the names, disclosure statements, and résumés of the dispute resolution
candidates to the contractor at the preconstruction conference, and ask the contractor to
do the same. Jointly with the contractor, review the disclosure statements and résumés
of the potential DRA or DRB candidates for qualifications and possible conflicts of
interest. Jointly select the most qualified candidates as the DRA or DRB members in
accordance with the specifications.
Upon selection, promptly notify the DRA or DRB member in writing, with a courtesy
copy to the contractor. Notify the candidates not selected that they are no longer under
consideration for the project.
For the DRA, complete Form CEM-6206, “Dispute Resolution Advisor Establishment
Report,” and send it to the ADR engineer. For the DRB, require the first two approved
members to nominate the third member and provide the appropriate documentation for
the third member’s approval. Once there is approval of all three members, complete
Form CEM 6202, “Dispute Resolution Board Establishment Report,” and send it to the
ADR engineer.
Sign the DRA or DRB agreement as soon as you have established the members. Links
to the Dispute Resolution Advisor Agreement and the Dispute Resolution Board
Agreement are on the Division of Construction website.
3-522C (2) DRA or DRB Member Replacement
With 15 days’ notice, a DRA or DRB member may be replaced, or the member may
voluntarily resign. Caltrans or the contractor may terminate the service of a member
who fails to comply fully with all required employment and financial disclosure
conditions of the DRA or DRB membership.
If Caltrans wants to replace the DRA or Caltrans-nominated DRB member, the
resident engineer discusses the proposal with district management. If district
management concurs, the district submits its recommendation to the Division of
Construction’s field coordinator for approval before notifying the advisor or board
member and the contractor.
When the need arises, a replacement member is nominated and approved using the
appropriate contractual selection process. In the case of a board member, if the
previous member was the chairperson, the new board must agree on a new chairperson.
In the case of an impasse, the two original DRB members may select the chairperson
by blind draw. Caltrans, the contractor, and the DRA or DRB members sign a revised
agreement. The replacement process begins immediately upon receiving a notice of
termination and is completed within 15 days.
3-522C (3) Operation
Alternative dispute resolution is for the benefit of both parties to the contract, so either
party may refer a dispute to the DRA or DRB.
As a complement to the agreement, the DRA or DRB chairperson may produce
operating procedures with details for conducting meetings. Work with the DRA or
DRB and the contractor to reach an equitable agreement on the meeting process for the
individual project circumstances. Ensure that the operating procedures comply with all
the contract requirements and the DRA or DRB agreement before approving them.
For projects with federal funding, notify the Federal Highway Administration (FHWA)
representative when an issue is referred to the DRA or DRB. Coordinate with the

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Control of Work 3-5.39
 FHWA representative on full-oversight projects to ensure the agency’s participation in
any related change order. Give the FHWA representative the date of dispute resolution
meetings, information regarding the dispute, and the DRA’s or DRB’s
recommendation.
3-522C (3a) Informal Dispute Meetings
The informal meeting is meant for small, uncomplicated disputes. The informal
meeting is optional and is meant to reduce the duration and effort needed to hear a
dispute. All parties must agree that the informal process is appropriate for resolving the
dispute. The informal dispute process parallels the traditional process.
Typically, very little documentation is provided at an informal dispute meeting. The
parties generally just tell their story to the DRA or DRB members and await the
recommendation, which should come the same day as the meeting. Use of the informal
process must not delay the hearing of a dispute using the traditional process.
3-522C (3b) Traditional Dispute Meetings
The traditional dispute meeting must be used for more complex issues or those issues
that were not resolved informally. A traditional dispute meeting is mandatory if the
contractor wishes to pursue the dispute.
The contractual time period for submitting the position paper and having a dispute
meeting is in the specifications and agreements. Remind the contractor of the
contractual time period for referring disputes to the DRA or DRB when responding to
the supplemental potential claim record.
When a dispute is referred to a DRA or DRB, prepare the position paper for submittal
to the contractor and the DRA or DRB in advance of the oral presentation at the
meeting. Present an effective position paper, because the recommendation may be
introduced in arbitration proceedings. Remember, the purpose of the position paper is
to persuade the DRA or DRB that your position complies with the contract.
Use the following format for the position paper:
• Table of Contents.
• Description of the dispute—A summary paragraph defining both the nature of the
dispute, as agreed upon with the contractor, and the clearly defined basis for
denying compensation.
• Background or chronology of the dispute—The history of the issue in a narrative
format including the facts, presented in a nonjudgmental manner. This section
must include a description of any partial or attempted resolutions.
• Contractor’s stated position—As stated in the contractor’s potential claim records,
other written materials, or oral communications. Quoted segments are most
effective when supplemented by exhibits. Present this section in a nonjudgmental
manner 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.
• 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

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3-5.40 Control of Work
 statement of Caltrans’ position requesting that the DRA or DRB find in Caltrans’
favor. Avoid expressing feelings or beliefs within this section.
• Exhibits—A number of exhibits for illustrating and clarifying the contractual and
technical requirements. Number and tab exhibits. When compiling the written
position paper, provide complete information related to the dispute including those
exhibits used within the oral presentation at the dispute meeting. Failure to provide
certain exhibits will likely result in the DRA or DRB disallowing related items
within the oral presentation. Distribute written position papers in accordance with
the contract.
Submit a draft written position paper to the construction engineer and peers for review
and comment in advance of the formal dispute meeting. These internal reviews provide
an opportunity to improve the position paper and benefit Caltrans by informing
management of dispute issues.
The oral presentation given during the dispute meeting is important to effectively put
forward Caltrans’ position. Begin preparing for the presentation well in advance of the
dispute meeting. Hold a mock presentation at least a week in advance of the dispute
meeting to allow incorporation of comments from attendees. Attendees at the mock
presentation should include the resident engineer, construction engineer, structure
representative, bridge engineer, and construction field personnel. Other attendees may
include technical experts, district construction claims engineer, construction manager,
Division of Construction field coordinator, and others with dispute resolution board
experience, depending on the size and complexity of the issue under consideration.
The objective of the mock presentation is to further examine the contractor’s position,
to 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.
Typically, either the resident engineer or structure representative gives the presentation
to the DRA or DRB depending on the dispute issue. Other personnel associated with
the project may provide additional evidence. Use of experts not associated with the
contract is not allowed unless requested by the DRA or DRB. All parties must agree to
the use of a technical specialist in advance.
The dispute meeting will follow the procedure outlined in the dispute resolution
agreement and any operating procedures agreed to by all of the parties involved.
3-522C (3c) Dispute Resolution Board Progress Meetings
In addition to the specific dispute meetings, there are mandatory initial and follow up
progress meetings. The DRB progress meetings give members the opportunity to gain
knowledge of the progress of work. Hold the first meeting at the start of the project.
Each progress meeting must include a site visit allowing the DRB members to view
construction operations, construction work completed, and areas where construction
work must begin before the next meeting. A representative from both the contractor
and Caltrans must attend all progress meetings. The minimum frequency of the
progress meetings is stated in the Standard Specifications and in the DRB agreement;
however, the frequency of meetings may be increased if the work is proceeding
quickly. The agenda of a typical progress meeting is contained within the DRB
agreement. At a minimum, the agenda should include a discussion of the following:

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Control of Work 3-5.41
 • Status of change orders
• Status of the work in terms of expended time and dollars
• Summary of potential claims
Promptly prepare and circulate progress meeting minutes to the parties for revision and
approval.
3-522C (4) DRA or DRB Recommendations and Responses
Upon receiving a DRA’s or DRB’s recommendation regarding a dispute, provide a
copy to the Division of Construction’s field coordinator and ADR engineer.
Discuss the recommendation with the construction engineer and begin preparing the
Caltrans response once the DRA or DRB issues its recommendation to the parties.
Although the recommendation is nonbinding, the parties must respond to the DRA or
DRB and the other party within the time specified so it is clear if the dispute is resolved
or remains unresolved. Accept or reject a recommendation in accordance with the
following:
1. Acceptance of a recommendation that finds in favor of Caltrans is delegated to the
district.
2. Acceptance of a recommendation in the contractor’s favor or rejecting a DRA or
DRB recommendation will require approval from the Division of Construction’s
field coordinator. The deputy district director of construction and the field
coordinator will review and discuss the reasoning for the proposed response before
sending it to the DRA or DRB and the contractor.
Complete Form CEM-6207, “Dispute Resolution Advisor—Dispute Meeting Report,”
or Form CEM-6204, “Dispute Resolution Board Dispute Meeting,” to notify the
Division of Construction’s ADR engineer of the dispute meeting and each party’s
acceptance or rejection of the recommendation.
A request for clarification of the recommendation will only be considered if made
within the time specified in the contract. Any request for clarification of a DRA or
DRB recommendation needs to be discussed with the Division of Construction’s field
coordinator before its submittal. Requests for clarification are warranted when the
recommendation fails to thoroughly explain the rationale for the recommendation,
when the DRA or DRB has not stated Caltrans’ position accurately, or when the
contractual provisions have been disregarded.
A request for reconsideration of an issue may be made, and will only be considered, if
new evidence concerning the dispute is provided and the request is made within the
time specified. Reconsideration requests must be discussed with the Division of
Construction’s field coordinator before submittal.
3-523 3-523 Final Inspection and Contract Acceptance
Final Inspection and
3-523A General
Contract Acceptance
As a project’s completion approaches, schedule appropriate reviews with maintenance,
traffic, and safety personnel. Before the final inspection, give the contractor a written
list of items needing attention.

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3-5.42 Control of Work
To resolve any potential problems on interstate projects, request that a field engineer
from the FHWA review the project before the day of final inspection. The objective is
to prevent last-minute delays in contract acceptance.
In accordance with Section 5-1.46, “Final Inspection and Contract Acceptance,” of the
Standard Specifications, the resident engineer must do a final inspection of the contract
work.
Maintain a record of the final inspection in the resident engineer’s daily report. The
record should include a statement similar to the following:
“I made a final inspection of the project today and determined that all contract
work has been completed.”
Or
“[Name] made the final inspection today and agreed that all contract work has
been completed.”
Time the final inspection so that the recommendation for contract acceptance will not
be delayed pending the inspection.
3-523B Contract Acceptance
On the day project work is completed in accordance with the requirements of the
Standard Specifications, special provisions, plans, and approved change orders, notify
the district construction office recommending district acceptance of the contract. Refer
to Section 5-1.46, “Final Inspection and Contract Acceptance,” of the Standard
Specifications.
For recommendations of acceptance, use Form CEM-6301, “Contract Acceptance.”
Follow the same procedure for accepting emergency contracts.
3-523C Work for Other Agencies or Owners
As a courtesy, when any work performed under the contract is for other agencies or
owners, ask for the concurrence of these entities in the acceptability of the work.
Include the concurrence of others such as local agencies, other state agencies, utility
companies, and school districts.
Also, ask for concurrence from another party or agency if it finances a state highway
project or a portion of the project. The district must arrange a joint field inspection with
the owner or agency. In writing and in advance (usually 30 days), notify the owner or
agency when the facility will be ready for final inspection. Time the inspection so that
concurrence for acceptance is available at the time of recommending the acceptance of
the contract or relief from maintenance and protection to the director. However, do not
withhold recommendations for acceptance or relief merely because an outside agency
will not concur.
The letter notifying the owner or agency of readiness for inspection should include:
• A reference to the cooperative agreement or other agreement.
• A statement that the inspection is to determine whether work is in compliance with
plans, the agreement, or both.
• The date of the inspection.

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Control of Work 3-5.43
 • 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, the resident engineer and
an agency representative should make a preliminary joint inspection to correct minor
deficiencies before the final inspection described above.
Write a record of the preliminary and final joint field inspections. Note what actions
were necessary to complete the work to the agency representative’s satisfaction.
Record if the agency representative is satisfied with the completeness of the work but
declines to concur in writing.

3-524 3-524 Guarantee

Guarantee 3-524A General
The contractor must perform corrective work due to a substantial defect as part of the
guarantee if all of the following can be demonstrated:
1. The substantial defect existed in the contractor’s work based on the specifications.
2. The substantial defect existed when the contract work was accepted.
3. A reasonable inspection by the resident engineer during construction would not
have revealed the defect.
If the resident engineer cannot demonstrate the substantial defect is the responsibility of
the contractor, the corrective work cannot be completed as part of the contract.
If a substantial defect is identified, the resident engineer will discuss the substantial
defect with district management and the Division of Construction field coordinator.
Send a letter to the contractor describing the substantial defect to be remedied. Any
correspondence with the contractor regarding corrective work and the substantial defect
must include the following language:
“Your refusal may result in a review of your responsibility to perform future work with
Caltrans.”
The contractor can perform corrective work without obtaining an encroachment permit.
The contractor may dispute the need for the corrective work but is nevertheless
contractually bound to perform the necessary repairs. If the proposed final estimate
(PFE) has not been issued, the contractor can file an exception in response to the PFE.
Otherwise, the contractor must file for arbitration pursuant to Section 10240.1 of the
Public Contract Code. The contractor has 90 days from the completion of the
corrective work or the end of the guarantee period, whichever is later, to file for
arbitration.
The end of the guarantee period is 1 year from contract acceptance and will not be
suspended or extended based on any corrective work being required or performed.

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3-5.44 Control of Work
3-524B Work Not Completed by Contractor
If the contractor refuses to perform the corrective work or if the corrective work
requires an immediate response, Caltrans will perform the corrective work. The district
may complete the corrective work with its own forces, day labor, by informal contract
or by director’s order. Discuss this process with district management and the Division
of Construction field coordinator.
The contractor is liable to the state for the costs to Caltrans resulting from the
contractor’s failure to complete the corrective work. The resident engineer will need to
maintain records on corrective work expenditures to expedite billing.
The resident engineer will send the detailed billing to the Division of Accounting,
abatements section, with instructions to prepare the accounts receivable bill and to mail
it to the contractor. If the contractor is not available, the bill should be mailed to the
surety.

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Control of Work 3-5.45
Chapter 3 General Provisions

Section 6 Control of Materials

3-601 General
3-602 Department-Furnished Materials
3-603 Local Materials
3-604 Buy America
3-604A Crumb Rubber
3-604B Steel and Iron Materials
3-604B (1) Resident Engineer Approval of Minimum Use Requirements
3-604B (2) Federal Highway Administration Approval of Waivers
3-605 Brand or Trade Names and Substitutions
3-606 Quality Assurance
3-607 Out-of-State Fabrication
3-608 Testing by Caltrans
3-608A Operating Range and Contract Compliance
3-609 Testing by the Contractor
3-609A Action Limit and Suspension Limit
3-610 Suspected Fraudulent Test and Inspection Reports

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Control of Materials 3-6.i
Chapter 3 General Provisions
Section 6
Section 6 Control of Materials Control of
Materials
3-601 General 3-601
Section 6, “Control of Materials,” of the Standard Specifications, describes the General
contractor’s responsibilities regarding materials used on the project.
The service life of a properly designed highway depends on the construction methods
and quality of materials used in the highway’s construction. The resident engineer must
ensure that materials used in the work comply with contract specifications. This section
presents general guidelines for ensuring that specifications are met.
Materials Engineering and Testing Services (METS) will assign inspectors for
materials that require inspection during manufacture or at the source of supply. Obtain
a properly completed Form CEM-3101, “Notice of Materials to Be Used,” which lists
the 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, then
forward the completed form to METS. METS will ensure the proper assignment of
inspectors and notify the suppliers of the required inspections. Refer to Section 6-202,
“Responsibilities for Acceptance of Manufactured or Fabricated Materials and
Products,” of this manual for additional information.
For a list of products inspected by METS, refer to Table 6-2.1, “Inspection of
Fabricated and Manufactured Materials,” of this manual.
Not all products will be inspected by METS. METS has assigned to the resident
engineer the inspection and release at the job site of those products listed in Table
6-2.2, “Materials Acceptance Based on Authorized Material List,” and Table 6-2.3,
“Materials Accepted by Certificate of Compliance,” of this manual.
Do not allow any material to be incorporated into the work until the required evidence
or certificate of compliance has been received and until the field inspection has been
completed at the job site.
3-602 Department-Furnished Materials 3-602
Section 6-1.02, “Department-Furnished Materials,” of the Standard Specifications Department-
describes the conditions under which the contractor receives Department-furnished Furnished
materials. The resident engineer’s duties related to these materials include the Materials
following:
• Review the special provisions for materials to be Department-furnished. For
materials manufactured specifically for the project, such as signs, check with the
district unit responsible for ordering them to ensure they will be available when the
contractor requests them.
• Obtain the contractor’s written request for all Department-furnished materials.
Retain a copy of the request in the project file under Category 52, “Charges to
Total Contract Allotment.”

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Control of Materials 3-6.1
 • Ensure the contractor signs a receipt for the materials when they are delivered.
Retain a copy of the receipt in the project file.
• If Department-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.
• Ensure the return or disposal of Department-furnished material that has not been
used in the work.
3-603 3-603 Local Materials
Local Materials Section 6-1.03, “Local Materials,” of the Standard Specifications, covers the
requirements for the use of local materials and the resident engineer’s responsibility for
testing the material. This section also requires the contractor to furnish material from
any source the contractor may elect; however, when mandatory local sources of certain
materials are designated in the special provisions or on the plans, the contractor must
furnish material from those designated mandatory sources.
If the contractor elects to obtain material from a non-mandatory local source, the
contractor is responsible for making all arrangements necessary to obtain materials
from that source. The contractor must furnish the resident engineer with a copy of the
contractor’s agreement with the property owner and provide copies of all necessary
permits, licenses, and environmental clearances prior to removing any material. Refer
to Section 3-510, “Coordination With Other Entities,” of this manual and Section
5-1.20, “Coordination With Other Entities,” of the Standard Specifications for
additional information.
Where Caltrans has entered into agreements with property owners in the vicinity of a
project for obtaining material from an owner’s property, the arrangements are made
solely for the purpose of providing all bidders an equal opportunity to obtain material
from that property. Provide the contractor a copy of the agreement between Caltrans
and the property owner. Refer to Section 3-510, “Coordination With Other Entities,” of
this manual for more information.
The special provisions may require the contractor to obtain materials from a specified
source. It may be necessary for the contractor to process the material as indicated in the
special provisions to produce acceptable materials from this source.
If the resident engineer determines that the specified local material source can no
longer be used for any reason, designate an alternative local material source for the
balance of the material. Pay for the costs associated with the change in material source
as extra work.
Occasionally, it becomes necessary to obtain additional embankment material from
outside the local area and there is no item for “imported borrow.” Under these
circumstances, it is normal practice for Caltrans to locate an alternative source for this
material. Consult with the district materials engineer for help locating an alternative
material source.
In accordance with the State Contract Act, material sources must comply with the
Surface Mining and Reclamation Act of 1975 (SMARA). Refer to Chapter 7,
“Environmental Stewardship,” of this manual and the Department of Conservation’s
website at the link provided later in this section for further information regarding
SMARA requirements.

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3-6.2 Control of Materials
If a 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 finding before approval of
the change order.
At a minimum, the public interest finding, 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
website:
http://conservation.ca.gov/omr/SMARA%20Mines/ab_3098_list/Pages/Index.aspx

The above requirements do not apply to “local borrow,” as defined in Section 19-7,
“Borrow Material,” of the Standard Specifications. Refer to Chapter 7, “Environmental
Stewardship,” of this manual for a list of mining operations that are or are not subject to
SMARA requirements.
3-604 Buy America 3-604
Section 6-1.04 “Buy America” of the Standard Specifications includes Buy America Buy America
provisions for crumb rubber, steel, and iron materials. Buy America provisions apply to
Caltrans projects regardless of funding source, unless the special provisions indicate
otherwise.
3-604A Crumb Rubber
Buy America requirements apply to crumb rubber incorporated into the work. The
crumb rubber must be produced in the United States and derived from waste tires taken
from vehicles owned and operated in the United States. Ensure the contractor submits a
certificate of compliance with furnished crumb rubber showing compliance with Buy
America requirements.
3-604B Steel and Iron Materials
Buy America requirements apply to steel and iron materials permanently incorporated
into the work. This includes steel and iron components of a manufactured product
regardless of the overall composition of the manufactured product. For example, Buy
America applies to the steel welded wire reinforcement or steel reinforcing components
of a precast reinforced concrete pipe.
The steel and iron materials must be melted and manufactured in the United States,
except that foreign (a) pig iron and (b) processed, pelletized, and reduced iron ore may
be used in the domestic production of the steel and iron materials.
Manufacturing begins with the initial melting and mixing and continues through the
bending and coating stages. Coating includes all processes that protect or enhance the
value of the material to which the coating is applied.

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Control of Materials 3-6.3
 The manufacturing process for a product with steel or iron content 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 is installed as a component of a
more complex product through further assembly, as is the case for a traffic signal head.
The final assembly process does not need to be accomplished domestically as long as
the steel or iron component is only installed and no manufacturing process is
performed on the steel or iron component.
A certificate of compliance from the manufacturer, not the contractor, showing
compliance with Buy America requirements must accompany products with steel or
iron content. Ensure receipt of the required certificates of compliance and mill test
reports.
3-604B (1) Resident Engineer Approval of Minimum Use Requirements
Buy America requirements do not apply to a minimal use of steel and iron materials
incorporated in the work as specified in Section 6-1.04C, “Steel and Iron Materials,” of
the Standard Specifications.
Before incorporating foreign steel and iron materials into the work, the contractor must
submit documentation regarding the quantity and value of the foreign steel and iron to
the resident engineer. Review the documentation to determine if it supports the
minimum-use rule before allowing the material to be incorporated into the project. If
the minimum-use rule applies, approve the exception in writing. This applies as a one-
time total exemption for each contract and not for each purchase. File the
documentation, exceptions, and a running total of the value of minimum-use foreign
steel and iron under Category 41, “Report of Inspection of Material (TL-0029).”
3-604B (2) Federal Highway Administration Approval of Waivers
Caltrans does not have the authority to allow the use of foreign steel and iron content in
products subject to Buy America in federal-aid projects without FHWA approval,
except under the minimum-use rule. The California FHWA division administrator may
grant waivers only upon receiving concurrence from FHWA headquarters in
Washington, D.C. Approval or denial may take several months.
Approval by FHWA of the waiver is required prior to allowing foreign steel or iron
that exceeds the minimum-use rule into the project. Lack of an FHWA-approved
waiver can result in the loss of all federal funds for the project.
The contractor must submit the following information to the resident engineer when
requesting a waiver to Buy America requirements:
• A detailed description of the waiver item.
• Item 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 proposed redesigns using available domestic products.

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3-6.4 Control of Materials
3-605 Brand or Trade Names and Substitutions 3-605
When specific brand or trade names are used to designate required products, the Brand or Trade
contractor may furnish other products that are of equal or better quality. Names and
A product is not necessarily equivalent merely because it is on an Authorized Material Substitutions
List published by Caltrans. These lists indicate that the products meet the general
qualifications. However, some of the listed products may not meet the specific needs of
the project or may not be appropriate for a particular location due to factors such as
climate conditions or maintenance difficulties. Consult with the responsible unit (the
Design Unit, Traffic Unit, Maintenance Unit, or METS, for example) before making
decisions about the acceptability of substitutes.
3-606 Quality Assurance 3-606
Quality assurance encompasses all materials and construction activities on a project Quality Assurance
and directly affects the service life of a transportation facility.
Section 6-2, “Quality Assurance,” of the Standard Specifications includes provisions
covering the contractor’s quality control over the work and Caltrans’ verification and
acceptance of the work.
Section 6-2.02, “Quality Control,” of the Standard Specifications informs the
contractor of general quality control requirements regarding the materials incorporated
into the work. Ensure the contractor maintains a quality control program including
employing appropriate personnel and keeping thorough quality control records.
Section 6-2.03, “Department Acceptance,” of the Standard Specifications allows the
resident engineer access to the material sources to inspect, sample, and test materials
for Department acceptance. Refer to Section 3-501, “General,” of this manual for
information regarding safe access.
Resident engineers and their authorized representatives have a primary duty to inspect
the work and to sample and test the materials incorporated into the work to ensure
compliance with the Standard Specifications, special provisions, and plans.
Deduct retesting costs. Contact the district materials engineer who oversees the district
materials lab for guidance on determining the costs. For hot mix asphalt verification
retesting, refer to Section 39-2.01A(4)(b), “Job Mix Formula Verification,” of the
Standard Specifications.
Additional information about quality assurance can be found in the Division of
Construction publication Construction Quality Assurance Program Manual at:
http://www.dot.ca.gov/hq/construc/publicationlist.htm
3-607 Out-of-State Fabrication 3-607
Section 6-2.01E, “Material Source Inspection and Testing,” of the Standard Out-of-State
Specifications includes deductions in payment for fabrication at some distance from Fabrication
Sacramento and Los Angeles. In addition, some special provisions may modify the
amount to be deducted. Deduct the appropriate amount, applying it as an administrative
deduction on estimates that include payment for the item. Use a standard description of
“Out of State Inspect” on Form CEM-6101, “Project Record—Estimate Request.” This
deduction should be made in whole, when appropriate. However, if the deduction is
large, the resident engineer has the option to deduct incremental amounts until the full
deduction is made.

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Control of Materials 3-6.5
 3-608 3-608 Testing by Caltrans
Testing by Caltrans In addition to the California test methods, the Standard Specifications contain
references to the standards and tests of the American Association of State Highway and
Transportation Officials and the American Society for Testing and Materials.
California test methods are available at:
http://www.dot.ca.gov/hq/esc/ctms/index.html
American Association of State Highway and Transportation Officials, American
Society for Testing and Materials, and other test methods are available under the IHS
Spec’s and Standards Search link accessible by Caltrans staff on the Caltrans intranet
at:
http://des.onramp.dot.ca.gov/materials-engineering-and-testing-services-mets
Whenever samples are taken from materials sites, the resident engineer must ensure
that the samples are representative of material being used. Degradation and segregation
may occur in aggregates between the processing operation and their incorporation in
the work. The resident engineer cannot assume that material satisfactorily tested at the
source or at the processing plant is still satisfactory at the job site. To ensure
specification compliance, confirm the contractor tests at the frequencies shown in the
specifications as the material is being incorporated into the work. Also, perform and
record acceptance sampling and testing as required by Section 6-1, “Sample Types and
Frequencies,” of this manual. Deliver acceptance samples to the district laboratory
within 1 business day for projects within 50 miles and within 2 business days for
projects more than 50 miles from the district laboratory, except where sampling or test
methods conflict. Report acceptance test results to the contractor within 2 business days
of receipt from the laboratory. The contractor must be advised that all test results are
available for their inspection. Accordingly, test results must remain in the project files.
Provide copies of acceptance tests to the contractor upon request.
3-608A Operating Range and Contract Compliance
Section 25, “Aggregate Subbases”; Section 26, “Aggregate Bases”; Section 27,
“Cement Treated Bases”; Section 28, “Concrete Bases”; Section 37, “Seal Coats”; and
Section 90, “Concrete,” of the Standard Specifications, all contain provisions for an
acceptable range of test results. If a test result fails to meet the requirements of the
operating range but meets contract compliance, the contractor usually needs to make
some change in operations to ensure that 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 of reasons for leaving the material in place and the
contractor’s actions, is sufficient for the contract records. A change order accepting out-
of-specification material is not required in this case because the specifications provide
the procedure for acceptance.
The resident engineer must inform the contractor promptly of test results that indicate
unacceptable or borderline work.

California Department of Transportation  Construction Manual  July 2017

3-6.6 Control of Materials
3-609 Testing by the Contractor 3-609
The contractor must be satisfied at all times that the quality of materials entering the Testing by the
work and the work performed, regardless of who supplies the materials or performs the Contractor
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, except where verification testing is specified.
3-609A Action Limit and Suspension Limit
Action and suspension limits are similar to operating range and contract compliance
except they apply to the contractor’s quality control testing as specified in Section 40,
“Concrete Pavement,” and Section 41-9, “Individual Slab Replacement With Rapid
Strength Concrete,” of the Standard Specifications.
3-610 Suspected Fraudulent Test and Inspection Reports 3-610
When fraudulent tests or inspection reports are suspected, discuss the situation with the Suspected
Division of Construction field coordinator. Contact the district materials engineer or Fraudulent Test
METS for assistance in evaluating the reports. Retest the material represented by and Inspection
suspect tests, as appropriate. If after investigating, fraud is still suspected, the deputy Reports
district director provides the facts in writing to the Division of Construction field
coordinator.

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Control of Materials 3-6.7
Chapter 3 General Provisions

Section 7 Legal Relations and Responsibility to the Public

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

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Legal Relations and Responsibility to the Public 3-7.i
Chapter 3 General Provisions
Section 7
Section 7 Legal Relations and Responsibility to the Public Legal Relations
and Responsibility
to the Public
3-701 Laws to Be Observed 3-701
The contractor must be familiar with and comply with all laws, regulations, and Laws to Be
ordinances that affect the labor, materials, and conduct of the work. However, the Observed
specifications do not intend or require that the resident engineer exercise police
enforcement power. If the resident engineer learns that the contractor has violated a
work-related law or regulation, the engineer must bring the matter to the 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 weighmaster certificates, padding the number of loads of a commodity
delivered, tampering with scales, or falsifying test or inspection reports may require
special investigation and appropriate action. Such investigations are confidential and
begin with a discussion between the resident engineer and the construction engineer.
To request a special investigation, write a letter to the Division of Construction field
coordinator.
3-701B Labor Code Requirements and Fair Labor Standards Act
For the resident engineer’s duties with regard to California Labor Code requirements
and the U.S. Fair Labor Standards Act, refer to Chapter 8, “Employment Practices,” of
this manual.
3-701C Vehicle Code
In any areas open to public traffic within the 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. Refer to Section 3-519B, “Load Limits,” of this manual.
3-701D Occupational Safety and Health Standards
The contractor must conform to all Department of Industrial Relations, Division of
Occupational Safety and Health standards. Refer to Section 2-1, “Safety,” of this
manual for guidelines on administering the contract’s safety requirements.
3-701D (1) Excavation Safety
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 excavation safety. The Trenching and
Shoring Manual is available at:
http://www.dot.ca.gov/hq/esc/construction/manuals/

California Department of Transportation  Construction Manual  July 2017

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

3-702 3-702 Public Convenience

Public Convenience The following sections provide guidelines for enforcing the provisions in Section
7-1.03, “Public Convenience,” of the Standard Specifications and contain discussion of
other topics related to the passage of public traffic through construction projects.
3-702A Convenience of the Public and Public Traffic
The contractor has a contractual obligation to provide for the convenience of the public
and public traffic. Section 7-1.03, “Public Convenience,” of the Standard
Specifications requires that operations present 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.

California Department of Transportation  Construction Manual  July 2017

3-7.2 Legal Relations and Responsibility to the Public
Ensure that the contractor maintains safe and convenient access through and around
work zones for bicyclists and pedestrians, including persons with disabilities. For
guidance, refer to Section 2-216, “Pedestrian Facilities,” of this manual.
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. 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
example, do not accept a trench that lies adjacent to a traffic lane for the entire length of
the project and that was excavated just to suit the 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 7-1.03, “Public Convenience,” of the Standard Specifications is
to ensure public convenience, not to minimize construction cost. Frequently, the
contractor can achieve both through careful planning and skillful operation.
3-702B Maintenance of Passageway Through Construction
Normally, paved detours will be provided for the passage of public traffic during
construction. On low volume roads where the cost of detour construction is
unreasonably high, the contract may provide for traffic to pass through the work during
the grading and structural section operations. Section 7-1.03 “Public Convenience,” of
the Standard Specifications specifies the responsibility of the contractor for providing
reasonably smooth and even surfaces for passage of public traffic through the work.
Ensure the contractor constructs a temporary joint taper at the specified slope when a
drop-off between the existing pavement and paving or cold planing area at transverse
joints cannot be avoided before opening to traffic.
3-703 Public Safety 3-703
The contractor must bear all expenses associated with those devices primarily intended Public Safety
to protect traffic from hazards arising because of the 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 the public from all
potential hazards that may result from the construction activities including, but not
limited to, 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 placement, movements, and
actions of workers and equipment, the disposition of workers and the placement and
handling of materials.
Under the specifications, the resident 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.

California Department of Transportation  Construction Manual  July 2017

Legal Relations and Responsibility to the Public 3-7.3
 3-703A Temporary Clearance and Bridge Permit Rating Changes
The following guidelines apply to situations where temporary changes occur in vertical
or horizontal clearance for vehicular traffic or where temporary changes occur in
bridge permit ratings. When providing notification of changes, use Forms TR-0019,
“Notice Of Change In Clearance Or Bridge Weight Rating,” for divided highways;
TR-0020, “Notice of Change in Vertical Or Horizontal Clearance”; or TR-0029,
“Notice Of Change In Clearance Or Bridge Weight Rating.” The forms are available
at:
http://www.dot.ca.gov/trafficops/permits/notice.html
3-703A (1) Temporary Vertical and Horizontal Clearance Changes
Whenever an operation will reduce clearances available to public traffic, the
specifications require the contractor to notify the resident engineer at least 25 days and
not more than 125 days before the anticipated start of an operation that will change the
vertical or horizontal clearance available to public traffic (including shoulders). At least
15 days before implementing proposed changes in vertical clearances, horizontal
clearances, or both, notify the Transportation Permits Branch of the proposed changes
and their duration. If the clearance change is on a local jurisdiction roadway, notify the
affected agency in writing at the same time.
3-703A (2) Temporary Bridge Permit Rating Changes
Fifteen days before implementing proposed bridge permit rating changes, the structure
representative must notify the resident engineer in writing and the bridge rating
engineer of the proposed ratings and their duration. Use Forms TR-0019 or TR-0029.
The bridge rating engineer must then immediately notify the Transportation Permits
Branch of any rating changes.
Within 3 days of rescinding the temporary bridge permit rating, the structure
representative must notify the resident engineer in writing and the bridge rating
engineer. The bridge rating engineer must then immediately notify the Transportation
Permits Branch.
3-703B Permanent Clearance and Bridge Permit Rating Changes
The following guidelines apply to situations where permanent changes occur in vertical
or horizontal clearance for vehicular traffic or where permanent changes occur in
bridge permit ratings.
3-703B (1) Permanent Vertical and Horizontal Clearance Changes
Fifteen days before implementing proposed permanent vertical and horizontal
clearance changes, the resident engineer must notify the Transportation Permits Branch
of the proposed changes. Use form TR-0019, TR-0020, or TR-0029. Also, to confirm
the necessary information, the resident engineer must consult the Transportation
Permits Branch before making field measurements.
3-703B (2) Permanent Bridge Permit Rating Changes
Fifteen days before implementing proposed changes to the bridge permit rating, the
structure representative must notify the resident engineer in writing and the bridge
rating engineer of the proposed bridge permit ratings. Use form TR-0019 or TR-0029.
The bridge rating engineer must then immediately notify the Transportation Permits
Branch of any rating changes.

California Department of Transportation  Construction Manual  July 2017

3-7.4 Legal Relations and Responsibility to the Public
3-703B (3) Notification Procedure
Submit changes to be reported in accordance with the above procedures to either the
North Region or South Region construction/maintenance liaison in the Transportation
Permits Branch. The North Region liaison is responsible for districts 1, 2, 3, 4, 5
(except San Luis Obispo and Santa Barbara Counties), 6 (except Kern County), and 10.
The South Region liaison is responsible for districts 5 (San Luis Obispo and Santa
Barbara Counties only), 6 (Kern County only), 7, 8, 9, 11, and 12.
The Transportation Permits Branch will, within 1 business day, send a fax to the
resident engineer confirming receipt of the change.
3-704 Indemnification and Insurance 3-704
The contractor’s obligation for insurance is contained in various sections of the Indemnification
Standard Specifications. Section 3-1.07, “Insurance Policies,” has provisions and Insurance
describing the types of insurance documents required. Section 3-1.18, “Contract
Execution,” requires the contractor to submit those insurance documents at the time the
contract is executed. Section 7-1.05, “Indemnification,” requires the contractor to
indemnify Caltrans and Section 7-1.06, “Insurance,” requires the contractor to carry
liability insurance without allowing it to lapse.
The contractor must also have railroad protective insurance when required by the
contract. This topic is covered in Section 3-704C, “Railroad Protective Insurance,” of
this manual.
3-704A Responsibilities
The Division of Construction is responsible for reviewing, approving, and monitoring
contractor insurance documents.
The Division of Construction sends a notice of insurance approval to the districts. Each
district has a designated person responsible for notifying resident engineers about
insurance-related matters. That person serves as the resident engineer’s contact for all
insurance issues. The resident engineer files insurance-related documents in the
contract records.
For a contractor business name change submitted under Form CEM-1202A,
“Contractor Action Request—Change of Name/Address,” the Division of Construction
will validate and approve insurance policies and contract bonds issued with the new
business name. For additional information on Form CEM-1202A, refer to Section 3-
506, “Assignment,” of this manual. Send by email an electronic copy of the reviewed
CEM-1202A (including all attachments) and a copy of the original contract bonds to
the Division of Construction at [email protected].
3-704B Evidence of Insurance
The contractor may show evidence of insurance in two ways:
• A contractor may be pre-approved for insurance before bidding on a Caltrans
contract. If a contractor is pre-approved, the Division of Construction will issue a
certificate of pre-approved insurance valid until the next insurance policy
expiration date. The Division of Construction has posted information and
instructions for pre-approval of a contractor’s insurance on its website at:
http://www.dot.ca.gov/hq/construc/riskmanagement/insurancepreapproval/

California Department of Transportation  Construction Manual  July 2017

Legal Relations and Responsibility to the Public 3-7.5
 • The contractor may bid on any Caltrans contract without first obtaining insurance.
If the contractor is the apparent low bidder, it must submit the insurance
documents to the Office Engineer as a condition of contract approval.
Ensure the contractor’s required insurance does not lapse during the life of the project.
If the contractor has not submitted the renewed insurance documents 10 days before
expiration of its previous insurance, the Division of Construction will:
• Send a notice to the contractor of the failure to comply with the insurance
requirements of the contract.
• Send a copy of the notice to the district’s insurance contact and the deputy district
director of construction.
If the contractor has not submitted the renewed insurance documents 1 day before the
expiration of the contractor’s insurance, the Division of Construction sends a second
notice to the district’s insurance contact with a copy to the deputy district director for
construction and the Division of Construction’s field coordinator.
3-704B (1) Actions Allowed by the Standard Specifications
After consultation with the deputy district director for construction and the Division of
Construction field coordinator, take one or both of the following actions:
• Suspend the contractor’s operations in accordance with Section 8-1.06,
“Suspensions,” of the Standard Specifications until the contractor submits the
insurance documents and the Division of Construction approves them. Inform the
contractor’s surety in writing that the contractor has failed to maintain insurance as
required by the contract and that the work has been suspended temporarily.
• Act in accordance with the provisions of Section 7-1.06H, “Enforcement,” of the
Standard Specifications, which allows Caltrans to maintain the required insurance
coverage and withhold or charge the expense to the contractor or to terminate the
contractor’s control of the work in accordance with Section 8-1.13, “Contractor’s
Control Termination,” of the Standard Specifications.
Example 3-7.1, “Notice of Contract Suspension of Work,” in this section can be used
for either or both of the previous actions.
3-704C Railroad Protective Insurance
State highway construction occasionally requires a contractor to work on or near a
railroad’s operating property. This varies from minor side encroachments to work
involving the direct crossing of a railroad’s tracks. The contract 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.
Requirements for railroad protective liability insurance vary depending on the railroad
company involved. If the contract includes an agreement with a railroad company,
Caltrans makes the provisions of the agreement available in the Information Handout
in the document titled “Railroad Relations and Insurance Requirements.”
The district railroad agreements coordinator within the Right of Way and Land Surveys
Unit in the district is the point of contact for all railroad insurance issues. Before the
contractor performs contract work that encroaches on the railroad’s operating

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3-7.6 Legal Relations and Responsibility to the Public
properties, the resident engineer must either receive a copy of the approved insurance
documents from the contractor or district railroad agreements coordinator, or confirm
with the district railroad agreements coordinator that the contractor has furnished
railroad protective insurance.
For emergency contracts, obtain verbal release and authority to start work after the
railroad has received all the insurance documents.
3-704C (1) Responsibility
The resident engineer must ensure the specified insurance is in force at all times when
work that requires such insurance is being performed.
Prohibit work that involves encroachment on railroad property by either a prime
contractor or subcontractor until the following conditions are met:
• The railroad or the district railroad agreements coordinator advises the resident
engineer that the contractor, subcontractor, or both, have furnished the specified
insurance.
• The resident engineer receives a copy of the approved proof of insurance.
3-704C (2) Insurance Renewal
The contractor’s or subcontractor’s obligation to renew the required railroad protective
insurance before expiration is specified in the contract. The Division of Construction
monitors the expiration of an approved railroad protective insurance. The Division of
Construction will notify the district’s insurance contact if the contractor fails to renew
the railroad protective insurance.
If the contractor fails to renew the railroad protective insurance, suspend the operation
related to the railroad operating property as stated in Section 3-704B (1), “Actions
Allowed by the Standard Specifications,” of this manual.

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Legal Relations and Responsibility to the Public 3-7.7
 Example 3-7.1. Sample Notice of Contract Suspension of Work Due to Insurance Lapse Letter
STATE OF CALIFORNIA—CALIFORNIA STATE TRANSPORTATION AGENCY EDMUND G. BROWN Jr., Governor

DEPARTMENT OF TRANSPORTATION
DIVISION OF CONSTRUCTION
[Resident Engineer’s Address]
[City, CA ZIP] Making Conservation
[PHONE (Area Code) xxx-xxxx] a California Way of Life.
[FAX (Area Code) xxx-xxxx]
TTY 711
www.dot.ca.gov

Date: [Month dd, yyyy]

[Name of Surety Company]

[Address]
[City, State ZIP]

Subject: Notice of Contract Suspension of Work Due to Insurance Lapse

[Contractor’s Name]
[Contract Number/Project Description]

Dear Surety:

This is to notify you that [insert contractor’s name] has failed to maintain insurance on Contract No. [insert contract
EA and project description] as required under Sections 7-1.05, “Indemnification,” and/or 7-1.06, “Insurance,” of the
Standard Specifications. In accordance with Section 8-1.06, “Suspensions,” of the Standard Specifications
[contractor’s name]’s operations on Contract No. [insert contract EA] are suspended effective [effective date of
temporary work suspension].
Your attention is directed to the provisions of Section 10253 of the Public Contract Code and to Section 8-1.13,
“Contractor’s Control Termination,” of the Standard Specifications relating to the contractor’s failure to comply with
the insurance provisions of the contract. According to PCC §10253, unless the contractor submits proof of the
required insurance as required by the contract, Caltrans may issue a 5-day notice to terminate the contractor’s
control.
You will be notified if the contractor provides the required proof of insurance before a notice to terminate the
contractor’s control of the work.
If you have questions, please contact me at [(area code) xxx–xxxx].

Sincerely,

[Name of resident engineer]

Resident Engineer

c:
bc:
“Provide a safe, sustainable, integrated and efficient transportation system
to enhance California’s economy and livability”

California Department of Transportation  Construction Manual  July 2017

3-7.8 Legal Relations and Responsibility to the Public
Chapter 3 General Provisions

Section 8 Prosecution and Progress

3-801 Schedule
3-802 Preconstruction Conference
3-803 Start of Job Site Activities
3-803A Work Before Contract Approval
3-803B Flexible Start
3-803C Potential Budget Impasse Start
3-803D Delayed Start
3-803E Next Day Start
3-804 Time
3-804A Weekly Statement of Working Days
3-804A (1) The Record Section (Upper Block)
3-804A (2) Change Order Time Adjustments (Center Block)
3-804A (3) Computation of Extended Date for Completion (Lower Block)
3-804A (4) Final Weekly Statement of Working Days
3-804A (5) Examples
3-805 Suspensions
3-805A Suspensions Related to Contractor Performance
3-805B Suspensions Unrelated to Contractor Performance
3-806 Delays
3-806A Time or Payment Adjustments and Nonworking days
3-806B Material Shortage
3-807 Liquidated Damages
3-807A Failure to Complete Work Parts Within Specified Times
3-807A (1) Case 1
3-807A (2) Case 2
3-807A (3) Case 3
3-807A (4) Case 4
3-808 Contractor’s Control Termination
3-808A Work Completed by the Surety
3-808B Work Not Completed by the Surety
3-808B (1) Section 1
3-808B (2) Section 2
3-808B (3) Section 3
3-808B (4) Section 4
3-808B (5) Section 5
3-808C Billing
3-809 Contract Termination
3-809A Federal-Aid Contracts on the National Highway System
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Prosecution and Progress 3-8.i
Chapter 3 General Provisions
Section 8
Section 8 Prosecution and Progress Prosecution and
Progress

3-801 Schedule 3-801

Three levels of critical path method schedules are defined in Section 8-1.02, Schedule
“Schedule,” of the Standard Specifications. The level is determined by the number of
working days and the total bid amount.
Make every effort to obtain a reasonable baseline schedule at the beginning of the
contract. Record in a daily report any communication regarding the schedule. Notify
the contractor in advance if a progress payment will be withheld for failure to submit a
satisfactory schedule.
In general, schedules should:
• Separate contract items into activities to show controlling activities as well as non-
controlling activities.
• Be used by the resident engineer and the contractor to monitor and evaluate
progress, determine controlling activities of work, and analyze time consequences
from changes or work delays.
• Be consistent with all contract time requirements.
• Display internal milestones and other time constraints, such as placing traffic on
detours or new pavement, and beginning new phases of the work in staged
construction.
The contractor is required to submit a revised schedule monthly to evaluate alterations
to the critical path or an adjustment to the completion date. For Levels 1 and 2, the
revised schedule may be used in lieu of a time impact analysis. Also refer to critical
path method training publications Advanced CPM Scheduling and Project Scheduling
with Primavera P6 at:
http://www.dot.ca.gov/hq/construc/publicationlist.htm
3-802 Preconstruction Conference 3-802
Schedule a preconstruction conference as soon as is practical after a contractor has Preconstruction
been selected for a project. Be prepared to discuss with the contractor the items in Conference
Section 8-1.03, “Preconstruction Conference,” of the Standard Specifications.
Refer to Section 5-003, “Preconstruction Conference with the Contractor,” of this
manual for additional guidance. Review the job with Caltrans personnel before the start
of job site activities, and refer to Section 5-002, “Preconstruction Conference with
Caltrans Personnel,” of this manual.
3-803 Start of Job Site Activities 3-803
This section covers the subject of when the contractor begins work. Do not confuse the Start of Job Site
beginning of work with the beginning of contract time, which is specified in Section Activities
8-1.05, “Time,” of the Standard Specifications, and the date used on Form CEM-2701,

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Prosecution and Progress 3-8.1
 “Weekly Statement of Working Days.” For additional information, refer to Section 3-
804, “Time,” of this manual.
Section 8-1.04, “Start of Job Site Activities,” of the Standard Specifications requires
the contractor to begin work on a project within 15 calendar days after receiving notice
of contract approval. The special provisions may modify the 15-day requirement for
some projects including:
• Flexible start
• Delayed start
• Potential budget impasse start
• Next-day start
The start of job site activities may not coincide with the first chargeable working day.
The contractor is required to submit a 72-hour notice before the start of job site
activities. If the project has work at more than one location, require submittal of a
separate notice for each location.
Determine when to record the beginning of job site activities based on judgment and
experience. For example, setting up construction area signs might be the only work
underway. If conversations with the contractor indicate movement toward pursuing the
work, the setting up of signs is sufficient to indicate the beginning of job site activities.
Record the date the contractor begins job site activities on Form CEM-2701, “Weekly
Statement of Working Days,” on 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, refer to Section 5-103B (3), “Completing Form
CEM-6003, ‘Progress Pay-Estimate Project Initiation or Update,’” of this manual.
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 with notice that, according to Section
8-1.05 “Time,” of the Standard Specifications, the contract time starts on the day
specified in Section 8-1.04 “Start of Job Site Activities,” of the Standard Specifications
or on the day job site activities are started, whichever occurs first.
If you determine that the contractor’s failure to begin work will result in unsatisfactory
progress, discuss the situation with district management.
3-803A Work Before Contract Approval
After the contractor has executed and returned the contract to Caltrans, the contractor,
after submitting the specified notice, may enter the site and begin job site activities.
When a contractor wants to start work before contract approval, call the Office
Engineer, Construction Contract Awards, to determine whether Caltrans has received
the executed contract documents. If the office has received the documents, proceed as
set forth in Section 8-1.04, “Start of Job Site Activities,” of the Standard Specifications.
Executed contracts are listed at the Division of Engineering’s intranet website:
http://des.onramp.dot.ca.gov/office-engineer/construction-contract-awards

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3-8.2 Prosecution and Progress
If a contractor wants to begin work before contract documents have been delivered to
Caltrans, the contractor must obtain an encroachment permit from the district. The
permit must incorporate the same terms stated in Section 8-1.04 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 5-1.20, “Coordination with Other Entities,” of the Standard Specifications.
The terms of the permit should include notice that the contractor may be working
on the site concurrently with others performing utility relocation, right-of-way
clearance work, or other construction activities and that the work of the others will
take precedence over the contractor’s job site activities. When obvious conflicts
are apparent, a permit should not be issued.
• The limits of the area in which work will be performed.
• The activity or activities to be performed.
• A statement that the contractor will comply with the requirements of the contract
plans, the Standard Specifications, the project’s special provisions, and any order
of work specified in these documents.
• A statement that the contractor’s job site activities will not deprive property owners
of access.
• A requirement to provide an adequate bond (or cash deposit) to cover the work
contemplated before starting any work. The amount should be the same as for
other types of work, as covered in the Encroachment Permits manual:
http://www.dot.ca.gov/trafficops/ep/manual.html
• A reference to the contract’s water pollution control requirements.
When extra work must be a first order of work, it should be performed under a “prior
authorization,” as covered in Section 5-3, “Change Orders,” of this manual. After the
executed contract documents have been delivered as specified, change orders may be
approved in accordance with Section 5-3. The district must not process requests for
maintenance and protection relief or contract acceptance until after the contract’s
approval.
3-803B Flexible Start
Flexible start is a beginning-of-work specification that allows a contractor to choose the
first working day based on conditions defined by the district before advertising. This
section applies in cases where the standard 15-day start has been modified to a flexible
start in the special provisions.
The contractor must submit a request for authorization to establish the first working
day within 10 days after contract approval. If the contractor does not submit the request
for authorization to begin work within 10 days after contract approval, the first working
day will be 15 days after contract approval.

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Prosecution and Progress 3-8.3
 3-803C Potential Budget Impasse Start
Minor A or highway maintenance program projects advertised before the fiscal year in
which the project is budgeted may include additional contract language restricting the
start of work date to begin after the State of California budget becomes law.
3-803D Delayed Start
This section applies in cases where the standard 15-day start has been modified to a
delayed start. For example, the special provisions may allow a 55-day delayed start.
Work should not be started at the job site until the resident engineer approves the
submittals listed in the special provisions. Work may be started at the job site before
the time specified in the delayed start if the submittals are approved and the resident
engineer authorizes the start in writing. The beginning of work provision allows
adequate time for contractors to prepare, and for the resident engineer to approve,
specified submittals before job site activities begin. Review and approve satisfactory
contractor submittals or return insufficient submittals within contractually required
time frames.
3-803E Next-Day Start
Informal-bid contracts may be used after a catastrophic incident or after a notification
of a threat of future significant damage. The special provisions for these types of
projects require that the start of job site activities begin the next business day after
contract approval.
3-804 3-804 Time
Time Section 8-1.05, “Time,” of the Standard Specifications discusses the use of the Form
CEM-2701, “Weekly Statement of Working Days,” as the method of tracking contract
time. Issue this weekly statement to the contractor every week until the contract is
accepted. To determine if the progress of the work may require a withholding, refer to
Section 3-906F (1), “Progress Withholds,” of this manual.
Section 1-1.07, “Definitions,” of the Standard Specifications, defines the terms “day,”
“working day,” and “controlling activity.” Days during the contract are either a
working day or a nonworking day. However, the 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, based on the number of working days specified in the original contract. On most
projects, situations arise that extend the date for completion beyond the “computed date
for completion.” The “computed date for completion” will be extended by either
charging a nonworking day or by writing a change order that adds working days to the
contract.
3-804A Weekly Statement of Working Days
Use Form CEM-2701, “Weekly Statement of Working Days,” to report the status of
contract time to the contractor.
As soon as possible and no later than the end of the following week, forward the
original statement to the contractor. Send one copy to the district construction office for
review, and file another copy with the project records. Form CEM-2701 consists of
three sections.

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3-8.4 Prosecution and Progress
3-804A (1) The Record Section (Upper Block)
This section is used to record all working days, nonworking days as defined in Section
1-1.07, “Definitions,” of the Standard Specifications; and working days on which no
productive work was performed on the controlling activity. In this section, tabulate
each elapsed working and nonworking day during the life of the project.
Each day, determine whether to charge a working day and, if necessary, discuss the
decision with the contractor. The “current controlling activity” is the basis of this
determination; therefore, the resident engineer must base the decision on conditions
effective on the day under consideration. If the progress schedule does not accurately
represent conditions effective on that day, request that the contractor update the next
progress schedule to provide an accurate representation. Note on Form CEM-2701 the
activity that, in your opinion, is currently controlling. If the contractor does not concur,
the entry will give the contractor an opportunity to protest formally.
If the controlling activity is not dependent upon weather, such as concrete curing or an
embankment settlement period, a working day must be charged during adverse
weather.
When determining nonworking days, loss of time because of adverse weather may
extend beyond the period of actual adverse weather. Situations occur where there is no
progress toward contract completion though the full crew might have worked the entire
day. This may be due to the grade being too wet to work, access to the work needing to
be reestablished, or saturated material needing to be removed from the tops of slopes.
Adverse weather can be other than wet or cold weather. For example, it may be too hot
to produce concrete that meets specified temperatures. If all specified precautions have
been complied with and the concrete work is the controlling activity, a weather
nonworking day should be granted.
If a nonworking day is granted because of requirements in Section 12, “Temporary
Traffic Control,” of the Standard Specifications, state the reason as “traffic restriction”
in the “Remarks” section of Form CEM-2701.
In the column “Working Day No Work Done on Controlling Activity,” record any
working day on which no work is done on the project or on the controlling activities. If
the reasons are known for lack of work, note them in the “Remarks” section and on the
daily report.
3-804A (2) Change Order Time Adjustments (Center Block)
This section is used for recording adjustments of time as a result of approved change
orders. In the column under “Change Order Days Approved,” record working days
granted for approved change orders during the week. In the column under “Change
Order Number,” list the approved change order numbers corresponding to the working
days granted during the week. In considering a time adjustment, deduct all nonworking
days within the adjustment period, and ensure that the adjustment is made only for the
working days charged to the contract during the adjustment period. For additional
information on time adjustments after contract completion, refer to Section 3-807,
“Liquidated Damages,” of this manual.
3-804A (3) Computation of Extended Date for Completion (Lower Block)
In the lower section of Form CEM-2701, summarize the information the contractor
will receive. The “first working day” is the calendar day specified in Section 8-1.05,

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Prosecution and Progress 3-8.5
 “Time,” of the Standard Specifications. This day is usually the 15th day after contract
approval. If the contractor starts job site activities before the 15th day after contract
approval, the first working day is the day the contractor starts job site activities.
Several methods are used to specify the first working day. Read and understand the
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. Standard 5-day and 7-day
calendars are available online:
http://www.dot.ca.gov/hq/construc/calendar/index.htm
The number shown on the calendar on a particular date is that date’s numbered day.
Refer to Section 4-2002C (8), “Plant Establishment Work,” of this manual for
guidelines on plant establishment time requirements and computation of the extended
date for completion.
3-804A (4) Final Weekly Statement of Working Days
Designate the Form CEM-2701 that is used for the week when a contract is accepted as
the “Final Weekly Statement of Working Days.” Prepare this statement on the day the
district accepts the contract and ensure that the statement reflects the “approved status
of time” on this date. For revising the status of time from that shown on the final
Weekly Statement of Working Days, refer to Section 3-807, “Liquidated Damages,”
later in this section.
3-804A (5) Examples
Examples of typical entries for Form CEM-2701, “Weekly Statement of Working
Days,” are available at:
http://www.dot.ca.gov/construction/contract-time/example-working-days.html

3-805 3-805 Suspensions

Suspensions Temporary suspension of work is covered under Section 8-1.06, “Suspensions,” of the
Standard Specifications and gives the resident engineer the authority to suspend work.
The two general categories of suspensions are described below.
In areas subject to adverse weather, it is permissible to suspend an entire project if this
action is considered to be in the best interest of Caltrans. However, authority to suspend
work is limited to the reasons stated in Section 8-1.06. When an entire project is
suspended for reasons that do not fall under the scope of Section 8-1.06, the suspension
must have the contractor’s concurrence. Mutually agreed-upon suspensions are
covered under Section 1-1.07 “Definitions,” of the Standard Specifications.
A suspension does not always impact the entire project; it might only affect some
items. Usually this type of suspension is used when either the work or the public will
be affected adversely by continued work activity. Although this type of suspension is
an option available only to the resident engineer, consider the contractor’s opinion on
such a suspension.
3-805A Suspensions Related to Contractor Performance
Any letter that orders such a suspension must include references to applicable sections
of the specifications and, if possible, state the conditions under which work may be

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3-8.6 Prosecution and Progress
resumed. Such action is taken only after careful consideration of all aspects of the
problem.
3-805B Suspensions Unrelated to Contractor Performance
This type of suspension may result from any condition unfavorable for the prosecution
of the work. This includes anticipated heavy traffic because of a holiday or a special
event, or a winter suspension.
During any suspension, advise the contractor of the conditions under which
maintenance will be performed. Preferably use the contractor to perform work
necessary to provide for public convenience or public safety. If Caltrans must perform
such work, the district will request a director’s order, financed from the contract
allotment, which allows the district to hire a contractor to perform the work at force
account.
When the reason for a suspension no longer exists, or when favorable conditions for
resuming work are expected, notify the contractor in writing. The letter must state the
date when working days will resume and must allow sufficient time to permit the
contractor to remobilize the necessary labor and equipment. Generally speaking, a
period of 10 working days is considered reasonable.
Because of an ordered suspension of work that did not have mutual agreement, the
contractor may be due additional compensation, contract time, both, or neither,
depending on whether the delay is a critical delay, an excusable delay, or a concurrent
delay.
3-806 Delays 3-806
Delays
3-806A Time or Payment Adjustments and Nonworking Days
Section 8-1.07, “Delays,” of the Standard Specifications covers provisions for delay-
related time or payment adjustments. Section 1-1.07, “Definitions” of the Standard
Specifications covers nonworking day provisions for concurrent delays under the
“Working Day” definition. No time or payment adjustment is allowed for concurrent
delays.
The resident engineer must monitor the progress of any work that may cause an
excusable delay or critical delay. To avoid or mitigate the effects of delays, initiate
action such as the following:
• Initiate requests to the district utility coordinator to modify agreements that would
allow the contractor’s forces to perform work under change order. Section 5-
1.36D, “Nonhighway Facilities,” of the Standard Specifications covers such work
by the contractor.
• Initiate any changes in the order of work that would eliminate or mitigate an
excusable delay or critical delay, provided that any cost involved would not exceed
the estimated cost resulting from a delay.
If an excusable delay or critical delay occurs, take the following actions:
• Determine the length of the delay.
• Make a list of the equipment that will be affected by the delay. Attempt to get
agreement from the contractor regarding the list’s accuracy.

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Prosecution and Progress 3-8.7
 • Estimate the cost of the delay using the method specified in Section 8-1.07C,
“Payment Adjustments,” of the Standard Specifications.
• Estimate the cost of removing the affected equipment from the project and
returning it when the delay is over.
• Compare the costs and choose the most cost-effective option. If the contractor
removes the equipment, but the cost for doing so is higher than leaving the
equipment on the project, pay only the delay cost for idle equipment.
• If the contractor does not remove the equipment, attempt to determine how the
contractor intended to use the delayed equipment. Review the progress schedule to
determine if the contractor intended to use the delayed equipment full time or if the
contractor intended some idle time. Use this estimate of time when determining
delay costs.
3-806B Material Shortage
Material shortage is defined in Section 1-1.07, “Definitions,” of the Standard
Specifications. Do not make a time adjustment for a material shortage. Days during a
material shortage are considered nonworking days. Before a determination of
nonworking days can be made, several conditions must be satisfied:
• A request for information for the delay exists.
• The contractor’s request for information must be received no later than 15 days
after the material shortage first caused the work delay.
• The delay must affect the controlling activity.
• If the delay does not affect the controlling activity, advise the contractor
accordingly in writing. If the contractor asks to be allowed to substitute the
unavailable material with available material, the resident engineer must seek
assistance from those responsible for the design. Change orders are to be processed
as contractor-requested changes.
• The materials, articles, parts, or equipment are standard items.
Standard items are produced to meet the specifications of such industry-wide
organizations as the American Association of State Highway and Transportation
Officials, the American Society for Testing and Materials International, the
American Wood Protection Association, the American Institute of Steel
Construction (AISC), and the U.S. Department of Agriculture (USDA). The fact
that Caltrans 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 items that are normally shelf items available for purchase
at supply houses. Items that are manufactured only upon order are not standard
items, even if included in a catalog.
Examples of materials that are usually considered standard items:
1. Commercial fertilizer (industry specification)
2. Soil amendment (industry specification)
3. Iron sulfate (USDA)
4. Straw (USDA)

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3-8.8 Prosecution and Progress
 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 Caltrans plans and specifications are not standard items. The following are examples
of nonstandard items:
1. Processed structure backfill material
2. Pervious backfill material
3. Aggregates for bases and subbases

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Prosecution and Progress 3-8.9
 4. Aggregates for cement-treated base, hot mix asphalt, concrete, rock slope
protection, and screenings
5. Wood chips
6. Concrete
7. Traffic signal and lighting standards (except Type 1)
8. Controller assembly
9. All material manufactured to meet a state specification such as curing
compound, paint, or epoxy
10. Concrete piling
The nonstandard items listed above may contain components that are in short
supply. They may then be eligible for consideration in a material shortage situation
if the component is a standard item.
• If a “physical shortage” exists.
The term “physical shortage” means that the standard item or component of a
standard item is not available at the time it is required for work on a controlling
activity. However, do not consider a time adjustment 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
Presume that a contractor, when submitting a bid, thoroughly considers all aspects
of procuring materials and bids accordingly. This thorough consideration can
include timely delivery commitments, price, and responsibility for meeting
specifications.
Whenever it has been determined that an industry-wide shortage exists, the
Division of Construction will advise all districts.
A “physical shortage” will not be considered to exist if either the contractor or a
subcontractor has failed to perform any required fabrication or processing.
• Whether the contractor diligently tried to obtain the material.
Require the contractor to furnish 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 proof of efforts to obtain material from
alternate sources that normally supply such materials to projects in the area.
Alternate sources include, when possible, production of an item using the
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. 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.

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3-8.10 Prosecution and Progress
3-807 Liquidated Damages 3-807
Section 8-1.10A, “General,” of the Standard Specifications lists the daily rate to be Liquidated Damages
charged for damages related to a contract time overrun.
3-807A Failure to Complete Work Parts Within Specified Times
If the “Extended Date for Completion” on the final “Weekly Statement of Working
Days” contains a date before the date of the contract’s completion, an apparent overrun
has occurred. Proceed as follows:
3-807A (1) Case 1
The district intends to assess liquidated damages for the overrun shown on the final
“Weekly Statement of Working Days.” Enter the deduction for liquidated damages into
the project records, and proceed with the proposed final estimate.
3-807A (2) Case 2
The district intends to change the status of time from that shown on the final “Weekly
Statement of Working Days” by time due on change orders. Time adjustments
resulting from change orders should have been resolved before the contract’s
acceptance in accordance with Section 5-3, “Change Orders,” of this manual. For those
instances where extenuating circumstances result in unresolved time for change orders
after completion, complete all deferred-time change orders, enter the data into the
project records, enter any remaining deductions for liquidated damages into the
records, and proceed with the proposed final estimate.
3-807A (3) Case 3
The district intends to change the status of time from that shown on the final “Weekly
Statement of Working Days” by changing working days to nonworking days. Obtain
concurrence for making such changes from the Division of Construction. Report the
recommended disposition of each item of unresolved time so clearly and completely
that no interpretation or further explanation is needed. Upon receipt of the
recommendations, the division will advise the district of what action to take.

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Prosecution and Progress 3-8.11
 Include a status of contract time in a form similar to the following:

Working Days
Calendar Date or Numbered Day
Date attorney general approved contract 3/06/2012 744
First working day 3/21/2012 755
Working days specified in contract 40
Computed date for completion 5/15/2012 794
Total change order time adjustments, final 5
CEM-2701
Nonworking days, final CEM-2701 75
Additional change order days 14
(if applicable)
Additional working days recommended 10
(if applicable)
Extended date for completion 10/12/2012 898
Date contract completed 10/12/2012 898
Remaining overrun 0

After the disposition of overruns has been determined, the district will advise the
contractor directly. Place copies of all memorandums in the project files as the record
of final disposition of overruns. For any unresolved overrun in time, show a deduction
to assess liquidated damages on the proposed final estimate. If the contractor objects to
this assessment, follow the claim procedures outlined in Section 5-4, “Disputes,” of this
manual.
3-807A (4) Case 4
When the final quantities of individual contract items have exceeded 125 percent of the
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 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.

3-808 3-808 Contractor’s Control Termination

Contractor’s Control Section 8-1.13, “Contractor’s Control Termination,” of the Standard Specifications
Termination explains the contractual requirements for terminating the contractor’s control of the
work. Sections 10253 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, fails to make proper and timely

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3-8.12 Prosecution and Progress
payments to subcontractors, or fails in any other respect to perform the work with the
diligence and force specified by the contract. Normally, when Caltrans terminates the
contractor’s control, the surety (bonding company) assumes responsibility for
completing the contract. The following are guidelines for determining if the contractor
may be failing to supply an adequate workforce:
• If the “percent completed” of the contract is more than 25 percent behind the
“percent time elapsed.” These percentages can be found in the project status report.
• Complete cessation of the work.
• The work has not started within a period equal to 10 percent of the original
working days or 50 working days, whichever is less.
If the resident engineer suspects termination of control may be necessary, the resident
engineer must immediately notify the construction engineer and construction manager.
With agreement from the construction engineer, the Division of Construction field
coordinator, and the structure construction engineer (if applicable), the resident
engineer sends a letter to the contractor that describes the defaults to be remedied. The
letter also specifies the amount of time allowed to remedy the defaults and states that,
in accordance with Section 8-1.13, “Contractor’s Control Termination,” of the
Standard Specifications, Caltrans will start the termination of control process if the
defaults are not remedied. A copy of this letter is sent to the contractor’s surety.
Typically, Caltrans allows 5 business days to remedy either failure to supply an
adequate work force or failure to supply proper quality material. Generally, 15 days are
allowed to remedy failure to pay subcontractors.
If the contractor fails to promptly remedy the defaults outlined in the resident
engineer’s letter, the district construction deputy director will send a request to the
Division of Construction chief to start the termination of control process. The request
must include:
• The defaults to be remedied
• Current status of the contract, including dates the contractor last performed work
• Any other information considered pertinent
To determine what action is necessary, the Division of Construction chief may call a
conference with the contractor’s representatives, its surety, the Division of
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, giving the contractor 5 business 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 5-day notice letter. If
both the contractor and its representative are unavailable and their addresses are
known, send the letter by registered mail. If both the contractor and its representative
cannot be located and their addresses are unknown, post the 5-day notice letter in the
most conspicuous place within the project limits. If the contractor does not remedy the
defaults within the time required, the Division of Construction chief will send a letter to
the contractor stating that the contractor’s control of the work has been terminated. The
Division of Construction field coordinator will notify the district of the effective
starting date of the notice and will transmit any further instructions deemed necessary.

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Prosecution and Progress 3-8.13
 All 5-day notices and termination of control letters must include the following
language:

Your default may result in a review of your

responsibility to perform future work with Caltrans.

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

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3-8.14 Prosecution and Progress
with another contractor to perform the contract work. To use day labor, a director’s
order is necessary.
3-808B Work Not Completed by the Surety
If time or circumstance does not permit the surety to complete the work, Caltrans may
elect to complete the work with its own forces. If the surety elects not to complete the
contract after termination of the 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. In 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 any completed work. The district may use a separate
work order for interim maintenance work by day labor.
An informal contract permits a short advertising period. If the work will be completed
by informal contract, the resident engineer, with the assistance of the district office
engineer, will put together plans and specifications to complete the work, select three to
five bidders, and take informal bids for the work. The informal bids must be sent to the
contractor and the surety 3 days before the informal contract proceeds. In some cases,
additional funds will be needed to complete the work. The resident engineer must
request that the surety provide these funds although, under the Public Contract Code,
the surety is allowed to wait until completion of the work to make payment. If the
surety does not immediately provide these funds, the resident engineer may use
available contingency funds or submit a supplemental funds request, if needed.
If either the surety asks Caltrans to complete the work or Caltrans elects to complete
the work, the surety and the original contractor are liable to the state for the costs to
Caltrans resulting from the original 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 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
• Change orders
• All other pertinent information
When the surety does not complete the work, the resident engineer must prepare a bill
for the original contractor and surety and break down the billing into the following five
sections.

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Prosecution and Progress 3-8.15
 3-808B (1) Section 1
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.
3-808B (2) Section 2
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 the Caltrans
maintenance forces.
3-808B (3) Section 3
This section lists the change orders and related costs to correct any defects left in the
original work by the original contractor.
3-808B (4) Section 4
This section lists the engineering costs Caltrans incurred to develop, implement, and
administer the completion contract. Separate the administrative costs from the
development and implementation costs. Compare the total administrative engineering
costs with the liquidated damages costs incurred in the original contract, assuming the
original contract was not complete until the completion contractor finished its contract.
3-808B (5) Section 5
This section shows the amounts determined in Sections 1, 2, 3, and 4, and adds them
together. List the penal sum of the bond, along with the bond number. The penal sum
of a performance bond limits the responsibility of the surety. The original contractor
may be billed for the full cost of completion even when that cost exceeds the penal sum
of the bond.
3-808C Billing
The resident engineer sends the detailed billing, as described above, to the Division of
Accounting abatements section, with instructions to prepare the accounts receivable bill
and to mail it to the contractor. If the contractor is not available, the resident engineer
should mail it to the surety. After payment is received, the abatements section will
credit the payment to a specific expenditure authorization.
If payment is not received within 45 calendar days, the abatements section will inform
the district construction deputy director that payment has not been received.
Representatives of district construction, the Division of Construction, and the Legal
Division will meet to discuss alternate courses of action and choose the appropriate
one. The abatements section must not submit the billing to a collection agency unless
the meeting participants have agreed to this action.

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3-8.16 Prosecution and Progress
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.
3-809 Contract Termination 3-809
Section 8-1.14, “Contract Termination,” of the Standard Specifications specifies the Contract
contractual requirements for termination when the district director determines and the Termination
deputy director of Project Delivery approves that it is not in the best interest of Caltrans
to continue with the project.
When the majority of the contract work has been completed, it is preferred to delete the
remaining work by change order, accept the contract, and provide additional payment
to the contractor, if necessary, in accordance with Section 9-1.17C, “Proposed Final
Estimate,” of the Standard Specifications.
Termination of contracts is rare. The Division of Construction must ensure that all
necessary steps are taken in handling contracts terminated for the best interests of
Caltrans. To ensure the special handling of these types of terminated contracts, identify
all internal correspondence related to them with the words “Convenience Termination”
under the 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:
• 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 of Project Delivery, notifying the contractor that Caltrans
will terminate the contract as soon as any work the resident engineer requested is
complete. When all work is complete, the district must accept the project.
The contractor will be paid all reasonable costs as computed in accordance with
Section 8-1.14, “Contract Termination,” 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 9-1.17D,
“Final Payment and Claims,” of the Standard Specifications.
For additional information, refer to the Construction Coordinator’s Termination Desk
Guide on the Division of Construction’s intranet website.
3-809A Federal-Aid Contracts on the National Highway System
For federal-aid contracts, the resident engineer or construction engineer must contact
the Division of Construction field coordinator to obtain concurrence from the Federal
Highway Administration’s engineer on the termination of a contract. Refer to the Code
of Federal Regulations, Title 23, Section 635.125.

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Prosecution and Progress 3-8.17
Chapter 3 General Provisions

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

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

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3-9.ii Payment
Chapter 3 General Provisions

Section 9 Payment Section 9

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

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

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

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Payment 3-9.3
 • Perform spot-checks of weighing and measuring devices and procedures in the
district, and furnish written reports to the resident engineer.
• Determine whether any weighing or measuring problems should involve the
California Department of Food and Agriculture, Division of Measurement
Standards. Request any such involvement through the Division of Construction
weights and measures coordinator.
3-902E (2c) Assistant Resident Engineers
Assistant resident engineers act for the resident engineer and, depending on the
authority delegated to them, do the following:
• Observe the installation of scales installed primarily for use on a given project.
Decide whether such scales and appurtenances meet the requirements of the
specifications. When necessary, request assistance from the district weights and
measures coordinator.
• Inspect and observe the general condition of all scales used on the project. If the
scales are in questionable condition, request advice from the district weights and
measures coordinator.
• Request a material plant approval report from the district weights and measures
coordinator. 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 that the district weights and
measures coordinator observes 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 measures
coordinator. Check the scale sheets and weighmaster certificates to ensure they are
being used properly.
• Spot-check tare and gross weights to see that weighmasters are using the correct
tare. Ensure the weighmaster is licensed for the scale location.
• Observe all meters that are required under the contract, and ensure they have been
tested and sealed.
• Collect weighmaster certificates at delivery. A Caltrans employee should be
present at the work site to collect weighmaster certificates. Sign or initial the
weighmaster certificate to indicate that the represented material was used in the
work.
When certified summary scale sheets are used, and weighmaster certificates are not
used, verify that material shown on the summary sheets has been used in the work. Do
this verification by using a tally sheet, a spread record, or a random check. In the daily
report, record that the material has been used in the work and the type of 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 weighmaster certificates or scale sheets
representing loads or partial loads that are not to be paid for. On the weighmaster

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3-9.4 Payment
certificate 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 whom you advised of the reduction.
3-902E (2d) Contractors
The following describes some of the duties and responsibilities of contractors and their
agents in using scales and measuring devices for measuring and proportioning
materials:
• The contractor and materials suppliers must maintain scales and meters within the
accuracy specified.
• 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
noncommercial devices, the contractor must ensure the MPQP test 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.
Do not directly contact the county sealer of weights and measures for the contractor.
The owner of the measuring device must request the testing. The resident engineer may
only inform the contractor that such testing is necessary.
The district weights and measures coordinator may contact the Division of
Construction weights and measures coordinator on any question regarding the validity
of a seal or the legal capacity of a scale.
3-902E (2e) Division of Construction Weights and Measures Coordinator
The Division of Construction weights and measures coordinator does the following:
• Ensures the weights and measures program is operating satisfactorily throughout
the various Caltrans districts.
• Serves as a contact between the district weights and measures coordinators and the
California Department of Food and Agriculture, Division of Measurement
Standards.
• Keeps the district weights and measures coordinators informed of the latest
equipment and technology being developed throughout the industry.
3-902F Final Pay Items
Section 9-1.02C, “Final Pay Item Quantities,” of the Standard Specifications, defines
and specifies the procedure for calculating pay quantities for final pay items.
3-903 Force Account 3-903
The force account method, used to determine payment for extra work, consists of Force Account
adding specified markups to the actual cost of labor, equipment, and material used to
perform the extra work.

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Payment 3-9.5
 Section 9-1.04, “Force Account,” of the Standard Specifications specifies the force
account method of payment. Section 5-3, “Change Orders,” of this manual contains
examples of change orders with payment for extra work at force account.
Normally the contractor will use labor and equipment that is on the site and used for
work in progress. The change order will usually specify materials to be used in the
extra work. However, before the work begins, the resident engineer should discuss
with the contractor the labor, equipment, and materials to be used. The resident
engineer can avoid misunderstandings and inefficiencies by knowing the resources to
be used ahead of time. After the work is performed, Caltrans must pay the contractor
for material used and at the appropriate rates for the number of hours that labor and
equipment was used.
3-903A Authorization for Force Account Payment
On the authorizing change order, always show the amount to be paid for extra work at
force account as an estimated amount. For the format for change orders, refer to
Section 5-3, “Change Orders,” of this manual. You may make payment for extra work
in excess of the estimated amount shown on the contract change order up to 100
percent of the estimated amount or $15,000, whichever is smaller. To authorize any
additional payment, use a supplemental change order.
3-903B Force Account Records
On daily reports, record observations and inspections of extra work in progress in
sufficient detail to provide a reasonable basis for agreement on payment. Records must
be original, not a copy from other documents.
Include the following information when appropriate to the method of payment for the
work:
• Description of work performed. This description must be consistent with the
description of extra work authorized by the change order.
• Time and date of inspection.
• The change order number.
• Location of work.
• Types of labor, equipment, and materials used.
• Estimated hours worked.
• General measurement or amount of work accomplished.
Make entries on the day of observation. If clarifying reports are necessary to cover
work not previously reported, state the facts as known and date the clarifying report as
of the day it is written.
The daily report must also contain a reference to any known off-site work.
When extra work is performed at force account, decide whether the magnitude of the
work warrants the full-time presence of an assistant resident engineer. An assistant
resident engineer assigned full time must include in the daily report the number of
hours actually worked at the site. When an assistant resident engineer is assigned only
part-time, daily reports must present only known facts. On the daily report, record that
inspection was “intermittent.” A typical entry might read as follows:

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3-9.6 Payment
 Hours reported on report dated 6/26/00 entry based on one inspection during the day.
Later found out that crew and equipment worked whole shift instead of half shift [add
the date of the supplemental entry and sign the entry].

Include notations concerning decisions to allow or deny payment for work that may be
in dispute or not considered a legitimate part of extra work. Similarly, prepare a
supplemental daily report if it is later found that the number of hours or labor and
equipment was substantially different than recorded on the original daily report. Such a
supplemental daily report might read as follows:

6/24/16 – 10:15 a.m. – Change Order No. 17 – Placing Riprap Lt. of Sta. 500.
Crew of two laborers and foreman with a D-6 crawler tractor with side-boom and
operator laid about 150 sq ft of salvaged rubble riprap. Estimate crew and tractor
worked about 4 hours.

3-903C Tentative Agreements

Do not give copies of daily reports to the 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 shift or no later than the
following shift that extra work was performed. Good communication at this time will
help to prevent misunderstanding and arguments over details at a later date.
Use a district “tentative agreement” form if the form complies with district policy. On
this form, tentatively agree to and list hours of labor and equipment used in extra work
at force account for each change order each day. The form must state that the labor,
equipment, and time worked are “acceptable for progress payment purposes.” In this
way, use of the form does not preclude subsequent audit and adjustment.
3-903D Markup for Subcontracted Work
Section 9-1.04A, “General,” of the Standard Specifications includes an administrative
markup 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 markup in the calculation of the work performed by a
subcontractor in the following situations:
• Changes and extra work at the agreed prices in accordance with Section 4-1.05A,
“General,” of the Standard Specifications.
• Work performed before item elimination in accordance with Section 9-1.06D,
“Eliminated Items,” of the Standard Specifications.
• Bid item adjustment due to increased or decreased quantities in accordance with
Section 9-1.06B, “Increases of More Than 25 Percent,” and Section 9-1.06C,
“Decreases of More Than 25 Percent,” of the Standard Specifications.
• Payment adjustments for work-character changes are made in accordance with
Sections 4-1.05B, “Work-Character Changes,” and 9-1.15, “Work-Character
Changes,” of the Standard Specifications.

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Payment 3-9.7
 3-903E Owner-Operated Labor and Equipment
For owner-operated labor and equipment, refer to Section 9-1.04A, “General,” of the
Standard Specifications. The method for paying for owner-operated equipment on a
force account basis is at market-price invoice. Because owner-operators include labor
and equipment markups and the labor surcharge in their invoice price, only apply the
applicable administrative markup for the owner-operated labor and equipment invoice.
The administrative markup to be applied to the invoice for projects with the time-
related overhead bid item is 10 percent. The administrative markup to be applied to the
invoice for projects without the time-related overhead bid item is 15 percent.
3-903F Billing for Extra Work at Force Account
The following are the procedures for billing for extra work at force account:
• The contractor must submit change order bills covering extra work under each
change order each day that extra work is performed. The contractor must use the
Caltrans internet change order billing system to submit change order bills. Refer to
Section 5-103E, “Change Order Billing,” of this manual for additional
information.
• Field construction personnel must do the following when reviewing change order
bills:
1. Compare change order bills against assistant resident engineer’s daily 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 assistant resident
engineer’s daily reports and tentative agreements, refer to Sections 3-903B,
“Force Account Records,” and 3-903C, “Tentative Agreements,” of this
manual.
2. The contractor must include everything to be paid for on the change order bill.
Do not add any items even though you know them to be legitimate charges.
Instead, call the omission to the contractor’s attention. The contractor may
submit a supplemental change order bill to include the omitted items.
3. Delete items for which the contractor is not entitled to payment.
4. You may correct hours for labor and equipment downward, but not upward.
5. Do not correct wage rates that the contractor has submitted. Reject any change
order bill with incorrect wage rates. Note that Caltrans must pay for extra
work at the same wage rate paid by the contractor. Do not refuse to pay a
particular wage rate because it is above the prevailing wage rate.
6. Correct equipment rental codes that are obviously in error, or reject the
reports. Ensure the rental codes shown are for the equipment that was actually
used.
7. The person, whether a contractor or Caltrans employee, who makes
corrections to a change order bill must print out, sign (not initial) and date the
corrected change order bill.
8. Maintain a log of change order bills received and rejected.
The resident engineer must approve the change order bill to authorize payment for
extra work. The resident engineer’s approval of a change order bill for progress

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3-9.8 Payment
payment certifies that payment is in accordance with contract requirements and
established administrative procedures.
3-903G Labor
The markups to be applied to the cost of labor performed on force account work are
specified in Section 9-1.04B, “Labor,” of the Standard Specifications, or as changed by
the special provisions.
A “labor surcharge” is included in the cost of labor. The Labor Surcharge and
Equipment Rental Rates (Cost of Equipment Ownership) book in effect at the time the
work is performed contains the labor surcharge percentage. One general rate applies to
most crafts, and the book contains several higher rates for certain crafts. The resident
engineer must determine the correct surcharge percentage to be used and verify that the
percentage has been entered on the change order bill.
At times, a superintendent or owner acts as a working foreman or an equipment
operator or works at some other craft. In such situations, make payment on a “value
received” basis. Payment will be made for owners or supervisory personnel at the
proper rate for the work performed. For example, pay for a superintendent acting as a
foreman on force account work at the normal hourly rate for a foreman. Do not prorate
the 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 bid item work.
When 7-day subsistence is included in labor contracts in lieu of per diem and travel
time, subsistence will be paid for the entire period involved if the workers are
employed full time on force account.
When workers are employed on both force account work and bid item work in the
same day, prorate subsistence payments and travel allowances between the contractor
and Caltrans. Base the prorated amount on the first 8 hours worked. Do not pay per
diem for time worked after the first 8 hours in any one day.

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Payment 3-9.9
 3-903H 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 change order bill. In the statement, explain how the unit
prices were verified. Any invoice the contractor submits must represent the material
actually used.
3-903I Equipment Rental
For equipment used for extra work paid at force account, refer to Section 9-1.04D,
“Equipment Rental,” of the Standard Specifications or as modified by the special
provisions. The following are guidelines for paying for equipment rental.
3-903I (1) Equipment Selection
In accordance with Section 5-1.03, “Engineer’s Authority,” of the Standard
Specifications, approve equipment used on force account work. Before giving
approval, determine whether available and suitable equipment is already on the job site
or whether equipment not on the job site is required. For example, a piece of equipment
on the job site that can perform a given operation satisfactorily may be larger than
necessary. Determine if it will be economical to use oversized equipment at its rate or
to obtain equipment of the proper size. Obtaining equipment not on the job site
necessitates payment for move-in and move-out expenses and for minimum rental
periods. The determination may also be based on other factors, such as public safety
and the urgency of the work. Availability of equipment on the job site can be
determined by using daily diaries, progress schedule, and other contractor-provided
information. When there is no contractor-owned equipment available for use and only
rented equipment is available on the job site, the engineer may approve the use of the
rented equipment at the rental invoice price in accordance with Section 9-104D,
“Equipment Rental,” of the Standard Specifications. If both contractor-owned and
rented equipment on the job site are suitable and available for use, the contractor-
owned equipment should be used.
Some equipment includes accessories as an integral part of the basic machine. When
accessories are an integral part of the machine, the rates in the Labor Surcharge and
Equipment Rental Rates (Cost of Equipment Ownership) book indicate that the
accessory is included in the quoted rate. Do not make deductions for accessories on
such integral equipment. For unusual situations, consult the Division of Construction.
When the accessories are not integral and not necessary for the effort of the extra work,
payment is only for the equipment required.
3-903I (2) Equipment Rental Rates
The Labor Surcharge and Equipment Rental Rates (Cost of Equipment Ownership)
book contains the cost of ownership rates for most of the equipment used on Caltrans
projects. However, the Division of Construction has also established cost of ownership
rates for some equipment that is not in the book. These rates are available on the
Caltrans Division of Construction website. To establish rates that are not listed in the
book or on the website, use the following procedure:
• Obtain a complete description of the equipment, including the manufacturer,
model number, horsepower, size or capacity, and accessory equipment.

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

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

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3-9.12 Payment
On extra work at force account, pay the same time for a foreman’s pickup truck that
you would pay for the foreman.
3-903I (4) Equipment Not on the Job Site
In general, the contractor schedules extra work paid for on a force account basis and
uses equipment available on the project. However, circumstances may require use of
equipment not on the job site that must be brought in especially for the extra work. The
resident engineer should make decisions regarding the type of equipment and its
scheduled use. Sections 9-1.04D(3), “Equipment Not On the Job Site and Not
Required for Original-Contract Work,” and 9-1.04D(4), “Equipment Not On the Job
Site and Required for Original-Contract Work,” of the Standard Specifications specify
the requirements for paying for the use of such equipment. These specifications apply
when the contractor does not use or uses the equipment for bid item work. Change any
previous payment as “equipment not on the job site” to payment as “equipment on the
job site” when such equipment is used for bid item work.
Order the equipment removed from the project, pay move-out and possible subsequent
move-in costs, or continue paying for the equipment during a suspension in extra work.
Perform a cost analysis to determine the most cost-effective alternative. 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.
3-903I (5) Non-Owner-Operated Dump Truck Rental
Section 9-1.04D(5), “Non-Owner-Operated Dump Truck Rental,” of the Standard
Specifications specifies that the resident engineer must establish the hourly rate to be
paid for dump truck rental. The actual hourly rate paid by the contractor or the truck
broker may be the established rate if it is consistent with rates paid for the same trucks
on other work. For help in establishing hourly rates, compare with rates paid for similar
equipment on other Caltrans work.
3-903I (6) Standby Time
Pay standby charges for commercial delivery at the invoice rate.
3-903J Extra Work Performed by Specialists
Section 9-1.05, “Extra Work Performed by Specialists,” of the Standard Specifications,
allows extra work to be performed by a specialist subcontractor that neither the
contractor nor its current subcontractors can perform. In general, specialists are to be
used only for minor portions of the work. The specifications also allow for the
specialist work to be paid for by invoice if itemized billing is not the established
practice of the specialist’s industry.
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 bid item work, including subsidiaries of such firms or organizations
and subsidiaries of the contractor. Subsidiaries of a subcontractor are considered to
be a part of the subcontractor’s organization. If you decide that the contractor’s
forces can perform the work expediently, do not authorize the use of the specialist.
• Allow the contractor to hire a specialist only if an established firm with established
rates would do the work.

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Payment 3-9.13
 • Districts must establish procedures to pre-approve invoiced billing. Invoiced
billing must not be used to circumvent the force account method for determining
payment.

3-904 3-904 Payment Adjustments

Payment Adjustments A payment adjustment is a monetary increase or decrease applied to the unit price of a
bid item. The adjustment is a change to the contract and must be made by change
order. Payment adjustments are either unit adjustments to the unit price of a bid item or
they may be a lump sum increase or decrease applied to a bid item.
Payment adjustments are provided for in Sections 9-1.06, “Changed Quantity Payment
Adjustments”; 9-1.15, “Work-Character Changes”; “9-1.17C, “Proposed Final
Estimate”; and 9-1.17D(2)(b), “Overhead Claims,” of the Standard Specifications.
Other payment adjustments may be required, depending on the bid items, such as hot
mix asphalt and concrete pavement.
Do not pay for payment adjustments until change orders authorizing the adjustments
have been approved.
If you anticipate that payment adjustments in accordance with Sections 9-1.06,
“Changed Quantity Payment Adjustments,” or 9-1.15, “Work-Character Changes,” of
the Standard Specifications will result in decreases in final payment, withhold an
amount sufficient to cover the value of the decrease.
For more discussion about determining payment adjustments, refer to Section 5-3,
“Change Orders,” of this manual.
3-904A Changed Quantity Payment Adjustments
When the total pay quantity of a bid item varies from the Bid Item List by more than
25 percent, the variation may be the result of more or fewer units than shown in the Bid
Item List required to complete the planned work. The variance may also result from
ordered changes or a combination of both of these factors. When the variation exceeds
25 percent, adjust the compensation in accordance with Section 9-1.06, “Changed
Quantity Payment Adjustments,” of the Standard Specifications, or document in the
contract records the reason for not making a payment adjustment. When the
accumulated increase or decrease in bid item units shown on a change order exceeds 25
percent of the Bid Item List, the overrun or underrun must be acknowledged and
provided for in the current change order. Refer to Section 5-306C, “Methods of
Payment,” of this manual for more information on change orders. Provide for this
overrun or underrun through one of the following options, whichever is applicable:
• Adjust the contract price in accordance with Section 9-1.06, “Changed Quantity
Payment Adjustments,” of the Standard Specifications.
• Defer any payment adjustment due to the overrun or underrun.
• State in writing that the bid item is not subject to adjustment. Refer to Section 5-3,
“Change Orders,” of this manual for a discussion and examples of change orders
providing for payment adjustments resulting from increased or decreased
quantities.
3-904A (1) Increases of More Than 25 Percent
It is usually appropriate to defer adjustment if work on the bid item has not been
completed. Additional change orders may affect the quantity, or the number of units

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3-9.14 Payment
required to complete planned work may not be known. However, as soon as unit costs
and final quantities can be reasonably determined, calculate any required unit
adjustment and provide for it through a change order. When work on the bid item is
completed, apply the unit adjustment to the total number of units in excess of 125
percent of the quantity shown on the Bid Item List.
Unless requested by the contractor in writing, the engineer does not have to adjust the
contract price of an item if the bid item cost of the work in excess of 125 percent of the
quantity shown on the Bid Item List is less than $5,000. However, before exercising
this right, verify that Caltrans will not gain any economic benefit from an adjustment.
On the other hand, make an adjustment if it would decrease cost and the amount of the
decrease would exceed the cost of making the adjustment.
3-904A (2) Decreases of More Than 25 Percent
If a bid item underruns the quantity shown on the Bid Item List by more than 25
percent, inform the contractor in writing as soon as work on the item has been
completed. Unless the contractor requests an underrun adjustment in writing, no
adjustment will be made.
3-904A (3) Eliminated Items
Section 9-1.06D, “Eliminated Items,” of the Standard Specifications applies only to bid
items eliminated in their entirety. Advise the contractor as soon as it is known that an
item will be eliminated. Caltrans will not be responsible for costs incurred for material
ordered after notification.
In the change order providing for the elimination of a bid item, ensure it covers the
disposition of surplus material. Refer to Section 3-904A (4), “Surplus and Salvaged
Material” of this manual for how to handle surplus material resulting from an
eliminated item that cannot be returned to the vendor.
3-904A (4) Surplus and Salvaged Material
Minor differences between quantities of material required to complete the planned
work and quantities shown in the Bid Item List or shown in quantity summaries on the
contract plans are normal operating differences. Caltrans is not liable for a surplus of
material resulting from these operating differences.
If the final quantity of an item is less than 75 percent of the quantity shown on the Bid
Item List, include any actual loss due to excess material in the costs as computed in
accordance with Section 9-1.06C, “Decreases of More Than 25 Percent,” of the
Standard Specifications.
Do not make any allowance for material the contractor keeps.
Caltrans recognizes that certain materials or manufactured items required for the
planned construction may be unique and not usable by the contractor, the supplier, or
for other projects or customers. If such materials or items become surplus by reason of
an ordered change, resulting in a direct and unavoidable loss to the contractor, such loss
must be compensated. Determine compensation on the basis of actual cost as provided
in Section 9-1.06D “Eliminated Items,” of the Standard Specifications. The guidelines
below describe how to dispose of material that the contractor cannot economically
dispose of.

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

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3-9.16 Payment
• At the time of bid, the contractor has the option to opt out of payment adjustments
for price index fluctuations. Form DES-OE-0102.12A, “Opt Out of Payment
Adjustments for Price Index Fluctuations,” is included in the bid book. To
determine if the contractor has opted out, review the bid book for the project. If the
opt out form in the bid book is not completed, then all of the requirements apply to
the project.
3-904C Work-Character Changes
Before work can be considered a “work-character change,” there must have been an
ordered change to the plans or specifications. If such an ordered change materially
increases or decreases the unit cost of a bid item, then a work-character change has
occurred. Work-character changes are not to be confused with “differing site
conditions.” For a discussion of differing site conditions, refer to Section 3-5, “Control
of Work,” of this manual.
When calculating the adjustment for a change in work-character, the original bid price
bears no relation to the adjustment unless it can be demonstrated that the bid price
actually represents the cost of the work. Section 5-3, “Change Orders,” of this manual
contains examples of calculations and sample change orders.
3-905 Time-Related Overhead 3-905
Section 9-1.11, “Time Related Overhead,” of the Standard Specifications applies to Time-Related
projects that have a time-related overhead bid item. This section includes a description Overhead
of time-related overhead and a description of time-related field- and home-office
overhead included in the time-related overhead bid item. The contractor includes time-
related overhead costs in the time-related overhead bid item. Overhead that is not
related to time is included in the various other bid items. Any contract time adjustments
made by change order will result in an equivalent adjustment to the time-related
overhead bid item quantity.
The markups for force account work performed by the prime contractor on time-related
overhead projects are modified in Section 9-1.04A, “General,” of the Standard
Specifications.
Refer to Section 5-409, “Overhead Claims,” of this manual for information regarding
claims for overhead for projects without a time-related overhead bid item.
3-905A Audit Examination and Reports
When the time-related overhead bid item quantity exceeds 149 percent of the quantity
at time of bid, consult with your district management before requesting that the
contractor provide an audit of its overhead costs. Refer to Section 5-409, “Audits,” of
this manual for more information.
3-905B Payment
Time-related overhead is paid on the monthly progress payment for each working day
charged during the pay period. The quantity of time-related overhead is not adjusted for
concurrent delays. The quantity of time-related overhead will be adjusted only as a
result of critical delays that revise the current contract completion date. Adjustments to
contract time are handled as follows:
• If contract time is adjusted by change order, and there are no revisions to working
days charged to date, payments for the adjusted time occurs when the original bid
item quantity is exceeded.

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

3-906 3-906 Progress Payments

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

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

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

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

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

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3-9.22 Payment
 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 Form CEM-5101 and the above verification, the resident
engineer can approve the partial payment. The contractor must submit a new Form
CEM-5101 for each estimate, and the above procedure must be followed.
However, it is possible METS may not be able to respond in time for payment on
the estimate. METS gives priority to new or changed requests. Therefore, for
requests that have not changed since a previous submittal, resident engineers may
approve subsequent payments in the absence of any METS reports to the contrary.
On the monthly progress pay estimate, enter the total value of acceptable material as
material on site regardless of storage location.
The maximum payment for materials on hand should be such that, when the estimated
placing and other remaining costs of the work are added, the contract price is not
exceeded. The purpose of this is to prevent payment of more than the contract price for
the materials and to leave sufficient funds in the item to complete the work.
3-906F Withholds
3-906F (1) Progress Withholds
Progress withholds are usually determined by noncompliant (unsatisfactory) progress.
Whenever a contractor’s performance is unsatisfactory, the resident engineer notifies
the contractor of the apparent failure.
3-906F (1a) Noncompliant Progress
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. Refer to Section 9-1.16E(2), “Progress Withholds,” of the Standard
Specifications for noncompliant progress conditions.
After each progress estimate, update Form CEM-2601. The Contract Administration
System (CAS) uses the formula contained on this form to determine progress. For a
description of this process, refer to Section 5-1, “Project Records and Reports,” of this
manual.
The 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.
The percentage of work completed (except on landscape projects with Type 1 plant
establishment) is determined by dividing the amount on the line titled “Total Work
Completed” on the “Project Record Estimate” by the “Authorized Final Cost” on the
“Project Status.” CAS calculates this percentage. Calculations for percentage of work

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

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3-9.24 Payment
Determine the percentage of work completed by dividing the value of work
accomplished by the authorized contract amount minus the authorized plant
establishment work.
$ Value Completed Work
% Complete =
($ Total Auth. Contract Amt. – $ Plant Estab. Work)
Determine the percent of time elapsed by dividing the number of working days elapsed
to the time of the estimate on Form CEM-2701 by the total contract time limit plus
“Total change order days approved to date” on Form CEM-2701 and minus the length
of the plant establishment period.
Working Days Elapsed
% Time =
(Orig. Cont. Time + Time Ext. to date – Plant Estab. Period)
Compare these two percentages to the curve on Form CEM-2601, “Construction
Progress Chart.” If progress is satisfactory, check the “Override Unsatisfactory
Progress” on Form CEM-6101, “Project Record-Estimate Request.”
3-906F (2) Performance Failure Withholds
Whenever the contractor fails to comply with a contract part, including timely
submittal of a required document, the resident engineer notifies the contractor of the
apparent performance failure. For example, performance failure withholds may be
taken for the following required documents:
• Quality control plan
• Baseline schedule
• Updated schedules
• Revised schedules
• Time impact analyses
• Final schedule
• Traffic control plans
• Traffic contingency plan
• Water pollution control plan
• Storm water pollution prevention plan
The resident engineer gives the contractor 7 days from this notification to either
provide the submittal or a request for information. If neither is provided timely, the
resident engineer should take the performance failure withhold in the next progress pay
estimate. If the contractor submits a request for information, the resident engineer
should allow another 7 days from the time the request for information is answered in
full before taking the performance failure withhold. Refer to Section 9-1.16E(3),
“Performance Failure Withholds,” of the Standard Specifications. Other withholds
such as progress withholds, stop notice withholds, and penalty withholds are separate
and may be taken simultaneously if justified.
3-906F (3) Stop Notice Withholds
Refer to the Division of Accounting all inquiries regarding bills for labor, material, or
equipment rental not paid by Caltrans’ contractor. Detailed information for
construction payments, legal withholds, labor compliance withholds, levies and liens,

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Payment 3-9.25
 including stop notice contacts can be found on the Division of Accounting “Major
Construction Payment and Information” website:
http://www.dot.ca.gov/hq/asc/oap/payments/
3-906F (4) Penalty Withhold
For penalty withholds, refer to Sections 7-1.02, “Laws,” and 9-1.16E(5), “Penalty
Withholds,” of the Standard Specifications. Penalty withholds may become a
deduction if appropriate. Withholds may be required per Sections 7-104, “Air, Water,
and Noise Pollution Control”; 7-105, “Permits, Licenses, Agreements, and
Certifications”; and 8-102, “Labor Compliance Responsibilities,” of this manual.
3-906G Deductions
Deductions (as opposed to withholds) are those amounts held back for specific
purposes. The resident engineer must identify, initiate, and control all deductions. Refer
to Section 5-103F (1c), “Deductions,” of this manual for information on administering
deductions.
Make a deduction from payment to the contractor as soon as the liability for the event
requiring a deduction has been determined. It is preferable to base deductions on
known amounts resulting from agreements or actual billings, but, if necessary, they can
be estimated.
Resident engineers must keep source documents and summary sheets in the
appropriate contract records to cover all deductions. In the absence of any information
to the contrary, CAS will carry deductions forward from the previous month.
Whenever the contractor’s progress is unsatisfactory and the project has progressed to a
point where a reasonably accurate estimate of probable liquidated damages can be
made, the resident engineer must deduct an amount sufficient to cover probable
liquidated damages. Make the deduction in lieu of any withhold for unsatisfactory
progress. Enter the amount and description of deductions on Form CEM-6101,
“Project Record-Estimate Request,” and check “Override Unsatisfactory Progress,” to
prevent the withhold.
3-906H Supplemental Progress Payments
Resident engineers are responsible for the completeness and accuracy of each progress
payment. Supplemental progress payments are used to correct omissions or make
adjustments to a previously processed progress payment estimate for work performed
within that pay estimate period. Supplemental progress payments may be run only
between the completion of the original monthly progress payment and the 15th of the
following month.
Refer to Section 5-103F, “Generating Estimates,” of this manual for the process of
generating a supplemental progress payment.
3-906I Negative Estimates
The resident engineer is responsible for the accuracy of all payment estimates,
including progress payment, after acceptance, semifinal, and final estimates. Negative
estimates reflect an overpayment made to the contractor. When a negative estimate is
necessary, you must prepare a brief justification and submit it with the estimate request
to the district construction office. The district construction office must obtain

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3-9.26 Payment
concurrence from the deputy district director of construction, or delegate, and the
Division of Construction’s field coordinator before running the negative estimate.
When a negative estimate is approved for processing, the Division of Accounting bills
the contractor for the amount due. If, for any reason, you believe that the contractor
should not be billed, notify the district construction office and the Division of
Construction progress pay coordinator. Once notified, the Division of Construction
progress pay coordinator, with the Division of Construction field coordinator’s
concurrence, will notify the Division of Accounting not to bill the contractor.
Section 3-907E, “Payment Offset,” of this manual describes another method available
to the resident engineer and the Division of Accounting to resolve overpayment to the
contractor.
3-907 Payment After Contract Acceptance 3-907
Caltrans makes final payment as soon as possible after the contract is accepted and the Payment After
contractor submits the required documents requested by the resident engineer. Any Contract
estimate covering a payment after contract acceptance is identified either as “after Acceptance
acceptance,” “semifinal,” or “final.”
Soon after the contract is accepted, meet with the contractor to discuss submitting
required information to complete the contract. If the contractor does not submit
required data within 4 weeks after acceptance, you must notify the contractor in writing
that Caltrans will issue the proposed final estimate and deduct the appropriate amount.
Section 5-406, “Claims Resolution Process,” of this manual lists the timeline for
completing payment steps after the acceptance process.
3-907A Payment Before Final Estimate
A payment after acceptance but before the proposed final estimate must adhere to
Section 9-1.17B, “Payment Before Final Estimate,” of the Standard Specifications.
The purpose of this type of progress payment is to release all money due the contractor
that exceeds any amounts withheld under the contract. When determining amounts to
be paid or deducted for this type of estimate, the following applies:
1. Include payment for the following:
a. Any work completed since the previous estimate
b. Any errors that may have been discovered and corrected
c. Any labor compliance deficiencies that have been cleared
2. Include payment for any overbids on maximum value items, including the
mobilization item. You do not need to take any additional action for this step.
3. When delinquent or inadequate payrolls exist, make a deduction from the
payment.
4. When the contractor has failed to correct deficiencies in its equal employment
opportunity program, make a deduction from the payment. These deficiencies
include failure to submit Form CEM-2402F, “Final Report—Utilization of
Disadvantaged Business Enterprises First-Tier Subcontractors.”
The deductions will be in the same amount as for any progress estimate. Refer
to Section 8-1, “Labor Compliance,” Section 8-2, “Equal Employment

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Payment 3-9.27
 Opportunity,” and Section 8-3, “Disadvantaged Business Enterprises and
Disabled Veteran Business Enterprises,” of this manual.
5. To cover any outstanding documents required under this contract, make a
deduction from the payment. These outstanding documents include the
following:
a. Reduced prints of working drawings
b. Outstanding payrolls that are not yet delinquent
c. Or any information upon which to base the proposed final estimate, such
as payment adjustments of contract unit prices
The deduction, regardless of the number of outstanding items, will be the
lesser of 10 percent of the “Subtotal Amount Earned Without Mobilization,”
or $10,000, and at least $1,000.
In addition to the steps listed above for determining amounts to be paid or deducted for
an estimate after contract acceptance, the resident engineer must also do the following:
1. Notify the district of what deductions are applicable.
2. Compound the deductions when a combination of the following situations,
which were outlined above, occur:
a. The contractor has delinquent or inadequate payrolls.
b. The contractor failed to correct deficiencies in its equal employment
opportunity program.
c. The contractor failed to honor requirements related to disadvantaged
business enterprises.
3. Also compound permanent deductions. Permanent deductions include items
such as material royalties, railroad flagging charges, material testing, out-of-
specification material, or restaking charges. Also considered permanent are
deductions for anticipated liquidated damages. (When warranted, anticipated
liquidated damages can be made on progress estimates. However, anticipated
liquidated deductions will need to be made permanent on the after-acceptance
estimate. To do so, release anticipated liquidated damages; then take actual
liquidated damages under liquidated damages on the after-acceptance
estimate.)
4. When you make deductions for outstanding items, advise the contractor in
writing of the specific missing items.
5. Before processing an after-acceptance estimate, run the following two reports,
“Status of CCO,” and “CCO master listing.” These reports will show any
adjustment of compensation credit or deferred time not yet taken.
3-907B Proposed Final Estimate
The purpose of the proposed final estimate is to obtain formal agreement regarding
final payment. For this type of estimate, follow these guidelines:
• Submit the proposed final estimate to the contractor within the time frame outlined
in Section 5-406, “Claims Resolution Process,” of this manual.

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3-9.28 Payment
• Before processing the proposed final estimate, ensure all change order bills
submitted by the contractor are processed and ready for payment. Ensure the
estimate’s issuance is not delayed for change order bills that remain outstanding.
• If the contractor has not submitted required information in a timely manner, the
proposed final estimate must still be issued. In this situation, the following
guidelines apply:
1. Anytime before a proposed final estimate is issued, the district may exercise
an option described in Section 9-1.04C, “Materials,” of the Standard
Specifications. This section identifies the conditions under which Caltrans may
establish the cost of materials when valid copies of vendors’ invoices are not
forthcoming. When the district decides to establish such costs, use the
following procedure:
a. If the established cost is necessary to determine compensation, complete
the pending change order, and have it unilaterally approved. To determine
compensation, refer to Sections 9-1.06, “Changed Quantity Payment
Adjustments,” or 9-1.15, “Work-Character Changes,” of the Standard
Specifications.
b. If the established cost is necessary to make force account payment on an
existing change order, include this established cost as a lump sum
payment on a supplemental change order. Also, unilaterally approve this
supplemental change order.
2. On the proposed final estimate, you may list (in the amount the district
determines to be payable) any force account billings that have not been paid
because of a dispute. Upon return of the proposed final estimate, the contractor
must reiterate the disputed extra work, which must be handled like any other
claim. Do not list in the proposed final estimate any force account billings the
contractor has not yet submitted. It is the 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 in Section 3-907A, “Payment Before Final
Estimate,” of this manual.) When such deductions are shown, include a
statement similar to the following on the letter that accompanies the proposed
final estimate: “The amount of $_________, which has been deducted for
nonsubmittal of documents required by the contract, will be paid when all
such documents have been received.”
• Submit Form CEM-6101, “Project Record-Estimate Request,” to the district office
with the proposed final estimate box checked to initiate the proposed final
estimate.

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Payment 3-9.29
 • The proposed final estimate is to be prepared and sent to the contractor by the
district construction office. It should include the following:
1. A letter transmitting the proposed final estimate to the contractor. This letter
should include the statements shown in Example 3-9.2, “Form Letter for
Submitting Proposed Final Estimate to the Contractor.”
2. A form for the contractor’s acceptance of the amounts listed in this estimate.
Ensure the form contains wording similar to the wording in Example 3-9.3,
“Acceptance Statement Form.”
3. The proposed final estimate report showing the status of item payments
generated by CAS along with the “schedule of extra work” and “schedule of
deductions” reports. Samples of these reports are shown in Examples 3-9.4
through 3-9.8.
4. If deductions for items such as staking charges, laboratory charges, railroad
flagging charges, and overruns of contract time are not finalized and shown on
the reports, a list of their estimated maximum amounts must be attached.
• Use separate correspondence, not the proposed final estimate, for funds deducted
for labor violations and wage restitution (as opposed to outstanding or inadequate
payrolls).
• When money is due on the proposed final estimate, ensure the semifinal estimate
processed immediately after reflects the same “totals” as the proposed final
estimate. If you follow this approach, the contractor will submit claims based on
the “statement of total amount earned,” rather than a “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
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.”

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3-9.30 Payment
• When the contractor returns the “Acceptance Statement,” proceed in accordance
with the appropriate option below:
1. If the returned Acceptance Statement has no exceptions (administrative claims
or contract claims) and all documents required under the contract have been
received, prepare the final estimate. Refer to Section 3-907D, “Final Payment
and Claims,” of this manual for more information.
2. If the returned Acceptance Statement has no exceptions, but some documents
are still outstanding, continue pressing the contractor, in writing, for the
missing documents. If amounts due the contractor exceed the deductions by
more than $300, prepare and process a semifinal estimate.
3. If the documents have not been received in approximately 60 days, request
advice from the Division of Construction field coordinator about further
action.
4. If the Acceptance Statement is returned with exceptions, initiate the claims
procedure as outlined in Section 5-4, “Disputes,” of this manual.
5. If the Acceptance Statement is returned requesting a payment adjustment in
accordance with Section 9-1.17C, “Proposed Final Estimate,” of the Standard
Specifications, determine if the payment adjustment is warranted. If the
payment adjustment is warranted, make the payment in the same manner as
for any other adjustment and unilaterally approve in the district. The following
is an example of a calculation to determine this payment adjustment:

Example:
Contractor’s original bid (including mobilization) $100,000
90 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
(10 percent of difference) $ 500

6. When the Acceptance Statement is not returned within the specified 30 days,
ensure it has not been lost in transit and then proceed in accordance with the
appropriate option below:
a. If all documents have been received, prepare and process the final
estimate.
b. If some documents are still outstanding, request advice from the Division
of Construction’s field coordinator about further action.
c. If the contractor includes in the Acceptance Statement any claim that is
postmarked or hand-delivered more than 30 days after the date the
contractor received the proposed final estimate, the claim is considered
untimely and will not be processed. On a hand-delivered claim, record the
date the claim arrived, who delivered it, and who received it. Retain the
envelope for a claim that arrived through the mail to establish the date the

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Payment 3-9.31
 claim was sent. Inform the contractor of the late filing by using a letter
worded in a similar way to the letter below. This notification will
constitute the final administrative action on a late claim.

Notification to Inform the Contractor of a Late Filing:

Contractor ___________,
The statement of claim included in your letter dated _________, was
submitted to us more than 30 days after you received copies of the
proposed final estimate for Contract No. ____________, (County Route
and Mile-Post).
A final estimate is, therefore, being processed for issuance to you as
provided in Section 9-1.17C, “Proposed Final Estimate,” of the Standard
Specifications.

Sincerely,

District Construction Office

d. If the contractor includes claims with the return of the proposed final
estimate, the district should immediately acknowledge the receipt of the
claims by sending a written statement similar to the following:

Acknowledgment of the Receipt of Claims:

Your written statement of claims has been received. The engineer will
base the determination of your claims upon the investigation of your
statement.

The investigation of your claim statement will begin immediately. If it is

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

e. If the initially submitted claim statement is obviously deficient in

information, use a paragraph similar to the following example in lieu of
the second paragraph above:

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3-9.32 Payment
 Notification of Deficiency of Information:
Your initial submission appears to be deficient as to the following:
[Select appropriate item or items.]

1. Statement of contractual basis for claim

2. Information as to compliance with Section 4-1.05A, “General,”
Section 5-1.43, “Potential Claims and Dispute Resolution,” or both of
the Standard Specifications
3. Breakdown of amount claimed due
4. Other, as applicable

Please submit any further information you wish to have considered by

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

f. Examine claims expeditiously. For detailed instructions, refer to Section

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

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Payment 3-9.33
 Refer to Section 5-406, “Claims Resolution Process,” of this manual for more
information. As soon as the district approves the final estimate, it must use a transmittal
letter. The letter must state the following: “Submitted herewith in accordance with
Section 9-1.17D(3), ‘Final Determination of Claims,’ of the Standard Specifications is
a copy of the final estimate for your Contract No. X.”
A copy of the transmittal letter is to be sent to the resident engineer to be retained in the
project files.
The district transmits only the final estimate because the disbursing office of the
Division of Accounting will mail to the contractor the corresponding copy of the
progress payment voucher.
3-907D (1) Material to Submit with the Final Estimate
Before payment of a final estimate, the Division of Construction progress pay staff
must ensure that administrative details have been completed. For this purpose, the
district must forward the following data before or with all final estimates:
• Submit the proposed final estimate as originally submitted to the contractor,
including transmittal letters.
• Submit the Acceptance Statement returned by the contractor. If the contractor has
refused to sign the statement, submit it with an explanation of the contractor’s
refusal.
• Submit a transmittal letter containing, but not limited to, the following:
1. A list of the forms and attachments being transmitted or an explanation as to
why a form or attachment is missing. Include letters from the Division of
Construction authorizing the submittal of the final estimate without certain
documents and stating the action taken or to be taken as a result of the missing
documents.
2. A statement about the use of materials agreements. If there are no materials
agreements, state this.
3. A statement that reduced prints of all shop drawings for highway bridges and
railroad bridges have been received from the contractor. If such drawings are
not required, please state so.
4. Correspondence or documents explaining or authorizing the differences
between the proposed final estimate and the final estimate.
5. Form CEM-2402F, “Final Report—Utilization of Disadvantaged Business
Enterprises, First-Tier Subcontractors.”
3-907E Payment Offset
A payment offset is a method of obtaining monies due to Caltrans on one contract by
levying against future payments being made to a contractor on another Caltrans
contract. Offsets may be taken to obtain adequate funds for any amount due and for
determinations made by an arbitrator. The offset process should be completed within
90 calendar days of contract acceptance except when an offset for a determination by
an arbitrator is required.
Many stakeholders are involved in the payment offset process. The following should
be considered when choosing an active contract to apply an offset against:

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3-9.34 Payment
 1. There should be sufficient payments pending.
2. Bonded by the same bonding company if possible.
3. Administrated within the same district.
To begin the payment offset process, send a letter to the contractor, bonding company,
and offset bonding company. The contractor and the bonding companies have 20
calendar days from receipt of the letter to request a meeting to discuss the offset.
If the contract or bonding companies do not request a meeting, execute the offset. If a
meeting is requested, a meeting will be held within 10 calendar days of receipt of the
request. The meeting is conducted by the district director or as delegated to at least a
supervising transportation engineer.
The resident engineer prepares a summary of the facts, minutes of the meeting, and a
final determination report. If the offset is warranted, notify the district administering the
contract being offset, the contractor, and bonding companies of the final determination,
and the amount of the offset. If the contractor or the bonding companies do not request
a hearing, execute the offset. If the hearing officer determines that an offset is not
warranted, continue through the collections process administered by the Division of
Accounting. The Division of Accounting executes only those offsets authorized by the
Division of Construction.
3-908 Arbitration 3-908
If the contractor has diligently pursued and exhausted the administrative procedures Arbitration
specified in the contract for Minor A projects and major projects, the contractor is
entitled to file for arbitration of its claims 240 days after contract acceptance even if the
district director determination of claims has not been issued.
The Caltrans Legal Division handles all construction contract arbitrations. Refer to
Section 5-411, “Arbitration,” of this manual for more information.

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Payment 3-9.35
 Example 3-9.1. Quantity Calculations

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3-9.36 Payment
 Example 3-9.2. Form Letter for Submitting Proposed Final Estimate to the Contractor

Subject: Proposed Final Estimate

In accordance with the provisions of Section 9-1.17D(1), “General” of the Standard Specifications, attached
(in triplicate) is a proposed final estimate for

_______________ ______________________________
(Contract) (Dist. Co. Rte. M.P)

Please review the proposed final estimate and, if satisfactory, indicate your approval in the space provided on
the attached Acceptance Statement. Return three copies of the Acceptance Statement to this office. One copy
is for your files.

Please note the following portion of Section 9-1.17D(1), “General” of the Standard Specifications, which
states:

“If you accept the proposed final estimate or do not submit a claim statement before the 31st day of receiving
the estimate, the engineer furnishes the final estimate to you and the Department pays the amount due within
30 days. This final estimate and payment is conclusive except as specified in Sections 5-1.27, “Records”; 5-
1.47, “Guarantee”; and 9-1.21, “Clerical Errors.” If you submit a claim statement before the 31st day of
receiving the Engineer's proposed final estimate, the Engineer furnishes a semifinal estimate to the Contractor
and the Department pays the amount due within 30 days. The semifinal estimate is conclusive as to the
amount of work completed and the amount payable except as affected by the claims or as specified in
Sections 5-1.27, “Records”; 6-3.06, “Guarantee”; and 9-1.21, “Clerical Errors.”

Your promptness in returning the signed copies, indicating your approval, will expedite payment of the final
estimate. Alternatively, a signed qualified approval by reason of a written statement of claims will expedite
payment of a semifinal estimate. A statement of claims must include a notarized certificate containing the
language required in Section 9-1.17D(2)(c), “Declaration,” of the Standard Specifications.

If claims are submitted in connection with this contract, you will be expected to comply fully with Section 9-
1.17D(2), “Claim Statement,” of the Standard Specifications. The engineer will base the determination of
claims upon the investigation of your statement, in which you are expected to present your position fully as to
the contractual basis of the claim; compliance with contract requirements such as Sections 5-1.43, “Potential
Claims and Dispute Resolution,” subsections A through D; or 9-1.17D, “Final Payment and Claims,” of the
Standard Specifications, if applicable; a breakdown of the total amount claimed; and all other information you
consider to be in support of your claim.

As further provided in Section 9-1.17D(1), “General,” of the Standard Specifications, in case neither approval
nor a statement of claims is received, postmarked or hand delivered, before the 31st day, a final estimate in
the amount of this proposed final estimate will be issued. Your date of receipt of this proposed final estimate
establishes the beginning of the specified 30 days.

Sincerely,

District Construction Office

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Payment 3-9.37
 Example 3-9.3. Acceptance Statement Form

Subject: Acceptance Statement

Attachment to transmittal letter

Dated Contract Identification

I have examined the quantities of bid items and amounts indicated as payment for extra work
and the deductions on the proposed final estimate dated __________. I agree to accept the
total of $______________ as indicated, as the total amount earned for all work performed on
the above contract, except as may be indicated below

Contractor

Exceptions (check one)

By

[ ] None
[ ] As indicated per
attached letter
dated ________

Title

Date

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3-9.38 Payment
 Example 3-9.4. Sample of the Proposed Final Estimate

California Department of Transportation  Construction Manual  July 2017

Payment 3-9.39
 Example 3-9.5. Sample of the Project Record Estimate, Summary of Payment

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3-9.40 Payment
 Example 3-9.6. Schedule B – Extra Work and Adjustment of Compensation

Example 3-9.7. Schedule of Extra Work

Example 3-9.8. Schedule of Deductions

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Payment 3-9.41
 Chapter 4-
Construction Details
Chapter 4 Construction Details

Section 0 Introduction Section 0

Introduction
4-001 Scope 4-001
Each section in this chapter of the manual corresponds to a section in the Standard Scope
Specifications. All sections in the Standard Specifications are included here except
Division I, “General Provisions,” and Division XII, “Building Construction.” Division
II, Section 10, “General Construction,” includes specifications for general construction
that are applicable to every contract unless specified as applicable only under certain
conditions. Materials specifications for a material specified in Division XI, “Materials,”
apply to the material specified in any section of the Standard Specifications.
Each section in this chapter contains parts identified with bold type and the guidance
included in this Section 4-0, “Introduction,” applies to the other sections in this chapter.
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.
Before beginning work, it is essential to study the contract plans, Standard Plans,
Standard Specifications, special provisions, and the work site.
Ensure that aggregate material or borrow sources comply with Section 7-103H (2),
“Surface Mining and Reclamation Act,” of this manual. For more information, refer to
Sections 3-603, “Local Materials,” and 6-103, “Field Sampled Material Identification
for Testing,” of this manual.
Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes all materials.
Refer to Section 6-202, “Responsibilities for Acceptance of Manufactured or
Fabricated Materials and Products,” of this manual for additional information.
During the Course of Work describes the actions the resident engineers and assistant
resident engineers must take when the contractor is performing the work.
Ensure job-produced materials are sampled and tested for acceptance in conformance
with Section 6-107, “Materials Acceptance Sampling and Testing,” of this manual.
Upon delivery, check the materials’ identification marks or inspection tags using Form
TL-0624, “Inspection Release Tag,” and match these marks and tags against those
listed in Form TL-0029, “Report of Inspection of Material.” Refer to Section 6-2,
“Acceptance of Manufactured or Fabricated Materials and Products,” of this manual
for more explanation.
Level of Inspection provides suggested frequency of inspection. Level of inspection is
not included for sections that include work that is typically the responsibility of
Structure Construction.
The level of engineering inspection varies, depending on the type of work being
performed, and is categorized into three basic levels:
• Continuous Inspection—Inspect 80 to 100 percent of the time work is in progress
with assistant resident engineers assigned only to one operation.

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Introduction 4-0.1
 • Intermittent Inspection—Inspect 30 to 80 percent of the time work is in progress
with assistants assigned to two or three operations simultaneously.
• Benchmark Inspection—Inspect up to 30 percent of the time work is in progress.
Quality Control provides guidelines for inspecting the contractor’s quality control
activities for which the specifications require specific levels of inspection, sampling,
and testing. When specific levels of quality control inspection, sampling, and testing
are not detailed in the Standard Specifications, the contractor is responsible for
providing quality control under Section 5-1.01, “General,” of the Standard
Specifications.
Caltrans inspection, sampling, and testing are performed for compliance verification
and payment of the materials but do not relieve the contractor of the responsibility to
provide quality control on these materials as they are processed and incorporated into
the project.
Section 6-2.01A, “General,” of the Standard Specifications states that quality control
includes sampling, testing, and inspections performed by the contractor under the
contractor’s quality control program to control material quality and ensure the specified
quality characteristics for the project are met. Generally, the quality characteristics will
be identified within the material section of the specifications, but additional
requirements may also be found in the quality assurance and construction sections of
the specifications.
Section 6-2.02, “Quality Control,” of the Standard Specifications further describes
general requirements for the contractor’s quality control, including minimum quality
control program requirements for personnel, testing equipment, and testing
laboratories. Ensure the contractor is actively performing quality control throughout
production operations by reviewing copies of quality control records, including quality
control test results. Where review of the contractor’s quality control program
information or absence thereof shows a failure to actively perform quality control, the
production operations should be suspended until the contractor identifies what actions
will be taken to comply with the contract.
If quality control test results show questionable material quality, the contractor should
make corrections to ensure materials meeting specified requirements are incorporated
into the work. Where repeated concerns are found, provide a written order to the
contractor to identify what corrective actions are being taken to address the material
quality.
It is important to note that contractor quality control inspection, sampling, and testing is
not to be used for rejection, acceptance, or payment of items of work unless allowed by
the specifications. However, quality control test results indicating material quality
issues should result in increased frequency of acceptance sampling and testing until
quality issues have been resolved.
Payment provides guidelines for measuring and paying for the work covered in the
section.

4-002 4-002 Purpose

Purpose Although each section in Chapter 4 of this manual closely follows the corresponding
section in the Standard Specifications, the intent of this chapter is not to repeat or
paraphrase the specifications, but to offer guidelines for action to ensure compliance
with the specifications and to measure work done. Therefore, for resident engineers and

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4-0.2 Introduction
assistant resident engineers, Chapter 4 provides guidelines for inspecting, measuring,
and paying for contract item work.
For structures-related work covered in Division VI, “Structures,” of the Standard
Specifications, the guidelines in Chapter 4 of this manual are general in nature. The
guidance for technical structures issues, including inspecting, measuring, and paying
for structures contract item work, is included in Structure Construction’s construction
records and procedures manuals available at:
http://www.dot.ca.gov/hq/esc/construction/manuals/
For the most part, only the Standard Specifications are considered in the guidance
provided in Chapter 4. Special provisions may require actions different from or in
addition to those described in these guidelines.
Assistant resident engineers are usually assigned some specific portion of contract
work. The first duty in carrying out the assignment is to become thoroughly familiar
with the contract plans, standard plans, special provisions, and standard specifications
that apply to that particular work. This chapter of the manual does not substitute for and
does not diminish the need to have a good understanding of the planned work and the
specifications.

California Department of Transportation  Construction Manual  July 2017

Introduction 4-0.3
Chapter 4 Construction Details

Section 10 General Construction

4-1001 General
4-1002 Before Work Begins
4-1002A Work Sequencing
4-1002B Water Usage
4-1002C Watering
4-1003 During the Course of Work
4-1003A Work Sequencing
4-1003B Water Usage
4-1003C Dust Control
4-1003D Watering
4-1004 Payment

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General Construction 4-10.i
Chapter 4 Construction Details
Section 10
Section 10 General Construction General
Construction
4-1001 General 4-1001
Section 10, “General Construction,” of the Standard Specifications includes the general General
requirements for construction work that applies to all projects unless otherwise
specified.
4-1002 Before Work Begins 4-1002
Before Work
4-1002A Work Sequencing
Begins
Review Section 87-21, “Existing Electrical Systems,” of the Standard Specifications.
Ensure all signs, pavement delineation, and pavement markings are in place before
starting the operation of a traffic management system that directly affects traffic.
If maintaining existing traffic management system elements during construction is
shown on the Bid Item List:
• Invite the Caltrans traffic operations electrical representative to the preconstruction
meeting.
• At the preconstruction meeting, discuss the requirements for system operational
status check.
• Conduct the preconstruction status check with the contractor and the Caltrans
traffic operations electrical representatives.
Conduct a site visit and verify all the irrigation facilities are described in the contract. If
an unspecified irrigation system is discovered, order the contractor to protect the
system.
At the prepaving meeting, discuss the existing traffic stripes, pavement markings, and
pavement markers within the project limits and the need for reference control points.
Require the contractor to submit reference control points 5 business days before
obliterating existing surface traffic-related markings.
4-1002B Water Usage
When Caltrans or any local water authority mandates a water rationing due to water
shortage:
• Notify the contractor of the water usage constraints.
• Review the contractor’s water conservation plans for compliance with Section 10-
4, “Water Usage,” of the Standard Specifications.
4-1002C Watering
The contractor is responsible for developing a water supply, including any permits, and
applying water.

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General Construction 4-10.1
 Take these steps during preliminary inspection:
• Determine the quality of the water to be used in products with specific water
quality requirements.
• Determine if the contractor intends to use chemical additives in water, and ensure
that the additives are appropriate for their use.
• If the contract requires a mobile watering unit, ensure that one is available on the
project at all times.
• Ensure that all necessary watering equipment is the type specified.
• Ensure that the contractor has acquired all applicable permits.
4-1003 4-1003 During the Course of Work
During the Course of
4-1003A Work Sequencing
Work
If maintaining existing traffic management system elements during construction is not
shown on the Bid Item List and an existing system is discovered during construction,
conduct the system operational status check with the contractor and Caltrans’ traffic
operations electrical representative.
Before contract acceptance, conduct the postconstruction status check of all traffic
management system elements identified within the project, with the contractor and
Caltrans’ traffic operations electrical representatives.
If an unspecified irrigation system is discovered during the work, require the contractor
to protect the system.
Conduct field inspections to verify that the traffic stripes, pavement markings, and
pavement markers are removed according to plan.
Conduct field inspections to verify the contractor is in compliance with Section 10-
1.02E, “Excavation,” of the Standard Specifications.
4-1003B Water Usage
Verify the contractor is in compliance with their water conservation plan.
4-1003C Dust Control
Verify the contractor is in compliance with Sections 13-4.03C(3), “Stockpile
Management”; 13-5, “Temporary Soil Stabilization”; and 18, “Dust Palliatives,” of the
Standard Specifications. Refer to Sections 7-104A (2), “Dust Control” and 4-18, “Dust
Palliatives,” of this manual for additional information.
4-1003D Watering
Determine whether the developed water supply is sufficient for the project and is
adequate for dust control.
• If the contractor uses a fire hydrant, ensure that arrangements have been made with
the local water utility company. Verify that the contractor has obtained a permit for
the use of the hydrant.

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4-10.2 General Construction
4-1004 Payment 4-1004
The operational status check for a traffic management system element discovered Payment
during construction is paid as change order work if:
• The existing system element is not identified in the information handout.
• Maintaining existing traffic management system elements during construction is
not shown on the Bid Item List.
Once the water supply is developed and the project’s needs are met, authorize progress
payment for 100 percent of the item, subject to limiting pay clauses. When determining
percentages for partial payments, consider work possibly required in future stages.
Payment for applying water is included in other items.

California Department of Transportation  Construction Manual  July 2017

General Construction 4-10.3
Chapter 4 Construction Details

Section 11 Welding Section 11

Welding
4-1101 General 4-1101
Section 11, “Welding,” of the Standard Specifications describes the requirements for General
welding where welding is specified to comply with an American Welding Society
welding code. A primary purpose of this section is to assure quality control for welding
items of work. Other sections also cover welding requirements such as Sections 48,
“Temporary Structures”; 49, “Piling”; 52, “Reinforcement”; 55, “Steel Structures”; 56,
“Overhead Sign Structures, Standards, and Poles”; and 60, “Existing Structures,” of the
Standard Specifications.
This manual section provides guidance for inspecting and monitoring the contractor’s
quality control activities involving welding that must meet the requirements of Section
11 of the Standard Specifications. The activities include handling correspondence,
submittals, reports, quality control plans and records, and certificates of compliance,
along with sampling, testing, and inspection of work in progress.
For details about welding, refer to Structure Construction’s Bridge Construction
Records and Procedures manual at:
http://www.dot.ca.gov/hq/esc/construction/manuals/
4-1102 Before Work Begins 4-1102
Before work begins, take the following steps: Before Work
•
Begins
Ensure that the contractor has assigned a qualified quality control manager and
inspection personnel.
• Meet with the welding quality control personnel to discuss the requirements for
submitting welding quality control plans. Guidance on items to include in the
Welding Quality Control Plan can be found at the following Structural Materials
website:
http://www.dot.ca.gov/hq/esc/Translab/OSM/smbresources.htm
• Inform the welding quality control personnel that their quality control activities
may at times need to be coordinated with Caltrans’ ongoing quality verification
activities, as described throughout this manual.
4-1103 During the Course of Work 4-1103
During the course of work do the following: During the Course
of Work
• Verify that the required quality control personnel perform duties as specified.
Ensure that correspondence, submittals, reports, quality control plans and records,
and certificates of compliance are handled as specified.
• Until the engineer, typically the structures representative, authorizes the proper
submittals, do not permit welding of any type on materials permanently
incorporated in the work. Refer to the Bridge Construction Records and
Procedures manual, Vol. 2, Section 180, for guidelines

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Welding 4-11.1
 • Ensure that the contractor submits the time and location of quality control
sampling and testing with sufficient notice to allow Caltrans staff to intermittently
witness quality control sampling and testing.
• Ensure that welding follows the authorized Welding Quality Control Plan and is
carried out by certified welders.
• Ensure that appropriate nondestructive testing is done by certified welding
inspectors and testing inspectors to Caltrans’ standards and in a timely manner.
• Refer to Chapter 6, “Sampling and Testing,” of this manual for additional guidance
in ensuring materials and workmanship comply with specifications.
4-1104 4-1104 Level of Inspection
Level of Inspection Suggested level of inspection for welding work activities is intermittent inspection.
4-1105 4-1105 Payment
Payment For measurement and payment details, review contract specifications.

California Department of Transportation  Construction Manual  July 2017

4-11.2 Welding
Chapter 4 Construction Details

Section 12 Temporary Traffic Control

4-1201 General
4-1202 Before Work Begins
4-1202A Flagging
4-1202B Temporary Traffic Control Devices
4-1202B (1) Traffic Cones
4-1202B (2) Plastic Traffic Drums
4-1202B (3) Portable Delineators
4-1202B (4) Channelizers
4-1202B (5) Barricades
4-1202B (6) Construction Area Signs
4-1202B (7) Type K Temporary Railing
4-1202B (8) Temporary Traffic Screens
4-1202B (9) Temporary Crash Cushion Module
4-1202B (10) Impact Attenuator Vehicles
4-1202B (11) Flashing Arrow Signs
4-1202B (12) Portable Flashing Beacons
4-1202B (13) Portable Changeable Message Signs
4-1202B (14) Temporary Signal Systems
4-1202B (15) Temporary Flashing Beacon Systems
4-1202B (16) Automated Work Zone Information Systems
4-1202C Maintaining Traffic
4-1202C (1) Traffic Control Systems
4-1202C (1a) Lane Closure System
4-1202C (2) Pedestrian Facilities
4-1202C (3) Bridge Cleaning and Painting Activities
4-1202D Temporary Pavement Delineation
4-1202D (1) Temporary Pavement Markers
4-1203 During the Course of Work
4-1203A Flagging
4-1203B Temporary Traffic Control Devices
4-1203B (1) Traffic Cones
4-1203B (2) Plastic Traffic Drums
4-1203B (3) Portable Delineators
4-1203B (4) Channelizers
4-1203B (5) Barricades
4-1203B (6) Construction Area Signs

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Temporary Traffic Control 4-12.i
 4-1203B (7) Type K Temporary Railing
4-1203B (8) Temporary Traffic Screens
4-1203B (9) Temporary Crash Cushion Module
4-1203B (10) Impact Attenuator Vehicles
4-1203B (11) Flashing Arrow Signs
4-1203B (12) Portable Flashing Beacons
4-1203B (13) Portable Changeable Message Signs
4-1203B (14) Temporary Signal Systems
4-1203B (15) Temporary Flashing Beacon Systems
4-1203B (16) Automated Work Zone Information Systems
4-1203C Maintaining Traffic
4-1203C (1) Traffic Control Systems
4-1203C (1a) Closure Schedules
4-1203C (1b) Contingency Plans for Closures
4-1203C (1c) Lane Closure System
4-1203C (1d) Status Updates for Authorized Closures
4-1203C (1e) Field Adjustments
4-1203C (1f) Placement Sequence and the Start of Work
4-1203C (1g) Drive-Through Inspection
4-1203C (1h) Maintenance
4-1203C (1i) Reverse Operations Inside Closures
4-1203C (2) Pedestrian Facilities
4-1203C (3) Bridge Cleaning and Painting Activities
4-1203D Temporary Pavement Delineation
4-1203D (1) Temporary Pavement Markers
4-1203D (2) Channelizers
4-1203D (3) Temporary Lane Line and Center Delineation
4-1203D (4) Temporary Edge Line Delineation
4-1203D (5) Temporary Traffic Stripe Tape
4-1203D (6) Temporary Traffic Stripe Paint
4-1203D (7) Temporary Pavement Marking Tape
4-1203D (8) Temporary Pavement Marking Paint
4-1203E Temporary Pavement Delineation for Seal Coats
4-1204 Level of Inspection
4-1205 Quality Control
4-1206 Payment
4-1206A Flagging
4-1206B Temporary Traffic Control Devices
4-1206B (1) Traffic Cones
4-1206B (2) Plastic Traffic Drums
4-1206B (3) Portable Delineators

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4-12.ii Temporary Traffic Control
 4-1206B (4) Channelizers
4-1206B (5) Barricades
4-1206B (6) Construction Area Signs
4-1206B (7) Type K Temporary Railing
4-1206B (8) Temporary Traffic Screens
4-1206B (9) Temporary Crash Cushion Modules
4-1206B (10) Impact Attenuator Vehicles
4-1206B (11) Flashing Arrow Signs
4-1206B (12) Portable Flashing Beacons
4-1206B (13) Portable Changeable Message Signs
4-1206B (14) Temporary Signal System
4-1206B (15) Temporary Flashing Beacon Systems
4-1206B (16) Automated Work Zone Information Systems
4-1206C Traffic Control Systems

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Temporary Traffic Control 4-12.iii
Chapter 4 Construction Details
Section 12
Section 12 Temporary Traffic Control Temporary
Traffic Control
4-1201 General 4-1201
This section provides guidelines for inspecting temporary traffic control devices in General
construction areas. For traffic control requirements, refer to Section 12, “Temporary
Traffic Control,” of the Standard Specifications and the California Manual on Uniform
Traffic Control Devices (California MUTCD). If a discrepancy occurs between the
contract plans and specifications and the California MUTCD, the plans and
specifications govern. Also refer to Section 2-2, “Traffic,” of this manual, which
provides guidelines and a general overview of providing a safe and convenient passage
of public traffic through the construction area and is complementary to this section.
Temporary traffic control devices are divided into categories:
• Category 1 devices include traffic cones, plastic traffic drums, portable delineators,
and channelizers.
• Category 2 devices include barricades and portable sign supports.
• Category 3 devices include crash cushions, impact attenuator vehicles, temporary
railing, temporary barrier, and end treatments for temporary railings and barriers.
The condition of temporary traffic control devices should comply with the most current
edition of the American Traffic Safety Services Association (ATSSA) publication
Quality Guidelines for Temporary Traffic Control Devices and Features.
4-1202 Before Work Begins 4-1202
Take the following steps before work begins: Before Work
Begins
• Determine what construction area signs should be placed before work begins for the
entire project and before 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.
4-1202A Flagging
Discuss any flagging operation with the contractor before the operation begins. Confirm
flaggers are wearing ANSI-compliant garments in accordance with the Construction
Safety Orders, or the prime contractor’s or subcontractor’s Injury and Illness Prevention
Program or Code of Safe Practices, whichever is more stringent. Review with the
contractor how flaggers will communicate with each other, with pilot cars, and with
workers inside the controlled area. The contractor should develop a plan for handling
emergencies and emergency vehicles in the control zone.
4-1202B Temporary Traffic Control Devices
Verify that temporary traffic control devices comply with the contract requirements.
The resident engineer may accept use of contractor-proposed devices on the Authorized
Material List for Highway Safety Features.

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Temporary Traffic Control 4-12.1
 Authorized Materials Lists are available at:
http://www.dot.ca.gov/hq/esc/approved_products_list/
Determine if the temporary traffic control devices to be used are on the Authorized
Material List for Signing and Delineation Materials and if they require a certificate of
compliance.
Obtain self-certification for crashworthiness of Category 1 temporary traffic control
devices.
Request a list of Category 2 temporary traffic control devices to be used on the project
and copies of their Federal Highway Administration (FHWA) acceptance letters.
Verify that Category 3 temporary traffic control devices are on the Authorized Material
List for Highway Safety Features.
4-1202B (1) Traffic Cones
If the contractor plans to use cones for night work, determine the type of cone proposed.
All cones should use the same type and brand of retroreflective sheeting.
4-1202B (2) Plastic Traffic Drums
All drums should use the same type and brand of retroreflective sheeting. Verify the base
is shaped to prevent rolling after impact from vehicles.
4-1202B (3) Portable Delineators
Obtain a sample of the type of portable delineator to be used on the project. Verify the
base is shaped to prevent delineators from rolling after impact from vehicles.
4-1202B (4) Channelizers
Verify the channelizer’s post is predominantly orange.
4-1202B (5) Barricades
Verify barricade construction complies with Section 12-3.10, “Barricades,” of the
Standard Specifications and sheet A-73C of the Standard Plans.
Request proof that any Type 3 barricade to be used as sign support has been crash-tested
to the Transportation Research Board’s NCHRP Report 350 criteria or Manual for
Assessing Safety Hardware (MASH) as a single unit with a sign panel of the size and
type used on the project.
4-1202B (6) Construction Area Signs
At the preconstruction conference, remind the contractor to 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.
Verify construction area signs are from a commercial sign manufacturer and have a Type
3 or higher grade retroreflective sheeting.
Review Section 12-3.11, “Construction Area Signs,” of the Standard Specifications for
additional requirements.
4-1202B (7) Type K Temporary Railing
Determine if Type K temporary railing is to be cast on or off the project. If the K-rail is
cast off the project, obtain a certificate of compliance.

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4-12.2 Temporary Traffic Control
Type K temporary railing placed within 10 feet of a traffic lane requires a reflector on
each rail unit.
Review sheet T3B of the Standard Plans for staking requirements.
4-1202B (8) Temporary Traffic Screens
Review the specification requirements and sheet T4 of the Standard Plans.
4-1202B (9) Temporary Crash Cushion Module
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 the contractor requests usage of alternative temporary crash cushion modules, verify
that their proposed modules are on the Authorized Material List for Highway Safety
Features.
Verify that temporary crash cushion modules used were manufactured after March 31,
1997.
Inspect crash cushion modules to confirm they comply with the specification and
manufacturer requirements.
Temporary crash cushions may be installed on wooden pallets as an option. Verify that
pallet height is 4½ inches or less. Pallets that exceed this height raise the sand in the crash
cushions above an acceptable level. Do not allow the use of commercial pallets that
exceed the maximum height.
4-1202B (10) Impact Attenuator Vehicles
Verify that the impact attenuator vehicle complies with all specification requirements.
Check that the attenuator meets the test level requirement for the posted speed limit.
Verify that the weight of the attenuator and the weight of the support truck are within the
specified limits as shown on the Authorized Material List for Highway Safety Features.
Verify the contractor conducts a meeting with all involved parties to discuss the
operation of the impact attenuator vehicle.
4-1202 B (11) Flashing Arrow Signs
Verify that Type 1 and Type 2 flashing arrow signs comply with the specification
requirements, including number of panel lights, display modes, power source, and
devices to plumb and level the trailer.
4-1202B (12) Portable Flashing Beacons
Verify that portable flashing beacons conform to the specification requirements.
4-1202 B (13) Portable Changeable Message Signs
A certificate of compliance should be requested for each portable changeable message
sign (PCMS).
Obtain a contact cell phone number for the contractor before starting activities that
require a portable changeable message sign and arrange for an inspection with the
contractor before the first deployment.

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Temporary Traffic Control 4-12.3
 Verify that the sign complies with the Standard Specifications requirements including
number of lines and characters per line, display modes, power source, and devices to
plumb and level the trailer.
4-1202B (14) Temporary Signal Systems
Confirm temporary signal systems comply with the requirements in Section 12-3.33,
“Temporary Signal Systems,” of the Standard Specifications.
As early as possible, verify that all Department-furnished equipment is available at the
location specified. If the equipment is not available, make other arrangements as soon as
possible.
Verify that the line of sight visibility in the field meets sight distance standards. If sight
distance is not adequate, contact the district traffic engineer for suggestions or
recommendations.
When temporary signal systems are used in forests or grasslands, confirm adherence to
all fire safety requirements. Checking fire safety requirements may require coordination
with personnel from the U.S. Forest Service, U.S. Bureau of Land Management, or
California Department of Forestry.
4-1202B (15) Temporary Flashing Beacon Systems
Confirm temporary flashing beacon systems comply with the requirements in Section
12-3.34, “Temporary Flashing Beacon Systems,” of the Standard Specifications.

4-1202B (16) Automated Work Zone Information Systems

Verify that automated work zone information systems comply with the general system
functionality, motorist information messages, system communications, traffic data
acquisition, and user interface specification requirements.
Obtain the name and contact information for the assigned onsite system coordinator.
Request the user interface software and provide it to the Transportation Management
Center for installation.
4-1202C Maintaining Traffic
Before work begins, carefully review the plans, specifications, closure charts, and sheets
T9 through T17 of the Standard Plans. It is important to plan which personnel, signage,
and equipment will be required to implement the traffic control system.
Verify that the contractor has all components on hand before setting up any traffic control
system and that all components meet the specifications requirements.
Verify the contractor notifies and cooperates with local authorities wherever the local
authorities regulate traffic.
When multiple projects in a particular area occur at the same time, require contractors to
coordinate their efforts by resolving schedule conflicts prior to submitting their schedules
for closures and verify there are no closure conflicts prior to implementation. Review
these requirements with the contractors before work starts.
4-1202C (1) Traffic Control Systems
Verify the contractor removes or covers any construction area signs that duplicate or
contradict the signs for a project within 250 feet of another project. Refer to Section 5-

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4-12.4 Temporary Traffic Control
1.20 “Coordination with Other Entities,” of the Standard Specifications, if applicable,
and the special provisions.
• Inspect the signs and equipment the contractor proposes to use, at the contractor’s
or subcontractor’s yard if possible, before their first 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 in the ATSSA publication Quality
Guidelines for Temporary Traffic Control Devices and Features. Require the
contractor to replace any unacceptable equipment. It is easier to correct deficiencies
before the system is installed.
• If the contractor is to place the traffic control system repeatedly in the same place,
the contractor can request to mark on the shoulder the locations of advance warning
signs, cones, and drums. This will speed the placing of closures and allow for a more
consistent taper alignment.
4-1202C (1a) Lane Closure System
Contractors are required to request closures using the Caltrans Lane Closure System
(LCS) and status closures using the Lane Closure System Mobile web page.
To confirm that contractors can access LCS and LCS Mobile, do the following before
work begins:
• Inform the contractor they need to complete the LCS web-based training.
• Provide the contractor with the internet link to access the LCS web-based training.
http://www.dot.ca.gov/hq/construc/training.htm
• Obtain the information of trained contractor representatives, including whether they
will be requesting or statusing closures, or both.
• Set up “Requestor” or “Statuser” LCS accounts for the trained contractor’s
employees accordingly and provide them with their login information within 5 days
after they have completed the training. The LCS will send the contractor’s
employees a unique password by email after the accounts are created. Create a
“Requestor” LCS account and set the option in the account to status closures for
those who will request and status closures.
• Contact the district traffic manager for assistance with either of these tasks.
4-1202C (2) Pedestrian Facilities
Review Sections 12-4.04, “Pedestrian Facilities,” and 16-2.02, “Temporary Pedestrian
Facilities,” of the Standard Specifications for the temporary pedestrian facilities
requirements.
4-1202C (3) Bridge Cleaning and Painting Activities
Review Section 12-4.05, “Bridge Cleaning and Painting Activities, of the Standard
Specifications.”
Verify signs to be used comply with the specification requirements.

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Temporary Traffic Control 4-12.5
 4-1202D Temporary Pavement Delineation
Review Sections 12-6, “Temporary Pavement Delineation” and 84-2, “Traffic Stripes
and Pavement Markings,” of the Standard Specifications for temporary pavement
delineation requirements.
4-1202D (1) Temporary Pavement Markers
Verify temporary pavement markers comply with Section 81-3, “Pavement Markers,”
of the Standard Specifications, except for the waiting period before placing pavement
markers on new asphalt concrete.
Verify signs to be used comply with the specification requirements.
Refer to Section 12-6.03, “Temporary Lane Line and Centerline Delineation,” of the
Standard Specifications for temporary signing requirements for no-passing zones.

4-1203 4-1203 During the Course of Work

During the Course of Use the ATSSA publication Quality Guidelines for Temporary Traffic Control Devices
Work and Features to confirm acceptability of traffic control devices
Inspect Category 2 temporary traffic control devices to confirm they are labeled with the
FHWA acceptance letter code and the name of the manufacturer.
Verify Category 3 temporary traffic control devices are the type shown on the
Authorized Material List for Highway Safety Features.
Verify that traffic handling devices meet the visibility and legibility requirements.
Verify the contractor maintains all traffic control devices in good working order
throughout the project’s life. Verify that all traffic control devices are correctly located
and functioning properly. If temporary traffic control devices are damaged, displaced, or
stop operating or functioning as described from any cause during the progress of the
work, have the contractor repair, repaint, or replace the components and restore them to
their original locations and positions.
Do not allow the contractor to mix different types of temporary traffic control devices
on the same alignment. Types include plastic traffic drums, portable delineators,
channelizers, tubular markers, traffic cones, and Type 1 and Type 2 barricades.
Verify the contractor removes traffic-handling equipment and devices from the job site
when they are no longer needed for controlling traffic.
4-1203A Flagging
Observe the flagging operation to verify that flaggers are using the correct procedures
for directing motorists in accordance with California Code of Regulations, Title 8,
Section 1599, “Flaggers,” and Chapter 6E, “Flagger Control,” of the California
MUTCD. Also, verify that flagging stations are laid out correctly, are visible to
approaching traffic, are illuminated during nighttime, and have correct advance warning
signs. If there are questions as to flagger competency, contact your construction safety
coordinator to have them come and observe the flagging operation. When pilot vehicles
are used, radios are required.
4-1203B Temporary Traffic Control Devices
Inspect all traffic control devices to verify conformity with the specifications. If you
authorize the devices for use, record the authorization in the daily reports.

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4-12.6 Temporary Traffic Control
4-1203B (1) Traffic Cones
Require the contractor to anchor bases of traffic cones that do not have enough size and
weight to keep the cones in an upright position.
Prohibit the use of traffic cones that have been damaged or coated with asphalt or other
substances that prevent the cones from functioning as intended.
4-1203B (2) Plastic Traffic Drums
Check the contractor’s layout work. Allow only one type of plastic traffic drum on the
project.
Require ballast for drums according to manufacturer specifications. Do not allow the use
of sandbags.
Require proper maintenance of plastic traffic drums.
4-1203B (3) Portable Delineators
Allow only one type of portable delineator on the project.
Verify the portable delineators meet the dimension requirements.
Confirm portable delineators remain upright when unattended, otherwise require the
contractor to place a ballast on the delineator’s base.
4-1203B (4) Channelizers
Check the contractor’s layout work.
Verify the pavement is clean and dry and the contractor places the channelizers during
conditions that meet the required temperatures. Review Section 81-3, “Pavement
Markers,” of the Standard Specifications. Do not allow the contractor to use the double-
stick butyl pads provided by the channelizer manufacturer; these pads do not meet
Caltrans requirements.
Ask the contractor to replace channelizers that are displaced or fail to remain in an
upright position. The contractor is responsible for the replacement expenses.
4-1203B (5) Barricades
Check Type 3 barricades, used as sign supports, for label with FHWA acceptance letter
number showing they have been crash tested as a single unit with a sign panel of the size
and type used on the project. According to the Authorized Material List for Signing and
Delineation Materials, 0.5 inch Intelplast “Intelcel” or similar is authorized and
according to FHWA Work Zone Letter 85 from the FHWA’s Safety Program website,
this type of sign substrate is authorized for use on Type 3 barricades.
Allow the contractor to use only bags of dry sand when weighting is necessary. Verify
weights are placed on the feet or lower parts of the frame or stays. Do not allow the
contractor to place objects any higher, or use hard objects such as concrete or rocks for
weights.
Confirm the contractor maintains barricades in good condition and keeps the reflective
surfaces clean.
4-1203B (6) Construction Area Signs
Remind the contractor to notify the regional notification centers before digging for the
installation of signposts. Hand digging is required unless the location is free of
underground utilities.

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Temporary Traffic Control 4-12.7
 Allow only the use of sandbags when it is necessary to weigh down sign standards to
prevent the wind from overturning them. Do not permit rocks, concrete, or other hard
objects to be used for this purpose.
Check construction area signs often during the course of the work. Verify visibility and
legibility requirements. Require the contractor to keep signs clean and clearly visible,
and repair them if damaged.
Verify construction area signs are placed outside the traveled way, do not block or
protrude more than 4 inches into bicycle and pedestrian pathways, and comply with
Americans with Disabilities Act requirements.
Do not allow the use of nonretroreflective portable signs during hours of darkness.
Check sign posts to confirm compliance with breakaway features.
Verify that the contractor installs, relocates, covers, and removes signs as required.
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.
4-1203B (7) Type K Temporary Railing
Check the exposed surfaces of Type K temporary railing to verify they have received a
fresh coat of white paint before initial placement on the job. Order repainting when
needed.
Verify all new and used rail elements comply with requirements for end connection and
surface finish. Verify Type K temporary railing is placed on a firm, stable foundation
uniformly graded throughout the entire length of the railing.
Check railing alignment for any substantial offset to each other.
Verify staking of railing according to sheet T3B of the Standard Plans.
Verify the contractor offsets the approach end of Type K temporary railing by 15 feet
minimum from the edge of an open traffic lane, according to Section 7-1.04 “Public
Safety,” of the Standard Specifications.
Verify the contractor protects Type K temporary railing blunt-ends within 15 feet of the
edge of the traveled way with temporary crash cushions. If the blunt end is within 8 feet,
appropriate approved crash cushion protection other than sand filled modules should be
provided.
Check the installation and maintenance of Type P marker panel according to sheet A81C
of the Standard Plans.
Confirm the contractor installs a reflector on each rail unit placed within 10 feet of a
traffic lane.
Verify all threaded rods or dowels are removed and the area is restored to its previous
condition or constructed to its planned condition after removal of Type K temporary
railing.
4-1203B (8) Temporary Traffic Screens
After installation, review the screen placement, especially near entrance and exit ramps.
If the screen blocks motorist visibility, order its removal and consult with the district
traffic engineer concerning alternatives.

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4-12.8 Temporary Traffic Control
Confirm supporting steel pipes are placed on the traffic side of the screen so that if a
panel becomes dislodged, the plywood will fall away from traffic.
The specifications require temporary traffic screen to have 3-foot-long openings spaced
at 200-foot intervals. The purpose of the gaps is to allow drivers and passengers of
vehicles to get behind the barrier in case of a disabled vehicle. If the opening has a drop
off behind it that might present a hazard to the public, document in the resident engineer’s
diary an exception to the Standard Plan note and have the contractor close the gap for
public safety purposes.
4-1203B (9) Temporary Crash Cushion Module
Verify that one type of crash cushion module is used for a single grouping or array.
Verify the crash cushion array is in place before opening traffic lanes adjacent to the
protected obstacle.
Verify that crash cushion module arrays are installed according to the manufacturer’s
instructions. Check that all crash cushion modules are filled with the proper weight of
sand. Check pallet heights when used.
Verify a minimum clearance of 8 feet between the array and the nearest traffic lane.
Contact the district traffic engineer for recommendations if the clearance to the traffic
lane cannot be obtained.
Verify the contractor installs Type P or Type R markers when required.
4-1203B (10) Impact Attenuator Vehicles
Verify the contractor uses an impact attenuator vehicle as a shadow vehicle in moving
closures and during placement and removal of components in stationary closures. After
placing components of stationary closures, the contractor may place the impact
attenuator vehicle in advance of the work area to protect workers and traffic.
Verify there is enough shoulder width before allowing the use of an impact attenuator
vehicle for placement and removal of components on two-lane, two-way highways.
Do not allow the use of a damaged impact attenuator vehicle.
4-1203B (11) Flashing Arrow Signs
Verify the proper types of flashing arrow signs are used.
• Verify the flashing arrow sign trailer can be leveled and plumbed.
• Verify 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.
• Confirm compliance with the minimum legibility distances.
• Verify the signs are properly aimed at approaching traffic. Pay special attention to
the aiming of the sign whenever solar-powered signs are used. The special bulbs
used with solar signs have much narrower beams than conventional bulbs and,
therefore, require greater care while being aimed.
4-1203B (12) Portable Flashing Beacons
Confirm the contractor places portable flashing beacons according to the plans and
removes them from the traveled way at the end of each night’s work.
Verify portable flashing beacons operate according to the specifications.

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Temporary Traffic Control 4-12.9
 4-1203B (13) Portable Changeable Message Signs
PCMSs are a supplement to and not a substitute for the traffic control system required
by the specifications and Standard Plans.
Verify that the trailer bearing the sign can be leveled and that the sign operates within
the required minimum and maximum heights. Verify the contractor delineates a PCMS
with a taper consisting of nine traffic cones.
Confirm the sign is placed where it is most visible to approaching motorists. Check that
the sign complies with the visibility and legibility requirements. Pay special attention to
locations where vertical or horizontal curvature restricts the sight distance. Drivers
should be able to read the entire message at least two times before passing the sign.
Confirm the signs display only pre-approved messages and that the messages conform
to the Changeable Message Sign Guidelines, and district and Caltrans policy. The Traffic
Operations Headquarters Division’s Changeable Message Sign Guidelines provides a
listing of approved abbreviations for PCMSs. Prohibit messages that do not convey real-
time information to the motorist. Examples of unacceptable messages include “Drive
carefully,” “Have a Nice Day,” and “Thank you.”
PCMSs are working equipment when actively displaying a message, otherwise they are
nonoperating. Ask the contractor to remove nonoperating portable message signs from
the job site away from traffic or protect it in accordance with Section 7-1.04 “Public
Safety,” of the Standard Specifications. Consult with the district traffic engineer for other
acceptable means to protect the sign in lieu of the Type K temporary railing required by
the specifications. In many cases, placing a PCMS behind existing guard railing will
protect it.
PCMSs are required only during times, places, or activities stated in the plans and
specifications and are not required when the traffic control system is nonoperational or
for discretionary use.
4-1203B (14) Temporary Signal Systems
Verify the planned temporary signal system includes a backup power source and
automatic transfer switches.
Do not allow the use of power from private parties to power the temporary signal system.
If a system shutdown occurs, planned or unplanned, the contractor should provide
flaggers to control traffic until the traffic signals are functioning correctly.
Periodically review the temporary signal system to document its maintenance. Record
inspection dates and conditions observed in the project records.
4-1203B (15) Temporary Flashing Beacon Systems
Verify the temporary flashing beacon system includes a backup power source and
automatic transfer switches.
Do not allow the use of power from private parties to power the temporary flashing
beacon system.
Verify temporary flashing beacon systems are relocated as work progresses according to
the specifications.
4-1203B (16) Automated Work Zone Information Systems
Provide the contractor with the message content and the thresholds used for triggering

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4-12.10 Temporary Traffic Control
when the messages will be displayed. Consult with the district traffic manager for
assistance with these items.
When necessary ask the contractor to adjust placement or message content of signs based
on changing project or traffic conditions.
4-1203C Maintaining Traffic
4-1203C (1) Traffic Control Systems
Do not allow the contractor to close two adjacent ramps in the same direction of travel
unless necessary because of the operation or project conditions. Require the contractor
to set up an off-the-highway detour before closing all ramps in both directions of travel
at the same interchange.
Verify the contractor follows the notification and signing requirements before setting up
any traffic control systems.
Remind the contractor of Americans with Disabilities Act requirements if the traffic
control system will affect pedestrian traffic and a temporary pedestrian facility is needed.
4-1203C (1a) Closure Schedules
Confirm the contractor submits a schedule of planned closures in advance as required by
Section 12-4.02A(3), “Submittals,” of the Standard Specifications. Closures that will
reduce horizontal or vertical clearances require even more notification. Inform the
Transportation Permits Unit 15 days in advance of the closure. This notification affords
Caltrans the opportunity to coordinate work within the highway corridor.
Confirm the contractor’s closure requests comply with the closure charts. Review the
requests to avoid oversights and to identify and reduce the number of unnecessary
requests (overbooking).
4-1203C (1b) Contingency Plans for Closures
If the contractor fails to reopen the highway according to the closure charts, suspend
work and request a detailed written construction contingency plan demonstrating that the
highway will be opened in a timely manner in the future (refer to Section 2-214D,
“Construction Contingency Plan,” of this manual).
Do not permit any closures until the contractor submits this plan and it is authorized in
accordance with the specifications.
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.
4-1203C (1c) Lane Closure System
• Confirm the contractor’s employee uses the assigned user identification to submit
the closure requests in the LCS. The closure requests are stored with a “SAVED”
status.
• Review the closure requests for compliance with the closure requirements charts and
other contract requirements. If you accept the closure request, the status will change
to “PENDING.” If you reject the closure request, LCS will send the contractor an

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Temporary Traffic Control 4-12.11
 email asking for a correction and resubmission.
• Verify the district traffic manager reviews the closure requests for conflicts before
approving it. The status in LCS will change to “APPROVED.” The LCS will notify
the contractor by email of the approval or rejection.
• Confirm the contractor cancels scheduled closures that are not needed at least 2 days
in advance, using the LCS. The LCS will generate email notifications to the resident
engineer and the district traffic manager when the contractor cancels a closure.
4-1203C (1d) Status Updates for Authorized Closures
During the course of work, monitor the contractor’s activities to verify closures are
statused in LCS as follows:

• Stationary closures on a traffic lane are 10-97 before placing the first cone on the
traffic lane, and 10-98 after removing all the cones from the traffic lane.
• Stationary closures on the shoulder are 10-97 before placing the first cone after the
last advance warning sign, and 10-98 after removing the last cone before the advance
warning signs.
• Moving closures are 10-97 before the actual start time of the closure, and 10-98 after
the actual end time of the closure.
• Closures not needed on the authorized date are 10-22 within 2 hours after the
authorized start time.
The LCS will notify the resident engineers and designated inspectors by email when the
contractor changes the status of a closure.
If a contractor is unable to access the LCS Mobile web page, obtain the closure status
from the contractor and notify the transportation management center.
Keep the project’s completion dates current in the LCS. The contractor will not be able
to access projects in LCS after the completion date.
4-1203C (1e) Field Adjustments
Field adjustments to the traffic handling plans are frequent occurrences. Adjustments
should be made to create adequate sight distance, to avoid locations that require drivers
to make multiple decisions, to accommodate expected queues, and to coordinate
activities at multiple locations. The following are typical situations where field
adjustments are necessary:
• T Series Standard Plans—Show minimum acceptable standards for traffic control.
Increasing taper lengths, addition of extra signs, and increasing sign spacing to allow
for traffic queuing are all acceptable measures as long as the Standard Plan
minimum requirements are met.
• Signs—Review sign line of sight visibility and verify it complies with Section 12-
3.11, “Construction Area Signs,” of the Standard Specifications. Signs should not
be placed at the apex of horizontal curves, crests of vertical curves, or where trees
or bushes hinder visibility of the sign.
• Vertical and horizontal curves—Verify 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

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4-12.12 Temporary Traffic Control
 taper. (Under ideal conditions, all advance warning signs and the taper would be in
a tangent with the taper placed on a slight upgrade for improved visibility.)
• Ramps and connectors—Managing ramps and connectors within a closure requires
additional consideration. Extend exit ramp tapers back through the 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 advance 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 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 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. Confirm that
the contractors are coordinating placement and pick up of the closure so that the
traffic control system is maintained in accordance with the Standard Plans at all
times.
• 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.
Confirm advance warning signs for the new taper are located correctly.
If long closures are unavoidable, protect the active work area by placing barricades or
drums across the closed lanes, upstream of the work area. Also, when possible, use
barrier vehicles or an impact attenuator vehicle between the approaching motorist and
workers on foot.
4-1203C (1f) Placement Sequence and the Start of Work
Verify the contractor completely installs the traffic control system before commencing
work. An impact attenuator vehicle must be used for the placement and removal of
temporary traffic control devices when required by the contract. The following are some
possible installation procedures that may be used by the contractor, 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 W20-1 “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.

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Temporary Traffic Control 4-12.13
 4-1203C (1g) Drive-Through Inspection
After installation and when the inspector is available, make a drive-through inspection
of the system. During the inspection, drive through the system as though you had no
knowledge of the work zone. Confirm the intended vehicle path is clearly visible.
Remember that the motorist has no knowledge of the traffic control plan and is entirely
dependent on the system for warning and guidance. Document this inspection in the
daily report; indicate weather, traffic conditions, and time of inspection.
4-1203C (1h) Maintenance
Verify contractors are assigning personnel and maintaining closures in accordance with
the T Series Standard Plans. 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 damaged by
traffic.
4-1203C (1i) Reverse Operations Inside Closures
Workers may operate vehicles opposite the flow of traffic inside a closed lane only with
the prior authorization of the resident engineer. Certain equipment, like dike placement
machines, can only operate off one side of the equipment and may need to be operated
against live traffic. Similarly, certain striping operations require the operator to operate
against live traffic due to clearances.
The following practices are recommended if opposing operations are undertaken:
• During daylight operations, the vehicles facing oncoming traffic should have their
headlights and their flashing amber lights turned on at all times.
• During night operations, the vehicles should have their headlights turned off and
their hazard lights and flashing amber lights turned on.
• At no time should a U-turn be permitted in traffic.
4-1203C (2) Pedestrian Facilities
• Confirm the contractor provides another walkway nearby, off the traveled way,
when the construction activities require the closure of a walkway.
• Verify the contractor provides overhead covering, overhead lighting, or both when
required.
• Verify the walkway is Americans with Disabilities Act compliant.
4-1203C (3) Bridge Cleaning and Painting Activities
• Verify the required signs are placed during the cleaning and painting activities and
removed at the end of each work shift.
• Verify the traveled way is free of obstructions and residue before opening the area
to traffic.

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4-12.14 Temporary Traffic Control
4-1203D Temporary Pavement Delineation
• Verify temporary or permanent pavement delineation is in place before opening the
traveled way to traffic.
• Verify temporary pavement markers are the same color as the lane line or centerline
markers being replaced. Confirm the contractor uses the long-term temporary
pavement marker for 180 days or less and the short-term temporary pavement
marker for 14 days or less.
• Do not allow the application of temporary pavement delineation over existing
pavement delineation.
• Verify removal of any temporary delineation that conflicts with any subsequent or
new traffic pattern for the area.
4-1203D (1) Temporary Pavement Markers
• Do not allow the use of epoxy adhesive to place pavement markers in areas where
the removal of the pavement markers is required.
• Temporary pavement markers will not adhere to a cold in-place recycling surface.
Use alternate methods to delineate this type of surface.
• Use of 180-day temporary pavement markers on an open-graded surface is not
advised, when removed the marker glue can peel up the open grade.
4-1203D (2) Channelizers
• Verify channelizers used for temporary edge line delineation are predominantly
orange and the surface mounted type.
4-1203D (3) Temporary Lane Line and Center Delineation
• Verify pavement marker spacing.
• Verify the contractor installs the temporary no-passing zone signs if no-passing
centerline pavement delineation is obliterated. Determine the exact location of the
temporary signs and when they are no longer needed for the direction of traffic.
• Verify no-passing zone signs are removed when no longer required.
4-1203D (4) Temporary Edge Line Delineation
• Verify the contractor cements the bases of channelizers used for temporary edge line
delineation as specified.
• Allow the use of paint only if the temporary traffic stripe is not required to be
removed.
4-1203D (5) Temporary Traffic Stripe Tape
• Verify that temporary traffic stripe tape for use more than 14 days is applied
according to the specifications, and temporary traffic stripe tape to remain in use 14
days or less is applied according to the manufacturer’s instructions.
4-1203D (6) Temporary Traffic Stripe Paint
• Review Section 84-2.03, “Construction,” of the Standard Specifications for the
application requirements for temporary traffic stripe paint.

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Temporary Traffic Control 4-12.15
 4-1203D (7) Temporary Pavement Marking Tape
• Verify that temporary pavement marking tape to remain in place more than 14 days
is applied according to the specifications, and that temporary pavement marking tape
to remain in place 14 days or less is applied according to the manufacturer’s
instructions.
4-1203D (8) Temporary Pavement Marking Paint
• Review Section 84-2.03, “Construction,” of the Standard Specifications for the
application requirements for temporary pavement marking paint.
4-1203E Temporary Pavement Delineation for Seal Coats
• Verify the contractor installs the temporary no-passing zone signs if no-passing
centerline pavement delineation is obliterated. Determine the exact location of the
temporary signs and when they are no longer needed for the direction of traffic.
• Verify temporary pavement delineation is maintained until it is replaced with the
permanent pavement delineation. Direct the contractor to remove any temporary
pavement delineation that conflicts with the permanent pavement delineation.

4-1204 4-1204 Level of Inspection

Level of Inspection Intermittent day and night inspections to verify compliance with visibility and legibility
requirements for:
1. Retroreflective bands on portable delineators.
2. Retroreflective sheeting on channelizers.
3. Retroreflective sleeves on traffic cones.
4. Construction area signs.
5. Portable changeable message signs.
6. Flashing arrow signs.

4-1205 4-1205 Quality Control

Quality Control While specific levels of quality control for temporary traffic control are not included in
Section 12 of the Standard Specifications, the contractor is responsible for providing
quality control under Sections 5-1.01, “General,” and 6-2.02, “Quality Control,” of the
Standard Specifications.

Verify that the contractor schedules and conducts a meeting to discuss the operation of
impact attenuator vehicle as required under Section 12-3.23A(4), “Quality Assurance,”
of the Standard Specifications. Verify attendance of subcontractor’s and other
contractor’s personnel involved with traffic control. Ensure your designated staff and
other state staff involved with traffic control attend the meeting when possible.

4-1206 4-1206 Payment

Payment The following guidelines are for measuring and paying for various traffic control devices
for construction areas.
4-1206A Flagging
Section 12-1.04 “Payment,” of the Standard Specifications requires that the cost of
providing flaggers be divided equally between Caltrans and the contractor. Determine

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4-12.16 Temporary Traffic Control
the total cost using the force account method. The contractor is to be paid one-half of the
computed total amount.
The division of costs applies to all flagging required to perform the planned work except
in special situations cited in the special provisions. Caltrans’ share of flagging costs is to
be paid only when public traffic is involved.
The cost of providing flaggers includes the cost of transporting personnel between a
central point and the location of the work, or from one location to another as necessary.
The cost does not include the costs of placing, maintaining, and removing construction
area signs or lighting for nighttime operations during flagging operations nor does it
include the cost of the pilot car or pilot car operator. That cost is paid as part of the
contract item for traffic control system.
The flagging costs incurred in connection with increased or decreased work paid for at
contract prices will be subject to the 50-50 split. It is assumed that the 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 in accordance with Section 4-
1.05 “Changes and Extra 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.
4-1206B Temporary Traffic Control Devices
4-1206B (1) Traffic Cones
Traffic cones are paid for as part of the contract item for the traffic control system.
4-1206B (2) Plastic Traffic Drums
Count the plastic traffic drums for payment as they are placed in the locations shown on
the plans. Drums used instead of cones, barricades, or delineators as part of a traffic
control system or used as specified under “Public Safety” section in the contract are not
to be paid for at contract item price.
4-1206B (3) Portable Delineators
Portable delineators are paid for as part of the contract item for the traffic control system.
4-1206B (4) Channelizers
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.
4-1206B (5) Barricades
Initial placement of each barricade 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 should be repaired at the contractor’s expense,
regardless of the cause, including damage by public traffic.

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Temporary Traffic Control 4-12.17
 4-1206B (6) Construction Area Signs
Construction area signs, except those used in traffic control systems for 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.
4-1206B (7) Type K Temporary Railing
Review the “Public Safety” section in the contract. Do not use the contract item for Type
K temporary railing to pay for temporary railing that is placed to fulfill the requirements
of the “Public Safety” section.
Withhold some payment from progress pay estimates to cover the cost of removing Type
K temporary railing
4-1206B (8) Temporary Traffic Screens
Measure and pay temporary traffic screen according to the specifications.
4-1206B (9) Temporary Crash Cushion Modules
Review the “Public Safety” section in the contract. Do not use the contract item for
temporary crash cushion modules to pay for temporary crash cushion modules that are
placed to fulfill the requirements of the “Public Safety” section.
Withhold some payment from progress pay estimates to cover the cost of removing
temporary crash cushion modules.
4-1206B (10) Impact Attenuator Vehicles
Impact attenuator vehicle is paid for as part of the contract item for the traffic control
system.
4-1206B (11) Flashing Arrow Signs
Flashing arrow signs are paid for as part of the contract item for the traffic control system.
4-1206B (12) Portable Flashing Beacons
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.
4-1206B (13) Portable Changeable Message Signs
The contract item for PCMSs, commonly bid as “furnish-each” or “furnish-lump sum,”
includes all costs for placement, operation, maintenance, relocation, and removal of the
signs.
Direct the contractor to provide PCMSs for use not otherwise provided for in the
contract, with a minimum notice of 1 full working day. Payment is computed as extra
work.

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4-12.18 Temporary Traffic Control
4-1206B (14) Temporary Signal Systems
The lump sum payment for this item includes all the costs of hauling Department-
furnished materials between the designated pickup locations, the project, and the
designated salvage location. If the pickup or salvage location is changed, then additional
costs or savings to Caltrans should be recognized.
Flaggers are not a shared cost if the contractor provides them as a result of a shutdown
of the signals for any reason. This provision is an exception to the general practice of
sharing the cost of flaggers.
4-1206B (15) Temporary Flashing Beacon Systems
The contract item for a temporary flashing beacon system, commonly bid as “furnish-
each” or “furnish-lump sum,” includes all costs for placement, operation, maintenance,
relocation, and removal of the system.
4-1206B (16) Automated Work Zone Information Systems
The lump sum payment for this item includes all costs for placement, operation,
maintenance, relocation, and removal of the Automated Work Zone Information
System.
4-1206C Traffic Control Systems
For all project work, the lump sum payment for the traffic control system includes
payment for all labor, equipment, and materials to install, maintain, and remove the
traffic control system as shown on the plans or Standard Plans. The contract item for the
traffic control system includes payment for portable signs, cones, delineators, and
flashing arrow signs as shown on the plans for the traffic control system and impact
attenuator vehicle.
Include compensation or credit in the change order when an ordered change in the work
affects the contract item for the traffic control system.
Traffic control costs in support of extra work are to be paid as part of the extra work.
Compute the payment as a force account or as an adjustment of compensation based on
a force account analysis. The change order that authorizes the extra work should reflect
these costs.
In addition to adjustments for ordered changes, consider adjustments to the contract item
for the traffic control system when the following circumstances exist and result in
additional 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 closures
required.
• The additional 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.

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Temporary Traffic Control 4-12.19
Chapter 4 Construction Details

Section 15 Existing Facilities

4-1501 General
4-1502 Before Work Begins
4-1503 During the Course of Work
4-1503A Removing Concrete
4-1503B Salvaging Materials
4-1504 Level of Inspection
4-1505 Payment

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Existing Facilities 4-15.i
Chapter 4 Construction Details
Section 15
Section 15 Existing Facilities Existing
Facilities
4-1501 General 4-1501
The information in this section corresponds to Section 15, “Existing Facilities” of the General
Standard Specifications. The following sections of the Standard Specifications have
related information:
• Section 5-1.36, “Property and Facility Preservation”
• Section 7-1.05, “Indemnification”
• Section 7-1.06, “Insurance”
The work described in this section includes abandoning, adjusting, modifying,
obliterating, reconstructing, relaying, relocating, remodeling, removing, repairing, or
resetting a facility. The work may overlap with the area that must be cleared and
grubbed, as specified in Section 17-2, “Clearing and Grubbing,” of the Standard
Specifications.
The contractor is required to protect all existing facilities, whether described in the
contract or not, that are to remain in place, temporarily or permanently. When existing
facilities are damaged as a result of the contractor’s operations, the contractor is
responsible for repair or replacement. Caltrans is responsible for repair or replacement
of existing facilities that are damaged by public traffic.
Check for cooperative agreements where existing facilities transition onto local agency
right-of-way. A local agency may maintain the existing facilities.
4-1502 Before Work Begins 4-1502
Before work begins, do the following: Before Work
Begins
• Inspect existing facilities that are to be relaid, reset, relocated, or reconstructed. If
their condition has deteriorated sufficiently to prevent the planned use, write a
change order to provide for new materials.
• When facilities to be removed belong to a city, county, or other agency, check with
the applicable agency before disturbing the facility.
• The district Maintenance Unit maintains existing signals and lights. Keep the
maintenance region manager informed of specific needs or changes.
• Document existing conditions with photographs or video.
4-1503 During the Course of Work 4-1503
During the work, take the following steps for removing concrete and salvaging During the Course
materials. of Work
4-1503A 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

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Existing Facilities 4-15.1
 include the following:
• Removal to the specified minimum depth below finished grade. Record your
observations in the daily report and note that the minimum depth requirements
have been met.
• Disposal into adjacent embankments. Refer to Section 19-6, “Embankment
Construction,” of the Standard Specifications. Note that both lateral and vertical
limitations are met. Include disposal locations on the as-built plans.
• Breakage of floors of concrete basements, pits, and structures to prevent
entrapment of water. Note the inspections in the daily report.
4-1503B Salvaging Materials
During salvage operations, the contractor is responsible for any loss or damage. Keep
accurate records of inventory to ensure that all materials to be salvaged are delivered in
suitable condition to the specified location. For additional guidelines for handling
materials to be salvaged, refer to Section 3-4, “Scope of Work,” of this manual.

4-1504 4-1504 Level of Inspection

Level of Inspection The suggested level of inspection for work activities associated with existing facilities,
including removing concrete and salvaging materials, is intermittent inspection.

4-1505 4-1505 Payment

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

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4-15.2 Existing Facilities
Chapter 4 Construction Details

Section 16 Temporary Facilities

4-1601 General
4-1602 Before Work Begins
4-1602A Temporary Pedestrian Facilities
4-1602B High-Visibility Fences
4-1602C Temporary Construction Mats
4-1603 During the Course of Work
4-1603A Temporary Pedestrian Facilities
4-1603B High-Visibility Fences
4-1603C Temporary Construction Mats
4-1604 Level of Inspection
4-1605 Quality Control
4-1606 Payment

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Temporary Facilities 4-16.i
Chapter 4 Construction Details
Section 16
Section 16 Temporary Facilities Temporary
Facilities
4-1601 General 4-1601
This section provides guidelines for inspecting temporary facilities for work specified General
under Section 16, “Temporary Facilities,” of the Standard Specifications. The
specification includes Sections 16-2.02, “Temporary Pedestrian Facilities”; 16-2.03,
“High-Visibility Fences”; 16-2.04, “Temporary Construction Mats”; and 16-2.05, “Job
Site Water Control.”
The contractor may make use of used materials for temporary facilities if the used
materials comply with the specifications for new materials.
4-1602 Before Work Begins 4-1602
All temporary facilities must be well maintained as long as they are needed and Before Work
disposed of when they are no longer needed. Begins
4-1602A Temporary Pedestrian Facilities
Review Section 12-4.04, “Pedestrian Facilities” of the Standard Specifications.
Ensure that temporary pedestrian facilities are in compliance with California MUTCD,
Part 6, Chapter 6D, “Pedestrian and Worker Safety.”
Ensure that lighting is in compliance with the specifications for falsework lighting in
Section 48, “Temporary Structures,” of the Standard Specifications.
Request shop drawings and supporting calculations for temporary pedestrian facilities
designed by the contractor. Verify shop drawings and calculations are signed by an
engineer who is a California-licensed civil engineer.
4-1602B High-Visibility Fences
Ensure that high-visibility fence is shown on the Bid Item List as a temporary fence
(Type ESA).
Upon delivery of the materials to the job site, ensure that certificates of compliance are
submitted for high-visibility fabric. All other fencing materials must be field inspected
and released by the engineer. Refer to Section 6-202, “Responsibilities for Acceptance
of Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
Arrange for necessary control staking when the contractor has submitted the required
survey request.
Fences should not obstruct flow in streams or drainage areas.
4-1602C Temporary Construction Mats
Ensure that temporary construction mat is shown on the Bid Item List as a temporary
wetland protection mat.

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Temporary Facilities 4-16.1
 The contractor must submit a schedule for the placement and removal of the mats.
Include the location, mat type, and placement and removal dates for each location.
Describe the method of installing and removing the mats.

4-1603 4-1603 During the Course of Work

During the Course of
4-1603A Temporary Pedestrian Facilities
Work
Ensure the pedestrian facility is surfaced with asphalt concrete, commercial-quality
concrete, or wood. The surface must be firm, skid resistant and free of irregularities.
Ensure handrails are provided on each side of a temporary pedestrian facility as
necessary to protect pedestrian traffic from hazards due to work activities or adjacent
vehicular traffic.
Verify the minimum width between the inside face of the handrails and the clear height
of the facility meet the contract requirements. Ensure adequate lighting is provided at
all times.
Verify overhead protection for pedestrians extends at least 4 feet beyond the edge of
the bridge deck and all pedestrian openings through falsework are illuminated.
4-1603B High-Visibility Fences
Observe the placing of fence posts. Also, measure the spacing of posts and measure the
depth of holes to ensure placement to proper depths. Note such measurements in the
daily report. Spacing should not exceed the spacing specified or shown on the plans.
Decide on which side of the posts the contractor should place fabric when the side is
not specified.
Inspect the fastening of fabric to wood posts with nails or to steel posts with tie wires or
locking plastic fasteners at a maximum spacing of 8 inches.
Ensure the contractor is maintaining posts in a vertical position, reattaching any
detached fabric and replacing any damaged fabric.
4-1603C Temporary Construction Mats
Inspect that mats provide a continuous cover over the wetlands and openings around
any columns or other obstacles are sealed.
Inspect that mats are free from soil, seeds, or other organic or hazardous material
before entering the work area.
Inspect the mats and immediately inform the contractor to replace or repair damaged or
broken mats.
When no longer needed, confirm that mats are moved to a washout location and
cleaned before they are removed from the job site.
4-1604 4-1604 Level of Inspection
Level of Inspection Suggested levels of inspection for work activities included in temporary facilities are:
• Benchmark inspection of temporary facilities locations and alignments.
• Intermittent inspection during placement of temporary facilities.
• Benchmark inspection to ensure temporary facilities are properly maintained.

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4-16.2 Temporary Facilities
• Benchmark inspection to ensure the proper disposal of temporary facilities when
they are no longer needed.
4-1605 Quality Control 4-1605
While specific levels of quality control sampling and testing for temporary facilities are Quality Control
not included in Section 16, “Temporary Facilities,” of the Standard Specifications, the
contractor is responsible for providing quality control under Sections 5-1.01,
“General,” and 6-2.02, “Quality Control,” of the Standard Specifications.
4-1606 Payment 4-1606
For the basis of measurement and payment, refer to the appropriate sections of the Payment
special provisions and Standard Specifications. Make partial payments to account for
placement, maintenance, and removal of various items under Temporary Facilities.

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Temporary Facilities 4-16.3
Chapter 4 Construction Details
Section 17
Section 17 Clearing and Grubbing Clearing and
Grubbing
4-1701 General 4-1701
This section covers clearing and grubbing. Clearing and grubbing is usually one of the General
first work items and is generally paid as a lump sum item or by the acre. During
clearing and grubbing, pay special attention to the preservation of property and
environmentally sensitive areas.
4-1702 Before Work Begins 4-1702
Before work begins, do the following: Before Work
Begins
• Review the plans, special provisions, and right-of-way agreements for details that
may require special staking or issuing change orders.
• Ensure the approval of the water pollution control plan. Review the plan to ensure
clearing and grubbing conforms to the water pollution control plan.
• Ensure the clear marking of features and facilities that are to be preserved. Review
and verify the contractor’s submitted list of existing irrigation system deficiencies.
• Discuss with the contractor such items as the marking of any special locations,
including environmentally sensitive areas and any other 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. Refer to Section 5-1.20B(4), “Contractor-Property Owner
Agreement,” of the Standard Specifications to determine the contractor’s
necessary actions.
• If a planned disposal site is not available for state use, discuss the Caltrans policy
in Section 7-103H, “Disposal, Staging, and Borrow Sites,” of this manual with the
contractor. To ensure mutual understanding and agreement, hold a joint meeting
including the contractor, environmental-construction liaison, and appropriate
regulatory agencies. The contractor must obtain and submit permits, environmental
studies, and documentation, among other items required by agencies having
jurisdiction over the site. If the contractor satisfies all submittal requirements for
the disposal site, provide written authorization for disposal outside the highway
right-of-way.
• Before allowing the contractor to chip plant materials for disposal on the job site,
investigate to determine if plant disease or insect pests would 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.

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Clearing and Grubbing 4-17.1
 4-1703 4-1703 During the Course of Work
During the Course of During the work, take the following steps:
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, and consult with the district environmental-construction liaison for
review and comment.
• Determine the limits of clearing areas that do not require stump removal and check
the height of stumps above natural ground.
• Determine if dead, dying, or otherwise unstable trees in the right-of-way but
outside the clearing limits constitute a hazard. Any such trees should be removed.
• When burial of debris within the right-of-way is permitted, ensure the debris will
not act as a permeable layer, does not block drainage, and will not interfere with
maintenance. Also, ensure no material is buried within the roadway prism unless
otherwise allowed in the special provisions.
• Ensure that the burial of debris, both on and off the right-of-way, is not
aesthetically detrimental and does not create contamination problems. Keep
accurate records whenever any solid waste that might interfere with future work is
disposed of by burying it adjacent to the roadway. Show this information on the
as-built plans.
• When burning is permitted, ensure the contractor has obtained a permit from the
air pollution control officer of the local or regional authority. Prohibit burning at
locations where the smoke will impede visibility for public traffic. Ensure the
contractor takes adequate precautions, such as constructing fire trails and posting
guards, to prevent the uncontrolled spreading of fires. When poison ivy, oak, or
sumac is present in areas where burning is otherwise permitted, ensure the burning
of such material complies with any local ordinances or safety regulations.
• Ensure that tree branches extending over the roadway are cut off as required by
Section 17-2.03B, “Clearing,” of the Standard Specifications. During the removal
of additional branches, direct the contractor to give the trees a balanced
appearance.
• A checklist showing locations where clearing is incomplete may be necessary in
the final stages of the operation. Complete payment should not be made until all
areas have a neat and finished appearance.

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4-17.2 Clearing and Grubbing
4-1704 Level of Inspection 4-1704
Suggested levels of inspection for clearing and grubbing work activities are: Level of Inspection
• Benchmark inspection for typical clearing and grubbing work, such as removal of
trees, stumps, roots, bushes, and other vegetation or debris.
• Intermittent inspection for more complex clearing and grubbing work that involves
environmentally sensitive areas.
4-1705 Payment 4-1705
If the clearing and grubbing work is not completed within one pay period, make Payment
monthly progress payments that represent the percentage of work completed.

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Clearing and Grubbing 4-17.3
Chapter 4 Construction Details

Section 18 Dust Palliatives Section 18

Dust Palliatives
4-1801 General 4-1801
Dust palliatives are used to stabilize soil and aggregates to control dust during General
construction as required in Sections 7-1.03, “Public Convenience,” and 10-4, “Water
Usage,” of the Standard Specifications. Dust palliatives include water, dust
suppressants, and dust control binders as provided in Section 18, “Dust Palliatives,” of
the Standard Specifications.
4-1802 Before Work Begins 4-1802
Identify construction activities that will require use of dust palliatives. Typical Before Work
construction activities that require dust control are: Begins
• Clearing, excavation, and grading
• Use of unpaved roads and staging areas
• Demolition of concrete facilities
• Stockpiles
• Aggregate and soil loading and unloading
If a dust suppressant or dust control binder is to be used, ensure that the contractor
submits a dust treatment plan before start of job site activities. Review the dust
treatment plan for application methods and rates, required weather conditions for
application, and drying or curing time. Also review the manufacturer's instructions.
4-1803 During the Course of Work 4-1803
During the course of construction, ensure that: During the Course
•
of Work
Dust suppressant is applied to temporary haul roads; staging, material storage, and
layout areas; compacted soil, AB roads, or driveways; and paved surfaces and
other areas identified in the project specifications.
• Dust control binder is applied to rough-graded soils, completed slopes, and
stockpiles (unless another practice is used).
• Dust suppressant or dust control binder is not applied to areas within 100 feet of a
wetland or body of water.
4-1804 Level of Inspection 4-1804
Level of
Suggested level of inspection for typical work requiring application of dust palliatives
for dust control are: Inspection

• Continuous inspection during initial application of dust suppressant or dust control

binder to verify application equipment and application rates. Verify adequate cure
of dust suppressant before opening treated areas to traffic.

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Dust Palliatives 4-18.1
 • Intermittent inspection to monitor construction activities that require dust
palliatives: daily when water is used, weekly when a dust suppressant or dust
control binder is used.
4-1805 4-1805 Quality Control
Quality Control For dust suppressant, verify test results listed on the certificate of compliance are in
compliance with specified values for quality characteristic requirements and
environmental requirements.

4-1806 4-1806 Payment

Payment The resident engineer must keep sufficiently detailed records to differentiate and
support payment for ordered dust control versus contract bid item work while also
excluding portions for which payment is included in the bid items involved. Record
verbal agreements about payment in the daily report.

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4-18.2 Dust Palliatives
Chapter 4 Construction Details

Section 19 Earthwork
4-1901 General
4-1902 Before Work Begins
4-1902A Roadway Excavation
4-1902B Blasting
4-1902B (1) Safety Considerations
4-1902B (2) Routine Duties
4-1902C Ditch Excavation
4-1902D Structure Excavation and Backfill
4-1902E Embankment Construction
4-1902F Borrow Excavation
4-1902G Shoulder Backing
4-1902H Subgrade Enhancement Geosynthetic
4-1903 During the Course of Work
4-1903A Roadway 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 Groundwater
4-1903B Structure Excavation and Backfill
4-1903B (1) Structure Excavation
4-1903B (2) Structure Backfill
4-1903C Ditch Excavation
4-1903D Embankment Construction
4-1903E Compaction
4-1903F Borrow Excavation
4-1903G Shoulder Backing
4-1903H Subgrade Enhancement Geosynthetic
4-1904 Level of Inspection
4-1905 Quality Control
4-1906 Payment
4-1906A Roadway Excavation
4-1906B Structure Excavation and Backfill

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Earthwork 4-19.i
 4-1906C Ditch Excavation
4-1906D Borrow Material
4-1906E Shoulder Backing
4-1906F Subgrade Enhancement Geosynthetic

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4-19.ii Earthwork
Chapter 4 Construction Details

Section 19 Earthwork Section 19

Earthwork
4-1901 General 4-1901
Earthwork includes operations connected with roadway excavation, repair of slope General
failures, blasting, structure excavation, backfill, ditch excavation, compaction,
embankment construction, grading, borrow excavation, placement of subgrade
enhancement geosynthetic (SEG), placement of shoulder backing, and removal of
unsuitable material or a buried man-made object. For earthwork requirements, refer to
Section 19, “Earthwork,” of the Standard Specifications. Also refer to Sections 10-5,
“Dust Control,” and 17-2, “Clearing and Grubbing,” of the Standard Specifications.
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.
4-1902 Before Work Begins 4-1902
Resident engineers and assistant resident engineers must do the following to prepare Before Work
for earthwork operations: Begins
4-1902A Roadway Excavation
• Review right-of-way agreements, environmental reports, and other data about
earthwork. Advise the contractor of any features that may require special handling.
Take steps to ensure that environmentally sensitive areas are protected.
• Before any excavation, under California Government Code, Section 4216,
“Regional Notification Center System,” the contractor must notify the regional
Underground Service Alert (USA) notification center by calling 811 or submitting
an electronic ticket request at least 2 days before excavating. To ensure that the
contractor has notified the regional USA notification center, request the contractor
provide the ticket number issued by the USA center. Caltrans is not affiliated with
USA, so Caltrans is not notified to mark out Caltrans underground facilities. To
ensure that existing Caltrans underground facilities are identified before allowing
the contractor to excavate, contact the local electrical maintenance regional
manager for help in locating Caltrans facilities. To help identify any Caltrans
facilities within the right-of-way, such as irrigation systems, signal and lighting
systems, ramp metering systems, traffic monitoring stations and communication
conduits, obtain the latest utility “as-built” from the Electrical Maintenance Unit.
• Review the information handout regarding permits; hazardous waste, asbestos or
lead investigation reports; and optional disposal sites.
• Make a preliminary check of earthwork quantities. Decide how quantities will be
measured for partial payments. Refer to Section 4-1906, “Payment” of this
manual.

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Earthwork 4-19.1
 • Review the status of utility relocation work. Advise the contractor of any changes
that may affect the work. Refer to Section 3-518C, “Nonhighway Facilities,” of
this manual for more details on utilities.
• Ensure the clear marking of features and facilities that are to be preserved.
• Review and verify the contractor’s submitted list of existing irrigation system
deficiencies. For more information, refer to Section 20-10.02C(2), “Check and
Test Existing Irrigation Systems,” of the Standard Specifications.
• When the contract requires trench excavation, obtain from the contractor a detailed
plan showing the design of shoring, bracing, sloping, or other provisions for
worker safety. Ensure either that a licensed civil or structural engineer signs the
plan or that it conforms to the shoring system standards established by the
Construction Safety Orders (CSOs) of the Department of Industrial Relations,
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 licensed 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 Structure Construction in
the same manner as for falsework drawings. Structure Construction will obtain the
railroad company’s approval and notify the resident engineer. For additional
details, refer to Structure Construction’s Bridge Construction Records and
Procedures manual, Vol. 2, and the Caltrans Trenching and Shoring Manual.
After review by Structure Construction and approval by the railroad company,
return one set of the plans to the contractor with a written statement that, “The
plans are approved under Section 5-1.23B(2), “Shop Drawings,” of the Standard
Specifications. Structure Construction manuals are available at:
http://www.dot.ca.gov/hq/esc/construction/manuals/

• 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.
• Verify that the contractor’s plan to control water pollution has been approved and
implemented before beginning work. Refer to Section 13, “Water Pollution
Control,” of the Standard Specifications.
4-1902B Blasting
4-1902B (1) Safety Considerations
All blasting work must be conducted in strict accordance with the CSOs or a properly
approved alternate safety plan. An alternate safety plan is required when a 45-foot clear
zone cannot be maintained around the loading area, such as a blasting area adjacent to
traffic. The CSOs contain the required elements of an alternate safety plan. These
elements include low-sensitivity explosive materials, initiation systems that cannot be
affected by stray current or radio frequency energy, a system to detect lightning and
electric storms, and barriers to prevent entry by vehicular traffic.

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4-19.2 Earthwork
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
security plans 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. Some activities may
use unusual entry routes.
• Electrical storms—No explosive can be considered “safe” should lightning 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. Audible signals (as shown in the CSOs) are a widely used standard and
intended to inform workers in the area that blasting is in progress. These
signals are not intended to be meaningful to the public. The use of these
signals is the preferred method of communication within the work area.
2. Signs, guards, and flaggers should be used for public communications. The
contractor may need a separate means of communication and control for
public traffic. If radio communications will be used for site monitoring or
traffic control, ensure the contractor adheres to the safe distance tables in the
CSOs. Adhering to safe distances becomes critical when “rolling roadblocks”
or “traffic breaks” are to be used.
• Onsite 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 post-detonation inspection of the
blast area.
• The relationship between the resident engineer and the licensed blaster is different
from the relationships normally encountered on most contracts. By law and
regulation, the licensed blaster is responsible for and is the final authority on the
conduct of blasting operations. The resident engineer may only intervene in the
case of a violation of the CSOs or public safety. When intervening, the resident
engineer may only suspend the operation until the hazards are abated or the
contractor (blaster) conforms to the safety orders.
• Misfires—Misfires are very unusual occurrences, but when they occur, they pose
serious safety problems. These problems have the potential to escalate rapidly

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Earthwork 4-19.3
 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 Ditch Excavation
Before ditch excavation, review the plans and the site to determine if original ground
needs to be cross-sectioned. Most ditches will require slope stakes and, on 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.
4-1902D Structure Excavation and Backfill
To ensure the integrity of a structure, resident engineers and assistant resident engineers
must pay considerable attention to structure excavation and backfill. Various categories
of structure excavation and backfill and various methods of measurement and payment
exist. Often, the payment limits will not match the physical limits used in the
construction of a facility. Also, take the following steps:
• Before excavation, review the plans and stakes to determine the following:
1. Whether the structure will clear other facilities.
2. Whether the structure will function as planned in this location or should be
adjusted.
3. Whether sufficient data is available for quantity calculations.
• To install culverts in an embankment, ensure the embankment is at the elevation
specified.
• Decide whether a camber is required in a culvert or other drainage structure. If so,
give the survey crew or the contractor, or both, the necessary data.
• Before backfilling, inspect structures and ensure that any required strutting or
bracing, as shown on the plans, is in place.
• Test backfill material for compliance with specifications and test compaction.
4-1902E Embankment Construction
Carefully examine areas upon which embankments are to be constructed. Include a
review of the information handout and an onsite observation during clearing.

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4-19.4 Earthwork
Review permits, environmental studies, and requirements to ensure that the contractor
meets all commitments, including any measures pertaining to providing necessary
access roads. Where work will affect areas beyond those approved for construction
purposes or involves an environmentally sensitive area, consult with the district or
regional environmental office.
Look for the following:
• Lush vegetative growth in local areas, seepage, and springs indicating
groundwater.
• Trees, brush, or fences leaning downhill, indicating slippage of the surface
material.
• Rolling, hummocky terrain, twisted trees, or lack of vegetation in otherwise
timbered areas, indicating a large slide.
When foundation problems are known during the project’s design, normally the
contract will address treatment of such areas. However, when serious problems exist
that the contract has not addressed, consult with the district materials engineer, the
geotechnical engineer, or both.
The following are some of the most common major foundation problems and the types
of solutions frequently recommended:
• The weight of the embankment displaces or consolidates material in the foundation
causing settlement. This condition is corrected by the following:
1. Removing the plastic material if it is economically feasible.
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:

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Earthwork 4-19.5
 1. Constructing a stabilization trench through the slippage plane. Stabilization
trenches, located beneath the embankment, are constructed in wet areas to
intercept and remove water from deep, unstable embankment areas. These
trenches may be major installations involving large quantities of excavation,
filter material, and drainage pipe.
2. Installing horizontal drains to drain water from the slippage plane.
3. Changing a line or grade so that the roadway is in cut or on a smaller
embankment, thus reducing the load on the slippage plane.
The contractor may often need to use combinations of the above methods for the most
troublesome foundation problems.
Before the construction of embankments, also do the following:
• When consolidation of the 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.
• If the foundation material will be displaced and consolidated, undertake additional
measures. Place a line of “telltale” or “heave” stakes 9 to 24 feet outside of and
generally parallel to the toe of the fill slope. Set these stakes to line and elevation
by normal survey methods so that they will indicate both vertical and horizontal
movement of the ground. In addition, inclinometers or slope indicators and
settlement platforms may be used. For installing these devices, contact the district
Materials Unit. Ensure that adequate cover is placed to protect settlement platforms
from damage by the grading equipment. Schedule regular monitoring and
recording.
4-1902F Borrow Excavation
If the contractor requests that import borrow be measured and paid for based on borrow
site cross sections, verify that the source of borrow is used exclusively for the project.
Coordinate testing and survey of the imported borrow material site prior to opening.
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.
4-1902G Shoulder Backing

Review the contract documents to determine the type of shoulder backing and the
locations where shoulder backing will be placed. Verify the locations in the field for
accessibility and applicability.
4-1902H Subgrade Enhancement Geosynthetic
Review the contract for the specific type of SEG. The layout plans should show the
limits of SEG (width and length). The typical cross sections should clearly show the
location of SEG within the pavement or embankment section. If separation geotextile
is used with an SEG, the pavement cross section should show the location of separation
geotextile that is typically placed at the subgrade interface (below the SEG). To
determine SEG material compliance, refer to Section 96-1.02O, “Subgrade
Enhancement Geotextile,” of the Standard Specifications. For further information on

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4-19.6 Earthwork
SEG, refer to the Subgrade Enhancement Geosynthetic Design and Construction
Guide at:
http://www.dot.ca.gov/hq/maint/Pavement/Offices/Pavement_Engineering/Pavem
ent_Foundations.html
4-1903 During the Course of Work 4-1903
Inspect the earthwork operations identified below during the work. During the Course
4-1903A Roadway Excavation
of Work
Consider the following areas when inspecting roadway excavation:
4-1903A (1) Hauling Material
For the requirements for hauling material, refer to various sections of the contract and
to Section 3-519B, “Load Limits,’’ of this manual. Section 7-1.04, “Public Safety,” of
the Standard Specifications further covers the hauling of earth, specifically with respect
to spillage of material.
4-1903A (2) Unsuitable Material
Section1-1.07, “Definitions,” of the Standard Specifications defines unsuitable material
as “Material encountered below the natural ground surface in embankment areas or
below the grading plane in excavation areas. . .” For unsuitable material, the resident
engineer’s duties include the following:
• Examine all basement material and all natural ground upon which embankments
are to be constructed. Advise the contractor of the areas and depths of material to
be removed.
• Before removing unsuitable material that is not shown on the plans or
specifications, determine the method of payment for excavation and disposal:
1. If payment will be at contract prices, record adequate measurements for
calculating quantities.
2. If the contractor requests payment to be made as extra work, obtain the request
in writing. Prepare and process a change order, and keep the necessary records
relating to extra work.
• Normally, unsuitable material may be placed in embankment or contour areas.
• Examine areas where the contractor has removed unsuitable material, and before
backfilling, decide on any necessary drainage or other corrective action.
• Advise the contractor of the type of material that will be suitable backfill. Observe
the operation to ensure it complies with specifications.
• In addition to routine data, record in the daily report all pertinent discussion with
and orders to the contractor regarding unsuitable material.
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.

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Earthwork 4-19.7
 • 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, record this decision in the change
order memorandum. Then process a change order for an ordered change or
extra work.
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. Refer to Section 5-306C, “Methods of
Payment,” of this manual for compensation methods.
• Decide where the contractor should deposit the material resulting from slides and
slipouts. When practicable, use all the material for embankments or for flattening
slopes or contour grading.
• Take before-and-after photographs of the slide area.
4-1903A (4) Slopes
The engineer responsible for earthwork must review the slope stakes and ensure
missing stakes are replaced in accordance with Section 5-1.26, “Construction
Surveys,” of the Standard Specifications. Also, refer to 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.

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4-19.8 Earthwork
• 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 that 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 that the contractor satisfies the conditions in Section 5-1.20B(4), “Contractor–
Property Owner Agreement,” of the Standard Specifications.
The following are some of the factors to analyze when determining whether there will
be an unplanned surplus (or deficiency) of roadway excavation:
• Determine adequacy of the amount of embankment estimated for subsidence of
original ground, considering different field conditions than those the design
engineer anticipated.
• Calculate variations of slopes. Even within specified tolerances, slope variances
can significantly affect quantities.
• Be alert to differences between pay quantities and the actual amount of roadway
excavation as a result of curve correction. On some projects, this difference can
significantly affect a surplus (or deficiency) of material.
• Decide whether the planned grading factors (shrinkage or swell) need to be
adjusted based on actual conditions. The factors may be adjusted in any way the
resident engineer judges to be appropriate. Appropriate judgments are based on the
following:
1. Previous experience.
2. Measurement of definable portions of excavation and resulting embankment.
3. In-place densities in excavation compared to in-place densities in
embankment.
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.

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Earthwork 4-19.9
 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.
Obtaining material from outside the project’s limits may require the processing of a
“public interest finding.” 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 change order to
substitute the selected material for planned aggregate subbase.

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4-19.10 Earthwork
Do not order the contractor to stockpile the selected material unless stockpiling is
planned, economical, or necessary for the movement of traffic.
4-1903A (8) Excessive Groundwater
When excessive groundwater 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 change order, if necessary.
4-1903B Structure Excavation and Backfill
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
CSOs.
• To anticipate changes because of the foundation’s condition, periodically inspect
the excavation. When the foundation’s condition is not stable and requires further
investigation, contact the district geotechnical engineer to discuss the materials
information and a viable foundation investigation. In consultation with the
geotechnical engineer, direct the contractor to conduct a foundation investigation,
which may include digging test pits, drilling test borings, and performing
foundation bearing capacity tests. This additional work will be paid as extra work.
• Before fine grading begins, order any necessary additional excavation.
• Enter in the daily report any orders to increase excavation, and enter sufficient data
in the appropriate records to support additional payment.
• Pay for additional quantity by measuring such quantity and including it in the
appropriate contract records when no extra work is involved.
• Observe fine grading to ensure compliance with requirements for grade and culvert
beddings.
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 that it is adequately fluid and is placed
so that it completely fills the area around the culvert. One of the advantages of
slurry cement backfill is that it provides adequate support on the underside of pipes
where compaction of ordinary backfill material is difficult. The contractor must
avoid “floating” the culvert.

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Earthwork 4-19.11
 • 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 Materials Engineering
and Testing Services for assistance with corrosion recommendations.
4-1903C Ditch Excavation
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 Sections 53, “Shotcrete,” or 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, verify that the thicknesses of the layers meet specifications.
Also, verify that the contractor fills voids between rocks in each layer with earth or
other fine material. Record such observations in the daily report.

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4-19.12 Earthwork
• Ensure the contractor does not place rocks, broken concrete, or other solid
materials larger than 4 inches in areas where piles are to be placed or driven.
• During hillside construction or where the section changes from embankment to
excavation, ensure that benching into existing material is adequate for proper
keying of embankment material to original ground. Decide whether benching
should exceed 6 feet. If widening eliminates the need for end dumping from above,
increase the benching width to provide room for compacting equipment. Advise
the contractor accordingly, and measure the additional excavation for payment.
• Observe end dumping and prohibit its continued use as soon as normal
embankment methods can be used.
• Ensure the contractor removes from embankment areas all debris from clearing,
unless the special provisions allow otherwise. In heavy grading operations, small
gullies and canyons may be filled with loose material during pioneering and haul
road construction. During this phase, close observation is necessary so that such
areas can be recorded for future correction.
• During embankment construction, measure the cross-fall to ensure it does not
exceed specifications.
• Ensure embankment slopes comply with specified tolerances.
• Ensure surcharges and settlement periods comply with contract requirements.
4-1903E Compaction
Compaction directly affects the supporting strength of soil. The less the compaction,
the lower the supporting power when the material is saturated. The contractor must
choose the method for achieving the required compaction, and the engineer must not
direct the compaction operation.
The contractor may choose to use wetting agents, provided no detrimental effects
result.
The resident engineer’s and assistant resident engineer’s 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.
• 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 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.

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Earthwork 4-19.13
 4-1903F Borrow Excavation
During borrow excavation, the resident engineer’s duties include the following:
• Make measurements and keep adequate records for progress and final payment.
• When material is to be paid for by the ton, ensure there is sufficient moisture
testing to determine pay quantities. For more information, refer to Section 9-
1.02D, “Quantities of Aggregate and Other Roadway Materials,” of the Standard
Specifications.
• Ensure the contractor submits the necessary documents covering possible local
material sources. For details, refer to Section 3-6, “Control of Materials,” of this
manual.
4-1903G Shoulder Backing
Test the shoulder backing materials for meeting the specification. Ensure the
compaction is adequate. Make sure the shoulder backing is completed within 5 days
after placement of adjacent new surfacing.
4-1903H Subgrade Enhancement Geosynthetic
SEG material can be damaged easily if mishandled during construction. During
placement of SEG, the resident engineer should ensure that the product has been
installed correctly by adhering to the following installation requirements:
• SEG shall be placed directly on a cleared surface along the alignment to the limits
shown on the plans. The surface to receive the geogrid or geotextile, immediately
prior to placing, shall conform to the elevation tolerance and cross slopes as
specified in the plans.
• The subgrade to receive the SEG must conform to the compaction and elevation
tolerance specified in Section 25-1.03B, “Subgrade,” of the Standard
Specifications and project special provisions and must be free of loose or
extraneous material and sharp objects that may damage the SEG during
installation.
• SEG must be handled and placed in accordance with the manufacturer's
recommendations and pulled taut to form a wrinkle-free mat on the prepared
surface.
• Borders of rolled out geogrid or geotextile must be overlapped a minimum of 2
feet in the direction as ordered by the resident engineer. All roll ends must be
overlapped a minimum of 2 feet in the direction of the spreading of the aggregate
subbase material. As determined by the resident engineer, an overlap larger than 2
feet may be required for lower-strength subgrade (R-value < 5).
• The geotextile or geogrid must be cut to conform to the curves. A minimum
overlap of 1.5 feet shall be provided for adjacent geotextile or geogrid cut sides.
The overlap must be held in place by staples, pins, or piles of fill of the materials to
be placed on the geotextile or geogrid, or as directed by the resident engineer.
• Construction equipment must not operate directly on the geogrid or geotextile. A
minimum of 6 inches of fill cover is required prior to operation of construction
vehicles atop the geotextile or geogrid.
• The amount of SEG placed on subgrade must be limited to that which can be
covered with aggregate subbase or base material within 72 hours.

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4-19.14 Earthwork
• Special care must be taken in the handling of geogrids manufactured from
polypropylene at temperatures at or below 0 degrees Fahrenheit.
• Stockpiling of materials directly on the SEG is not allowed. Once a sufficient
working platform has been constructed, all remaining materials must be placed and
compacted in accordance with special provisions and the Standard Specifications.
A minimum of 6 inches of fill material must be maintained between the geotextile
or geogrid and the equipment to prevent damage to the geotextile or geogrid. Until
this sufficient working platform has been constructed, compaction must be
achieved by using either smooth wheel (without vibratory action) or rubber-tired
rollers. Sheepsfoot or other types of compactor equipment employing a sheepsfoot
shall not be used. Excessive turning of vehicles must not be allowed on the
aggregate subbase or aggregate base material placed directly over the geotextile or
geogrid.
• Areas of geotextile or geogrid damaged beyond repair during placement must be
covered by a new geosynthetic covering. The overlap from the edge of the
damaged area must be a minimum of 3 feet.
• Geotextile or geogrid must be laid at the proper elevation and alignment as shown
on the plans or as directed by the resident engineer. Geogrid must be oriented such
that the roll length runs parallel to the roadway alignment.
4-1904 Level of Inspection 4-1904
Suggested levels of inspection for typical earthwork activities are: Level of Inspection
• Continuous inspection of structure excavation under Section 19-3, “Structure
Excavation and Backfill,” of the Standard Specifications.
• Intermittent inspection of grading, blasting, and compaction of roadway structural
section.
• Benchmark inspection of placement of structure backfills, embankment, shoulder
backing, subgrade geosynthetic and foundation preparation for embankment and
roadway.
• Intermittent sampling and testing of material and compaction measurement of
embankment within 150 feet of bridge abutments.
• Benchmark sampling and testing of imported borrow and relative compaction of
material where specified.
4-1905 Quality Control 4-1905
While specific levels of quality control sampling and testing for earthwork are not Quality Control
included in Section 19, “Earthwork,” of the Standard Specifications, the contractor is
responsible for providing quality control under Sections 5-1.01, “General,” and 6-2.02,
“Quality Control,” of the Standard Specifications. Ensure the contractor is actively
performing quality control on production and placement of structure backfills, shoulder
backing, and subgrade enhancement geosysnthetic.
4-1906 Payment 4-1906
The following measurement and payment information covers roadway excavation, Payment
structure excavation and backfill, and ditch excavation.

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Earthwork 4-19.15
 4-1906A Roadway Excavation
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 involves
determining daily production by reaching an 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. 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” of this manual. 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

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4-19.16 Earthwork
 measurements are usually the most accurate way to determine the actual grading
factor.
• 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.
4-1906B Structure Excavation and Backfill
To determine methods and limits for calculating structure excavation and backfill pay
quantities, and payment clauses, review the special provisions, the Standard Plans, and
Section 19-2.04, “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.
4-1906C Ditch Excavation
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.
4-1906D Borrow Material
Before beginning work, verify the planned ground surface of excavations and the
embankment area by measuring the ground surface. Determine the theoretical volume
of the embankment and excavation from the planned or authorized cross sections of
embankment or excavation and the verified measured ground surface. The payment
quantity of imported borrow is the material deficiency calculated as the difference
between the theoretical volume of the embankment (fill) and theoretical volume of
excavation (cut).
In lieu of measurement of imported borrow by theoretical volume basis, the contractor
may request to be paid for imported material quantity if the borrow material is from a
single dedicated borrow site. Do not authorize to import borrow from multiple sites or
from a single site that is not used exclusively for the project. If authorized, the
contractor must inform the engineer and give Caltrans access to the site. Before
beginning work, take cross-section elevations and ground surface measurements of the
borrow site after any clearing, grubbing or stripping before as well as after any
excavation of borrow materials. The quantity of the import borrow is measured based
on the calculated volume of material from the average area and the distance between
the pre-borrow excavation and post excavation cross section.
When the source of borrow material is unknown or multiple borrow sources are used,
payment for imported borrow material is determined by the volume of material
deficiency. The material deficiency is calculated as the difference of cut and fill based
on the cross-sections of the embankment and the roadway excavation shown on the
plan. If a borrow source is used exclusively for the project and borrow is paid for based
on the volume, borrow material can be paid for based on the cross section of borrow
areas. Before beginning work, cross-section all known borrow areas that are dedicated
to the project. Calculate the volume of borrow from the cross sections average area and
the distance between them before and after the excavation.

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Earthwork 4-19.17
 4-1906E Shoulder Backing
Measuring and paying for shoulder backing by the station is not permitted.
Shoulder backing is paid for by the ton. For payment, use the factor 145 lb/cu ft or
0.0725 ton/cu ft when volume is known. If a more accurate factor of conversion is
needed, determine the actual dry density of the shoulder backing material being used.
4-1906F Subgrade Enhancement Geosynthetic
SEG is measured and paid for by the square yard of the surface. Caltrans does not pay
for additional geosynthetic used for overlaps.

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4-19.18 Earthwork
Chapter 4 Construction Details

Section 20 Landscape
4-2001 General
4-2002 Planting
4-2002A Materials
4-2002A (1) Soil Amendment
4-2002A (2) Iron Sulfate
4-2002A (3) Lumber
4-2002A (4) Plants
4-2002A (5) Foliage Protectors
4-2002A (6) Root Protectors
4-2002A (7) Fertilizer
4-2002A (8) Wood Mulch
4-2002A (9) Rock Blanket
4-2002A (10) Gravel Mulch
4-2002A (11) Decomposed Granite
4-2002B Before Work Begins
4-2002B (1) Pesticides
4-2002B (2) Plants
Figure 4-20.1 Roots
4-2002C During the Course of the Work
4-2002C (1) Roadside Clearing
4-2002C (2) Pesticides
4-2002C (3) Preparing Planting Areas
4-2002C (4) Header Boards
4-2002C (5) Planting
4-2002C (6) Watering
4-2002C (7) Replacement
4-2002C (8) Plant Establishment Work
4-2002C (8a) Administering Plant Establishment Time Requirements
4-2002C (8b) Tracking Time for Type 1 Plant Establishment
4-2002C (8c) Tracking Time for Type 2 Plant Establishment
4-2003 Irrigation
4-2003A Components of Irrigation Systems
4-2003A (1) Water Meter
4-2003A (2) Backflow Preventer
4-2003A (3) Wye Strainers
4-2003A (4) Main Supply Line

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Landscape 4-20.i
 4-2003A (5) Master Remote Control Valve
4-2003A (6) Remote Control Valves
4-2003A (7) Quick Coupling Valve
4-2003A (8) Gate Valve
4-2003A (9) Lateral Supply Line
4-2003A (10) Emitters and Sprinklers
4-2003A (11) Drip Valve Assembly
4-2003A (12) Irrigation Conduit
4-2003A (13) Irrigation Controllers
4-2003A (14) Electrical Pull Boxes and Conductors
4-2003B Before Work Begins
4-2003C During the Course of the Work
4-2003C (1) Water Lines and Conduit
4-2003C (2) Electrical Installations
4-2004 Level of Inspection
4-2005 Quality Control
4-2006 Payment

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4-20.ii Landscape
Chapter 4 Construction Details
Section 20 Landscape Section 20
Landscape
4-2001 General 4-2001
Landscaping is covered under Section 20, “Landscape,” of the Standard Specifications. General
Landscaping includes highway planting and installing irrigation systems. It involves
preparing areas for planting, furnishing and planting plants, and performing plant
establishment work. Landscaping is sometimes combined with erosion control. Erosion
control is covered under Section 21, “Erosion Control,” of the Standard Specifications.
For guidelines refer to Section 4-21, “Erosion Control,” of this manual.
For questions about the acceptability of materials and work for landscaping, consult the
district landscape architect and landscape specialist from the Division of Maintenance.
4-2002 Planting 4-2002
Planting consists of preparing areas for planting, applying pesticides, furnishing and Planting
planting plants, controlling weeds, and maintaining plants until the start of the plant
establishment period.
4-2002A Materials
The following provides general information on materials used for planting.
4-2002A (1) Soil Amendment
For the requirements for soil amendment, refer to the Standard Specifications. The
special provisions may specify the type of material to be used.
4-2002A (2) Iron Sulfate
Iron sulfate consists of iron and sulfur. Some soils lack iron, one of the micronutrients
needed for the proper formation of chlorophyll. Iron sulfate is used to correct soils
deficient in iron and to lower the pH of the soil. It makes the existing iron more readily
available for plants.
4-2002A (3) Lumber
Lumber, as described in the specifications, is used for header boards to define
landscaped areas.
4-2002A (4) Plants
The contract plans will specify the types and sizes of the plants to be used on a given
project. If a particular plant type is unavailable from any of the 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.
4-2002A (5) Foliage Protectors
Foliage protectors protect newly installed plants from animals foraging the various
above-ground parts of the plants. Eventually, as the plants grow larger, the need for
foliage protectors decreases. On projects with lengthy plant establishment periods, the
specifications may require the protectors be removed before contract acceptance.

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Landscape 4-20.1
 4-2002A (6) Root Protectors
Wire mesh root protectors serve a similar purpose as the foliage protectors, providing
below-ground protection from burrowing rodents.
4-2002A (7) Fertilizer
Fertilizer provides nutrients to plants that might otherwise be missing or not abundantly
available from the soil. All fertilizers are labeled with the amount of nitrogen,
phosphorus, and potassium they are providing to the plant. The plans and specifications
will indicate the type of fertilizer (organic, packet, slow-release) and applied amounts
for each plant (or area) on the project.
4-2002A (8) Wood Mulch
Wood mulch 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.
Wood mulch has the following benefits:
• Retains soil moisture to assist in healthy plant development.
• Acts as a weed barrier.
• Reduces surface erosion.
Use the type of mulch shown on the plans or in the specifications. If a type is not
specified, the contractor may choose one. The plans will indicate the applied amount
for each plant (or area) on the project. Verify that the wood mulch sample complies
with the size and type specified. Verify receipt of a certificate of compliance for the
wood mulch. At time of delivery, verify that the wood mulch delivered matches the
sample provided. Bring the sample to the field to compare. Measure each delivery in
the vehicle prior to unloading.
4-2002A (9) Rock Blanket
Rock blanket is cobble rock that is placed in a concrete base on the ground. It provides
an attractive alternative to bare ground and keeps soil from eroding. The specifications
will state what the size of the rock should be and the detail will show the depth of
excavation and thickness of the mortar and concrete.
4-2002A (10) Gravel Mulch
Gravel mulch is used to provide pathways or cover the ground plane to minimize
erosion. The rock is crushed and compacted to provide a more solid surface. The rock
size gradations are shown in the specifications.
4-2002A (11) Decomposed Granite
Decomposed granite is used similarly to gravel mulch. The material is more complex
to construct as it needs to have solidifying emulsions and layered construction to
achieve a solid surface. The rock size gradations are shown in the specifications.
Section 20-5.03, “Inert Ground Covers and Mulches,” of the Standard Specifications
provides material and size requirements for rock blanket, gravel mulch, and
decomposed granite. Verify receipt of a certificate of compliance for these materials.

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4-20.2 Landscape
4-2002B Before Work Begins
Before work begins, do the following:
• Review the plans and specifications to determine the requirements for highway
planting.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes highway
planting materials. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
• Take photos of existing site conditions.
• 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.
4-2002B (1) Pesticides
Before any work using pesticides begins, do the following:
• Review the specifications covering pesticide use.
• Review the guidelines for pesticide use contained in Chapter C2, “Vegetation
Control,” of the Caltrans Maintenance Manual.
• 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 change
order.
• Some counties have environmentally sensitive areas where special requirements or
prohibitions may apply. Consider any restrictions imposed by county agricultural
commissioners.
• Ensure the proposed application rates or other features will not cause damage to
abutting properties or to existing plants that must remain. Do not approve
application of granular pesticides unless they are covered by mulch. Without
mulch, these pesticides can be carried to other locations by runoff.
• Upon completion of the necessary reviews, advise the contractor in writing that the
pest control adviser’s recommendations have been authorized subject to the
provisions of Sections 5-1.23, “Submittals,” and 20-1.01C, “Submittals,” of the
Standard Specifications.
4-2002B (2) Plants
Before any work with plants begins, do the following:
• Discuss the requirements for plants with the contractor and ask if the contractor
wants the inspection of plants to occur before shipping. Ensure the contractor
understands that the plants will still be subject to inspection at the job site.

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Landscape 4-20.3
 • 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 20-3, “Planting,” of the Standard
Specifications, and with any special provisions. The following are guidelines for
plant inspection.
1. Examine the plants and their name tags to confirm the plants are of the variety
and size specified.
2. Observe the methods of transporting and storing the plants. Reject plants that
are wilted, broken, out of the container, or otherwise unsuitable when
delivered to the planting area. Note such rejection in the daily report.
3. Check to see if plants are obviously deformed, diseased, or insect-infested.
Obtain inspection certificates that indicate all plants comply with federal and
state laws requiring inspection for diseases and infestations. Before accepting
plants from another county, require the contractor to produce evidence of
clearance from the county agricultural commissioner.
4. For the specified number of plants, remove soil from the roots of container-
grown plants to determine the condition of the roots. Ensure enough roots
have grown so that the soil and root ball will hold together when planting.
5. Do not accept root-bound plants. Refer to Figure 4-20.1 “Roots,” for an
example of acceptable and unacceptable roots. After a root-bound plant is
planted, water cannot penetrate the tight mass of roots; or at maturity, the plant
may strangle itself. Root-bound plants occur when seedlings are grown too
long in small containers. The roots grow to the bottom of the container and
then turn and grow around the ball of the plant. It is difficult to overcome a
root-bound condition merely by planting in the ground.

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4-20.4 Landscape
 Figure 4-20.1. Roots

Good Roots
Acceptable

Root-Bound Plant
Unacceptable

6. Check for root girdling in plants that have a main taproot. Girdling occurs
when a plant has been left in a container for too long. The taproot circles and
chokes the root system until the plant eventually dies.
7. Ensure plants in large containers have not recently been transplanted from a
smaller container. Roots should be in proportion to the container from which
they are taken.
8. Make random measurements of Carpobrotus cuttings to ensure the cuttings
equal the specified length.
4-2002C During the Course of Work
Use the following guidelines to ensure planting complies with the plans and
specifications.
4-2002C (1) Roadside Clearing
Roadside clearing includes killing, removing, or mowing weeds and other vegetation,
and controlling rodents. During roadside clearing, do the following:
• Review the requirements for water pollution control. It may be desirable to leave
some vegetation on the slopes to reduce the potential for stormwater pollution
during the rainy season.
• Ensure the contractor removes stumps and large roots to the depth specified.
Check areas to be planted to ensure they are free of living weeds at the time of
planting.
• Gophers are among the rodents requiring control. Evidence of gophers includes

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Landscape 4-20.5
 surface mounds left from their nighttime tunneling when the gophers eat plant
roots and chew on irrigation wires. Their burrows can damage plant basins. Baiting
and trapping are the methods used to control gophers. Some counties have rodent
abatement programs and will give expert advice upon request. For information,
contact the maintenance landscape specialist.
4-2002C (2) Pesticides
During pesticide use, do the following:
• Observe the mixing and applying of pesticides to ensure these processes comply
with the approved recommendations and specifications. Ensure that workers
applying pesticides wear protective clothing, including eye protection. A person
with a pesticide 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-0017, “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. Repeating the application after about one week is sometimes necessary for a
complete weed kill.
4-2002C (3) Preparing Planting Areas
After roadside clearance, irrigation system installation, and pressure testing and
backfilling, the preparation of planting areas begins. During this preparation, do the
following:
• Using the plan sheets for plant layout, ensure the location for plants and the
perimeter of ground cover areas are designated with gypsum, small wire-mounted
flags, or other suitable markers. The contractor must furnish the labor, materials,
and transportation for placing stakes or other suitable markers to indicate the
designated locations. This phase of designating locations is when necessary
changes can be made with the least inconvenience and cost to the contractor or to
Caltrans.
• When establishing plant locations, ensure compliance with the guidelines in
Chapter 900, “Landscape Architecture,” of the Highway Design Manual, which
contains planting design standards.
• Ensure plant locations meet the minimum setbacks from the traveled way,
pavements, fences, walls, and ditches, as shown on the plant list or in a detail 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.

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4-20.6 Landscape
• If cultivation will be required, the plans or special provisions will say so.
• Prior to planting, irrigate and kill weeds for the length of time specified.
• Ensure the soil is loosened to the specified depth.
• When rocks are encountered in an area of predominantly fine native materials,
most rocks larger than 2.5 inches should be removed. In predominantly rocky
areas, consult with the project landscape architect for alternatives to removing
rocks.
• If rocks need to be removed, prepare a change order to pay for disposal. Consider
using the rocks at drainage outlets or other areas to prevent erosion.
• To support payment, maintain adequate records of cultivation. When the contract
item for cultivation includes payment for soil amendments and fertilizer, ensure
these materials are incorporated at the specified rates. Note your observations in
the daily report.
4-2002C (4) Header Boards
Measure header boards, and ensure they are installed as the contract requires. Ensure
that nails, lag screws, and hardware are galvanized and that lumber is of the specified
quality.
4-2002C (5) Planting
Inspect the planting operation and ensure the requirements specified in the plant list are
met for the following:
• Hole size
• Basin type
• Iron sulfate
• Soil amendment or fertilizer
• Basin mulch
• Foliage and root protectors
• Plant stakes, if required
Observe planting activities to ensure the following:
• No more plants are distributed along the roadside than can be planted and watered
on the same work shift.
• Containers are not cut until delivered to the planting area.
• Roots of plants not in containers remain covered and moist.
• Before transporting the plants to the planting area, nursery stakes are removed
from the plants at the project site.
• Before ground cover is planted, trees and shrubs for such areas are planted,
watered, mulched, and staked (if required).
For ground cover, make sufficient observations to ensure the following:
• Cuttings are placed to the required depth.
• The soil is moist at the time of planting.

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Landscape 4-20.7
 • Plants are watered as specified.
• The specified spacing is provided.
Do the following during the course of planting:
• Note all observations in the daily report, including any pertinent instructions given
to the contractor.
• Before planting in holes or trenches, ensure the contractor has prepared backfill
and has applied water as specified. Before backfill is tamped down, ensure the
plants are straight in their holes.
• Review planted areas to ensure plants have been staked and tied in the specified
manner.
• Mulch, if required, must be placed as soon as possible after planting. It will help to
retain moisture and discourage weeds. Ensure the removal of wood chips that are
longer than the specifications allow. Keep mulch away from drainage channels and
away from plant stems. Postpone placing mulch in extremely wet weather when
trampling the areas would compact the soil and the mulch would hold excessive
moisture around the plant.
• Decide on test areas for counting plants as specified. Prepare adequate records for
progress payments.
• When it is obvious that plants will not survive or will be damaged severely due to
weather, consider allowing a delay of planting until a more favorable period. If
planting, delayed because of unfavorable weather conditions, is the controlling
operation, you may grant nonworking days in accordance with Section 8,
“Prosecution and Progress,” of the Standard Specifications.
4-2002C (6) Watering
For watering, do the following:
• Ensure the contractor applies sufficient water so the plants will develop properly.
Too much water, improperly applied, can cause damage. Factors such as weather,
soil, and plant type determine the amount of water and frequency of application.
• Beginning with the initial watering, closely check the amount of water applied and
the manner in which it is applied. Most plants should be watered immediately after
they are planted. Do not allow initial watering to be delayed until the following
day.
• To ensure watering requirements are met, periodically observe planted areas after
initial watering. If your district has a “Water Manager,” obtain guidance regarding
when the irrigation controller is ready to be programmed.
• Ensure the irrigation system distributes water evenly. To ensure proper coverage
and to ensure water does not reach the traveled way, routinely check the sprinklers’
water distribution.
4-2002C (7) Replacement
A plant need not die before the contractor replaces it. Ensure the contractor replaces
any plants that have been injured or damaged sufficiently to render them unsuitable.
When a replacement plant obviously will not survive because of weather or other
predictable causes, consider delaying replacement until a more favorable time.

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4-20.8 Landscape
To substitute an alternative species, seek authorization through a change order and
obtain concurrence from the project landscape architect.
4-2002C (8) Plant Establishment Work
The objective of plant establishment is to ensure that, before contract acceptance, plants
are healthy and established and the irrigation system works as planned.
Caltrans has two categories of plant establishment, described as follows:
• Type 1, which is normally used on projects where highway planting is a major
portion of the work.
• Type 2, which is used on projects where highway planting is incidental to other
work.
Plant establishment consists of caring for the planting as specified. The plant
establishment period begins on the date stated in your written notification to the
contractor. However, each plant must still be maintained after it is planted and watered
for the first time. Planting must be properly maintained both before and during plant
establishment. During the course of plant establishment, do the following:
• Ensure that the contractor replaces plants that have not been properly maintained.
However, do not allow replacement as a substitute for proper maintenance. A plant
that was planted earlier and maintained for a longer period of time will be more
developed and will require less maintenance upon completion of the contract than
one planted late in the plant establishment period.
• Ensure the contractor follows specifications requiring plants and planted areas to
be well watered. The words “well watered” mean more than just enough water to
keep a plant alive. It is intended that the plant will flourish during plant
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 in Section 14, “Environmental
Stewardship,” of the Standard Specifications and as required in the stormwater
permit.
• Ensure fertilizer is applied at the specified time, in the required amounts, and in a
workmanlike manner. Prohibit the concentration of commercial fertilizer at the
base or stem of the plant; otherwise, injury to the plant will result.

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Landscape 4-20.9
 • 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.
• Keep construction area signs in place until all work is complete, including plant
establishment. If appropriate, use temporary traffic control signs during plant
establishment work.
4-2002C (8a) Administering Plant Establishment Time Requirements
In administering the time requirements for plant establishment, do the following:
• Notify the contractor of the beginning of the plant establishment period. On Form
CEM-2701, “Weekly Statement of Working Days,” under “Remarks,” note the
date of the first day of the plant establishment period.
• During the plant establishment period, credit the contractor with one plant
establishment working day for each day, except Saturdays and holidays, that plant
establishment work is satisfactory. Note that holidays include Sundays under state
statute.
• Ensure that all required establishment work is complete before beginning to give
the contractor credit for plant establishment working days.
• Judge carefully when deciding whether or not to give credit for a plant
establishment day. Base the decision on whether the planted areas are maintained
as specified. When necessary, order corrective work in writing. If the contractor
does not correct deficiencies within a reasonable period, do not give credit for plant
establishment days. In most cases, you may consider a response time within 2
weeks as reasonable. For normal conditions, order corrections no more often than
once each week. Whenever progress is being made toward correcting deficiencies,
allow credit for plant-establishment working days. However, when deficiencies
appear faster than they are corrected, do not give credit for plant establishment
days.
4-2002C (8b) Tracking Time for Type 1 Plant Establishment
For Type 1 plant establishment, the contractor must complete all work except plant
establishment before the plant establishment period begins. Only plant establishment
may be in progress during the plant establishment period. The special provisions
require plant establishment to be performed satisfactorily for a specified number of
working days.
Until plant establishment begins, track contract time on Form CEM-2701, “Weekly
Statement of Working Days,” in the normal manner. After plant establishment begins,
continue filling out the upper part of the form as before. Show all days except
Saturdays and holidays (holidays include Sundays) as working days, regardless of
weather or other conditions. Track the progress of plant establishment under
“Remarks” in a manner similar to that shown in the sample Weekly Statement of
Working Days at:
http://www.dot.ca.gov/construction/contract-time/example-working-days.html
Credit all working days as plant establishment days except for days on which the
contractor fails to satisfactorily perform plant establishment work.

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4-20.10 Landscape
4-2002C (8c) Tracking Time for Type 2 Plant Establishment
Two time limits are specified for projects with Type 2 plant establishment. An amount
for liquidated damages is also specified for each time period. The following are the two
time periods:
• The number of working days for all work except plant establishment.
• The total number of working days for all contract work, including the plant
establishment period.
For Type 2 plant establishment, the contractor must complete all highway planting
before plant establishment begins. In addition to plant establishment, other contract
work may be in progress during the Type 2 plant establishment period.
For an example of how to track contract time when both time periods are running
concurrently, refer to:
http://www.dot.ca.gov/construction/contract-time/example-working-days.html
Show the “Revised working days for contract” as the number of days specified plus
approved change order days for all work except plant establishment. Fill in the Weekly
Statement of Working Days in the normal manner, and track the progress of plant
establishment as shown under “Remarks.”
For an example of the final Weekly Statement of Working Days after the contractor
has completed all work including plant establishment, refer to:
http://www.dot.ca.gov/construction/contract-time/example-working-days.html
4-2003 Irrigation 4-2003
Irrigation systems may be manual or automatic, as specified in Section 20-2, Irrigation
“Irrigation,” of the Standard Specifications. The special provisions may require the
installation of equipment that can communicate with a centrally located computer.
4-2003A Components of Irrigation Systems
The following are the major components of an irrigation system.
4-2003A (1) Water Meter
The water meter measures the quantity of water delivered to the project. The water may
be from a local water district providing domestic potable water or reclaimed water
from a water treatment facility.
4-2003A (2) Backflow Preventer
The backflow preventer protects the domestic water system from contamination by
preventing water within the irrigation system from siphoning back into the domestic
water supply. All domestic water irrigation systems are required to have backflow
prevention. The backflow preventer is installed downstream from the water meter in a
domestic potable water system.
4-2003A (3) Wye Strainers
Wye strainers filter solid particles from irrigation water. They are installed as part of
backflow preventer assemblies and at other locations in the supply lines.

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 4-2003A (4) Main Supply Line
The main supply line is installed downstream from the water meter and backflow
preventer. The supply line carries water under pressure to the remote control valves and
sprinkler heads.
4-2003A (5) Master Remote Control Valve
The master remote control valve is located downstream from the backflow preventer.
Its purpose is to control the flow of water to supply lines so that they are not under
constant pressure when irrigation is not taking place. The master remote control valve
is opened when any remote control valve is activated.
4-2003A (6) Remote Control Valves
Remote control valves control the flow of water to the lateral water supply lines and
sprinklers. When not operating, they are closed. Remote control valves are usually
grouped for ease of maintenance.
4-2003A (7) Quick Coupling Valve
A quick coupling valve is used to attach a hose to the irrigation system.
4-2003A (8) Gate Valve
Gate valves are manually operated to shut off water to allow repairs or modifications to
the irrigation system.
4-2003A (9) Lateral Supply Line
Lateral supply lines are pipes that carry water between the remote control valves and
the sprinklers. Lateral supply lines are only under pressure when the remote control
valve is open.
4-2003A (10) Emitters and Sprinklers
Emitters are watering devices used for drip irrigation. They require additional filtration
of the water being used in the system because they are easily clogged. Because they
apply water at a slow rate, potential erosion of the plant basins is almost nonexistent.
Requirements for emitters will be included in the special provisions and on the plans.
The plans will specify flow rates and operating pressures for emitters. Sprinklers apply
water in a spray pattern to the soil around plants. The special provisions and the plans
specify the sprinklers by type, pattern, material, and operating characteristics. Emitters
and sprinklers are installed on the lateral supply line.
4-2003A (11) Drip Valve Assembly
Drip valve assemblies prevent small particles from clogging sprinklers or emitters.
4-2003A (12) Irrigation Conduit
Irrigation conduit consists of furnishing and installing conduit and pipe used to carry
irrigation water or electrical wire under roadways. They are often installed as part of a
highway construction project before the highway landscaping project begins.
4-2003A (13) Irrigation Controllers
Electrically operated irrigation controllers supply low voltage to activate the remote
control valves. The controllers may operate on 110-volt electrical circuits, batteries, or

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4-20.12 Landscape
solar power. Irrigation controllers are placed inside heavy-duty metal enclosures bolted
to concrete pads.
4-2003A (14) Electrical Pull Boxes and Conductors
These electrical components of the irrigation system supply electrical power to operate
irrigation controllers and valves. Power to the irrigation controllers is 110-volt and is
work performed by electricians from the electrical plans. Power to the remote control
valves is low voltage and work is performed by the contractor.
4-2003B Before Work Begins
Before the irrigation system is installed, do the following:
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes all
irrigation system materials. Refer to Section 6-202, “Responsibilities for
Acceptance of Manufactured or Fabricated Materials and Products,” of this
manual for additional information.
• When there is a bid item for Check and Test Existing Irrigation Facilities, review
the operation of the existing irrigation systems with the contractor. Review the
contractor’s deficiency list for completeness. Review items needing correction to
determine what should or should not be repaired. Keep a copy of the list for later
review prior to contract acceptance.
• 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 operating existing irrigation
systems. When Caltrans maintenance forces are involved, ensure that the
contractor and Caltrans maintenance personnel are aware of each party’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
Department-furnished material.
• As required by Section 20-2.01A(3), “Submittals,” of the Standard Specifications,
obtain from the contractor shop drawings for the electrical components of the
irrigation systems. Ensure that the manufacturer of the controller has approved the
wiring plans. Also send the shop drawings to the district landscape architect for
review. After review and authorization, forward a copy of the shop drawings to the
contractor with the following written statement:
The shop drawings are authorized pursuant to Section 5-1.23,
“Submittals,” of the Standard Specifications.
• Structure Design’s Office of Electrical, Mechanical, Water and Wastewater
Engineering usually designs the more complex electrical and mechanical work,

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Landscape 4-20.13
 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, Materials Engineering and Testing Services
(METS) will assign responsibility for this type of inspection to the resident
engineer. Ensure the contractor furnishes certificates of compliance, when
required. For all material not inspected and released by METS, inspect the material
for contract compliance and complete Form CEM-4102, “Material Inspected and
Released on Job.” File the form with the project records.
• Before doing any other irrigation work, locate existing irrigation conduit to be used
as part of a new irrigation system. Determine the locations using as-built plan
information, physical evidence such as Type A pavement markers, pull boxes, and
metal detectors. After you have determined the locations as closely as possible,
require the contractor to excavate and backfill exploratory holes. Process a change
order, if necessary, to pay for additional exploration in accordance with Section
20-2.08 , “Irrigation Supply Line,” of the Standard Specifications. After the ends
of existing conduits are exposed, examine them for damage. Ensure the conduits
are free of obstructions. Process a change order to pay for any necessary repair or
replacement.
• If existing irrigation conduits will be used in the new work, isolate the plastic pipe
supply line and pressure test it under Section 20-2.07A(4), “Quality Assurance,” of
the Standard Specifications.
• Check the planned location of valves, sprinklers, and automatic controllers and, if
necessary, make the following revisions:
1. Move sprinklers and valves away from areas adjacent to shoulders where
traffic could damage them.
2. Locate irrigation controllers behind guardrail or at other locations where they
will be protected from public traffic.
3. Locate sprinklers away from signposts, existing trees, or other obstructions
affecting coverage.
4. Locate sprinklers to obtain full coverage without overspray.
5. Locate sprinklers so that irrigation controllers and pump housings are not
soaked.
6. Locate irrigation controllers and backflow preventers within a reasonable
distance from safe and legal parking. Also locate them in high visibility areas
to deter vandalism.
• When the irrigation lines are laid out and before trenches are backfilled, schedule a
meeting on the project site with the project landscape architect. This meeting
provides an opportunity to look at the overall layout of the landscape system and
make any desired changes.
4-2003C During the Course of Work
Use the following guidelines to ensure the various components of irrigation systems
are installed and constructed as required.

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4-20.14 Landscape
4-2003C (1) Water Lines and Conduit
During the course of installing water lines and conduit, the resident engineer must do
the following:
• Inspect the installation and location of backflow preventers to ensure they conform
to the requirements of local codes and to the plans and specifications. Pay
particular attention to the installation of gate valves and unions on each side of the
backflow preventer.
• To protect soil from eroding, ensure the contractor directs the outlets of the wye
strainer or pressure relief valve toward the concrete pad.
• Observe trenching and the placement of conduit and pipe. Make measurements to
determine that pipe and conduit are installed at the specified depths and setbacks.
• Ensure the contractor does not use excessive water when jacking or drilling
conduit. Excessive water is any amount that would damage the roadway or create
future maintenance problems.
• When rocks or other debris are brought to the surface during trenching operations,
decide whether such material should be removed. Base the decision on the same
factors considered when preparing planting areas, as previously covered in Section
4-2002C (3), “Preparing Planting Areas,” of this manual. However, whether or not
you order rock removal, the contractor must protect the pipe from sharp objects
and must not place rocks directly on, under, or around the pipe. Ensure the
contractor backfills in the specified manner, and make notes in the daily report of
all inspections.
• When rocks must be removed, prepare a change order to cover payment, and keep
the required extra work records.
• If excavated material is not suitable for placing around the pipe, prepare a change
order to pay for supplying and placing a clean bedding material.
• Trench widths must be such that plastic pipe that is not connected by rubber type
fittings can be snaked. Snaking means placing the pipe in an undulating line to
provide for expansion and contraction.
• For installing plastic pipe supply lines, thrust blocks, plastic pipe irrigation lines,
and fittings, obtain a copy of the manufacturer’s instructions from the contractor.
Observe the installation to ensure the contractor completes it in accordance with
those instructions.
• Where supply lines or conduits are installed through existing paved areas, advise
the contractor of acceptable replacement material. Ensure the contractor performs
such replacement.
• Ensure the contractor installs dielectric couplings or bushings as specified where
two dissimilar metals, such as galvanized steel and brass, are joined.
• For solvent cement welding of plastic pipe, obtain the manufacturer’s printed
instructions from the contractor. Ensure the contractor completes solvent cement
welding in accordance with those instructions. For plastic pipe joined with solvent
or glue, good workmanship includes immediately wiping off excess solvent or
glue from the pipe. When left exposed on the surface, such material will cause
rapid deterioration of the pipe.

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Landscape 4-20.15
 • Ensure the contractor places the specified pavement markers to show the location
of irrigation conduits.
• Observe whether unattached ends of pipes, fittings, and valves are plugged or
capped pending attachment of additional pipes or fittings. Use judgment in
ordering compliance, but as a minimum, expect all such plugs or caps to be in
place at the end of each workday.
• Ensure the contractor tests all pipe supply lines for leakage as specified. To hold
water lines in place, partial backfill is usually allowed during testing as long as all
fittings are left uncovered. Observe the testing, and note in the daily report the time
when the pressure test on any segment of the irrigation system began and the
results of this test. The contractor must locate and repair any leaks and repeat the
test as many times as necessary.
• After backfilling and ponding or jetting, examine trenches. Require the contractor
to refill trenches that have settled below the level of the surrounding area.
• Ensure the contractor has the backflow preventers tested as specified. File the test
results in the project records.
• Observe the operation of the entire irrigation system. Before planting work begins,
ensure adequate coverage. If coverage is not adequate to water the planting areas,
consider ordering revisions. Be aware that the valves and pipes are designed to
accommodate a certain flow at a certain pressure. If the contractor adds sprinklers
or increases the sprinkler nozzle size, coverage of each sprinkler will be reduced. If
necessary, prepare and process a change order to make revisions to the planned
irrigation system.
• Ensure the contractor replaces any existing plants that are removed or damaged
during installation of the irrigation system.
4-2003C (2) Electrical Installations
During the course of installing water lines and conduit, the resident engineer must do
the following:
• Observe the installation of electrical conduit for control and neutral conductors 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.

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4-20.16 Landscape
• 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.
4-2004
4-2004 Level of Inspection
Level of
Suggested levels of inspection for landscape work activities are: Inspection
• Benchmark inspection for typical landscape work such as irrigation system
installation, planting, and plant establishment.
• Intermittent inspection for work such as pressure testing of water lines and
irrigation system functional tests.
4-2005 Quality Control 4-2005
Pressure testing of irrigation system water lines is covered under Section 20- Quality Control
2.01A(4)(b), “Pressure Testing,” of the Standard Specifications.
For water supply lines on structures, ensure the contractor tests the lines before:
• Backfilling at locations that would cover lines.
• Starting work on box girder cell decks.
• Doing any other work that would cover lines.
The contractor must repair any water lines that fail required tests. The lines must be
retested after the repairs are completed.
Record the results of tests in the daily report.
4-2006 Payment 4-2006
The specifications normally require that irrigation system work is paid for by Payment
measurable individual contract items rather than lump sum. Use the methods of
measurement specified for each contract item.

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Landscape 4-20.17
Chapter 4 Construction Details

Section 21 Erosion Control

4-2101 General
4-2102 Materials
4-2102A Topsoil
4-2102B Fertilizer
4-2102C Straw
4-2102D Fiber
4-2102E Seed
4-2102F Tackifier
4-2102G Compost
4-2103 Before Work Begins
4-2104 During the Course of Work
4-2105 Seed Sampling
4-2105A Scope
4-2105B Size of Sample
4-2105C Procedure for Sampling
4-2105D Sample Preparation, Preservation, and Packaging
4-2106 Quality Assurance Seed Testing Results
4-2106A Results
4-2106B Nonconformance Procedures
4-2107 Level of Inspection
4-2108 Quality Control
4-2109 Payment

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Erosion Control 4-21.i
Chapter 4 Construction Details

Section 21 Erosion Control Section 21

Erosion Control
4-2101 General 4-2101
Erosion control is covered under Section 21, “Erosion Control,” of the Standard General
Specifications. Erosion control materials are applied to roadside and median areas
where erosion control is necessary and where planting may or may not be done in the
future. Landscaping involves preparing areas for planting, furnishing and planting
plants, and performing plant establishment work. Such landscaping is sometimes
combined with erosion control. Landscaping is covered under Section 20,
“Landscape,” of the Standard Specifications. Refer to Section 4-20, “Landscape,” of
this manual for additional information.
For questions about the acceptability of materials and work for erosion control, resident
engineers may consult with landscape architects and landscape specialists in the
district.
Properly applied erosion control is a key element in preventing water pollution. The
success of erosion control work often depends on the time of year that it is applied.
Consult with the project landscape architect and landscape specialists if an apparent
need exists for changing the order of work or the dates specified for erosion control.
4-2102 Materials 4-2102
The following provides general information on various materials used in erosion Materials
control.
4-2102A Topsoil
Topsoil is the balance of organic matter, sand, clay, and nutrients necessary to support
healthy plant life. For the specifications for topsoil, refer to Section 21-2.02C,
“Topsoil,” of the Standard Specifications. Topsoil that contains large percentages of
sand and clay or silt-clay or is deficient in organic matter may be a poor medium for
growing plants. High sand content tends to promote dry conditions. High clay content
limits aeration and drainage. For good plant growth, the soluble salt content of topsoil
generally should not exceed 500 parts per million. If the 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.
4-2102B Fertilizer
The Standard Specifications or the special provisions cover the requirements for
fertilizer, which is expressed as percentages of nitrogen, phosphoric acid, soluble
potash, and sulfur. Fertilizer may be spread with seed and other erosion control
materials using hydroseeding equipment. Fertilizer may also be specified for highway
planting.

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

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4-21.2 Erosion Control
4-2102G Compost
Requirements for compost are covered in Sections 21-2.01D, “Quality Assurance,” and
21-2.02K, “Compost,” of the Standard Specifications.
4-2103 Before Work Begins 4-2103
Before work begins, do the following: Before Work
• Review the plans and specifications to determine the specified type of erosion
Begins
control material and the time of application.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes erosion
control materials. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
• When local topsoil is specified, examine the topsoil to determine that sufficient
quantity is available and that it is suitable for the planned use. For possible
solutions if the local topsoil appears inadequate, consult with the project landscape
architect or landscape specialists. Ensure that sufficient area exists at the top of
slopes to stockpile topsoil.
• The contractor must provide the seed vendor’s lab test results. Ensure they are
complete and received in a timely manner.
• Erosion control materials are applied at a specified rate, in pounds or tons per acre.
Be prepared to measure and compute areas to which erosion control is to be
applied so that spread rates may be checked during application.
• Examine equipment to be used in erosion control work to determine if it meets
specified requirements.
4-2104 During the Course of Work 4-2104
As materials for erosion control arrive on the project, and prior to application, do the During the Course
following: of Work
• Through examination, ensure imported topsoil meets the specified requirements.
• To determine if fertilizer meets specifications, check the chemical analysis on the
label of the fertilizer bag. This label generally suffices to determine whether the
fertilizer meets the requirements.
• In addition to furnishing certified daily summary weigh sheets, require the
contractor to furnish weighmaster certificates with each load of straw delivered to
the project. Keep records for the mass of straw delivered to stockpiles. Based on
specifications, check for County Agricultural Certification if out-of-county straw is
used.
• Ensure the receipt of a certificate of compliance for fiber. Check the labeling on
the package for moisture content.
• Verify the species of seed listed on the seed label for consistency with the species
listed in the special provisions.
• Compare the percent total viability stated on the vendor seed label with the percent
total viability in the special provisions for the seed species.

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Erosion Control 4-21.3
 • Ensure that the percent of total weed identified on the seed label is less than the
percent stated in the special provisions.
• Verify that no California-prohibited noxious weeds are identified on the vendor
seed label.
• Check the seed lot test date. For purity and germination, the seed must have been
tested within the past 12 months.
• Check seed package labels and other required documentation. Calculate the weight
of PLS in each sack by referring to Section 4-2102E, “Seed,” of this manual.
• Collect seed samples in accordance with Section 4-2105, “Seed Sampling,” of this
manual.
• Send the complete package to the Caltrans-contracted seed clearinghouse in
accordance with Section 4-2105D, “Sample Preparation, Preservation, and
Packaging” of this manual. Get the name and address of the clearinghouse at:
http://design.onramp.dot.ca.gov/landscape-architecture-program/seed-
testing
• When approving the use of seed with a germination rate lower than the minimum
rate specified, application rates must be such that the specified amount of pure live
seed is used. Before approving a lower germination rate, consult with the project
landscape architect.
• Ensure the receipt of a certificate of compliance for tackifier.
During the application of erosion control materials, do the following:
• Ensure the contractor prepares areas to receive erosion control as required in the
specifications.
• Ensure topsoil, duff, or compost is spread uniformly at the specified rate or depth.
Ensure the contractor loosens any compacted topsoil.
• Ensure the contractor applies erosion control materials in the specified sequence
and application rate.
• When straw is required, determine the spread rate by counting bales and using
average bale weights. If the contractor applies the straw pneumatically, suspend
the operation if wind conditions cause the straw or visible dust to be blown onto
public roadways or across the property line onto private property.
• Observe the amounts and proportions of materials spread or entered into the
hydroseeder. You may use sack counts and weights to determine the weights of
seed, stabilizing emulsion, fiber, and commercial fertilizer.
• Compute and record the spread rates of the various materials applied. For each day
of operation, compute and record the spread rates at least once.
4-2105 4-2105 Seed Sampling
Seed Sampling Use the following guidelines for obtaining samples for testing.
4-2105A Scope
The purpose of seed testing is to get quality assurance data regarding the purity and
viability (germination) of seed. For accurate laboratory test results, seed must be

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4-21.4 Erosion Control
collected and handled to get representative samples. Samples submitted to the
laboratory that are not representative can result in inaccurate or erroneous test results.
4-2105B Size of Sample
For each seed lot greater than 2 pounds, take a seed sample of approximately 1 ounce
or ¼ cup.
4-2105C Procedure for Sampling
Before handling the seed sample, observe the following requirements:
• Do not touch or sample fungicide-dyed seed, such as dyed red or green seed, or
seed labeled “treated seed.”
• Use protective gloves when sampling seed.
• Use clean gloves to avoid affecting the purity of the seed samples.
• Avoid inhaling any dust.
When taking the seed sample:
• Take a seed sample from a newly opened seed bag.
• Do not mix samples from different seed species or seed lots.
• Sample the seed by thrusting your gloved hand into the bag and withdrawing
representative portions.
• Take at least seven equal portions of seed from various parts of the bag.
• Place each portion in a clean container and examine the seed for uniformity.
• When the portions appear to be uniform, combine them in a glassine lined bag
provided by the contractor.
4-2105D Sample Preparation, Preservation, and Packaging
Sample preservation maintains the integrity of the sample from the time of collection
until the tests are 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.
4. Copy of the vendor’s original seed label.
Send (within 24 hours) the sample and documentation by express mail to the Caltrans
contracted seed clearinghouse. The clearinghouse information is located at:
http://design.onramp.dot.ca.gov/landscape-architecture-program/seed-testing

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Erosion Control 4-21.5
 4-2106 4-2106 Quality Assurance Seed Testing Results
Quality Assurance Consider the following areas when making determinations about seed.
Seed Testing Results
4-2106A Results
Quality assurance testing results will be provided through Caltrans contracted seed
clearinghouse.
The clearinghouse contacts the resident engineer by letter with the results of the quality
assurance testing in conformance with the specifications. Some potential issues are:
• Species of seed on the seed label does not match the species in the special
provisions.
• The percent total viability of the seed is lower than what is specified in the special
provisions.
• The percent total weed identified on the vendor seed label is greater than what is
specified in the special provisions.
• The presence of California prohibited noxious weeds is identified on the vendor
seed label or test results.
4-2106B Nonconformance Procedures
If the contractor fails to comply with the contract specifications for seed, enforce the
appropriate contract provisions to ensure compliance based on the nature and severity
of the situation. Refer to Section 6, “Control of Materials,” in the Standard
Specifications.
4-2107 4-2107 Level of Inspection
Level of Inspection Suggested level of inspection for typical erosion control work activities, including
applying temporary and permanent erosion control measures to the soil surface, is
benchmark inspection.
4-2108 4-2108 Quality Control
Quality Control Verify that erosion control materials used on the project are sampled and tested under
Section 21, “Erosion Control,” of the Standard Specifications using the test methods
specified and meet the requirements for each quality characteristic described.

4-2109 4-2109 Payment

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 pure live seed using the germination and purity rates of
the bulk seed.

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4-21.6 Erosion Control
Chapter 4 Construction Details
Section 22
Section 22 Finishing Roadway Finishing
Roadway
4-2201 General 4-2201
Section 22, “Finishing Roadway,” of the Standard Specifications describes the General
requirements for the final cleanup operation within project limits and the right-of-way,
so that the completed project, upon acceptance, will be neat, presentable, and
functional, as required by the Standard Specifications. The work required under this
section should not be mistaken for clearing and grubbing activities.
Finishing activities include such work as grading slopes and contour areas to remove
vehicle tracks; obliterating haul roads; removing debris from the pavement; removing
trash and debris generated by construction activities; cleaning out culverts; cleaning
culvert markers, guideposts, and signs; removing construction stakes and lath that
present an unsightly appearance; and disposal of the material resulting from the
finishing roadway activities.
The contractor may request and be authorized to dispose of soil and rock generated by
the finishing activities within the project limits and right-of-way. Disposal of soil and
rock along the roadway should not be allowed if it will affect the overall grading or
functionality of the roadway.
4-2202 During the Course of Work 4-2202
During the course of work, take the following steps: During the Course
of Work
• As portions of the work near completion, review the site and begin noting items of
finishing roadway to be performed.
• To be economical and help prevent delays in completing the contract, encourage
the contractor to finish work as it progresses.
• Ensure the finishing operations do not result in material stockpiling on or drifting
across the finished pavement.
• Keep a list of the cleanup details, and add to and subtract from the list as new
details develop or are completed. During the 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 the list in an orderly and efficient manner. Do
not wait until the date the contractor requests contract acceptance before pointing
out these details.
• If the contractor requests relief from maintenance and responsibility, as provided in
Section 5-1.38, “Maintenance and Protection Relief,” of the Standard
Specifications, ensure that the contractor has completed all the finishing roadway
activities.
• Ensure measures for permanent erosion control are installed as soon as finishing
roadway activities are completed.

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Finishing Roadway 4-22.1
 4-2203 4-2203 Level of Inspection
Level of Inspection
The suggested level of inspection for finishing roadway work activities is intermittent
inspection.
4-2204 4-2204 Payment
Payment In the daily report, record the activities the contractor performs to complete the
finishing roadway item. Carefully segregate the finishing roadway work from the work
required to complete other items of work.

California Department of Transportation  Construction Manual  July 2017

4-22.2 Finishing Roadway
Chapter 4 Construction Details

Section 24 Stabilized Soils Section 24

Stabilized Soils
4-2401 General 4-2401
Soil stabilization is used to improve the shear strength, stability, and durability of native General
subgrade soils (basement material) to meet the pavement design requirements and for
successful pavement performance. Stabilization methods include reworking existing
soils by blending or increased compaction (mechanical stabilization), or by adding a
stabilizing agent (chemical stabilization). Soil stabilization can also be accomplished
by removing the native basement material and replacing it with a higher quality
material. Section 24 of the Standard Specifications provides requirements for chemical
stabilization of soil by adding lime as the stabilizing agent.
Lime stabilization is effective for basement material containing a large percentage of
clay particles. The lime stabilization process includes spreading lime over the basement
material, thoroughly mixing it in place, compacting it at an appropriate moisture
content, and curing. The special provisions specify the amount of lime to be added to
the basement 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.
4-2402 Before Work Begins 4-2402
Before work begins, take the following steps: Before Work
• Obtain samples of the materials to be treated. Request the district Materials Unit to
Begins
run initial tests to determine the amount of lime required to meet the design
criteria. Advise the contractor of the percent of lime required and optimum
moisture content for each soil type.
• If necessary, obtain samples of the water that will be mixed with the soil and lime,
and test the water for compliance with the specifications. Generally, potable water
will meet the specification requirements.
• Obtain a lime sample with a certificate of compliance, including a statement
certifying the lime to be furnished is the same as on the Authorized Material List.
• Observe the preparation of the material that will be treated. Ensure the material is
scarified and thoroughly broken up to the width and depth specified. Make notes of
such inspections in the daily report.
• If required by the specifications, observe a test strip that demonstrates the
contractor’s equipment and methods provide uniform distribution of lime and
achieve the specified compaction.
• If necessary, prepare a change order to provide for the removal and disposal of any
oversized material.
• Prohibit lime stabilization when ground temperature is below specified
temperature or expected to fall below specified temperature before mixing and
compaction can be completed.

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Stabilized Soils 4-24.1
 4-2403 4-2403 During the Course of Work
During the Course of Once work begins, do the following:
Work
• Ensure the preparation of the basement material that requires that stabilizing
conforms to the requirements in Sections 24-1.03B and 24-2.01D(1)(a), “Preparing
Basement Material,” of the Standard Specifications.
• For each delivery of lime, obtain the certificate of compliance and the weighmaster
certificate. Obtain samples of the lime at the frequency rate shown in Section 6-1,
“Sample Types and Frequencies,” of this manual.
• Observe the spreading of the lime to determine that the equipment and method
used meet the specified requirements.
• Check the spread rate of the lime. When dry lime is spread, the rate of spread may
be checked by either of the following means:
1. Placing building paper on a section before spreading and then weighing the
material from a known length of spread (8 to 10 ft), similar to the drop pan or
calibration pan method.
2. Weighing the distributor before and after spreading a known length.
• When lime is spread in a slurry, the rate is normally checked by either of the
following means:
1. Weighing the spreader before and after spreading.
2. Determining the volume of slurry spread for a known length and reducing the
resulting value to the weight of lime.
• Prohibit any method of spreading lime that precludes determining the spread rate.
Record daily spread rates, both spot-check and overall, in the daily report.
• Decide how far ahead of the mixing operation the lime may be spread and advise
the contractor accordingly. Base the decision on the variables involved in each
particular situation. The contractor must not spread the lime so far ahead of the
mixing operation that wind might blow it away. Neither must lime in a slurry form
be spread so far ahead of the mixing operation that it would dry before being
mixed.
• After the spreading of the lime and until the end of the specified curing period,
prohibit any traffic, except equipment performing the work, from passing over the
basement material.
• During the mixing operation and throughout the mellowing period, sample and test
the material to ensure the moisture content exceeds the optimum required for
compaction.
• Ensure rolling equipment meets specifications.
• Make necessary measurements to ensure the thickness of each compacted layer
conforms to the specifications. Note the results of such measurements in the daily
report.
• Test the mixture with a phenolphthalein alcohol indicator. If the reaction produces
a nonuniform color, require the contractor to perform additional mixing.

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4-24.2 Stabilized Soils
• Ensure the depth of mixing meets the required thickness of the stabilized material.
Where mixing depth exceeds the specified tolerance, ensure additional lime is
added proportionally. Note this in the daily report, including the additional lime
quantity provided at the contractor’s expense.
• Ensure the contractor completes all mixing within the specified time.
• After final mixing, ensure compaction begins within the specified time.
• To determine maximum density, obtain samples of the mixed material, and test the
material before initial compaction.
• Test for compaction in accordance with Sections 24-1.01D(2)(d) and
24-2.01D(2)(c), “Compaction,” of the Standard Specifications.
• Ensure any disputes regarding test result discrepancies follow Section
24-2.01D(1)(c), “Test Result Disputes,” of the Standard Specifications.
• Order trimming of any material above the grade tolerance, and ensure subsequent
rolling is performed.
• Ensure the compacted surface is kept moist until the placement of a subsequent
layer or curing is applied.
• Ensure the contractor uses one of the specified methods for curing. Also, obtain
necessary certificates of compliance and samples where a curing seal is used.
• Ensure the contractor meets the time and temperature requirements for the curing
seal. Order any necessary repairs to the damaged curing seal.
• Where a curing seal is used, decide the curing 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.
4-2404 Level of Inspection 4-2404
Level of
Suggested levels of inspection for typical stabilization work activities are:
Inspection
• Continuous inspection of the test strip work.
• Intermittent inspection of preparing basement material.
• Continuous inspection of applying and mixing of lime. For projects where the
stabilization work will span multi-week durations, the level of inspection can be
reduced to intermittent inspection if inspection and testing of the initial work
shows that the contractor’s operations are consistent and result in satisfactory
stabilization work.
• Intermittent inspection of sampling and testing of materials, compaction, and
applying curing seal.
• Benchmark inspection of finish grading.
4-2405 Quality Control 4-2405
• Verify that the contractor’s quality control laboratory is certified in accordance Quality Control
with Caltrans’ Independent Assurance Program.

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Stabilized Soils 4-24.3
 • Ensure that the contractor submits the time and location of quality control
sampling and testing with sufficient advance notice to allow Caltrans staff to
intermittently witness quality control sampling and testing.
4-2406 4-2406 Payment
Payment To determine the pay quantity for lime stabilization, make area measurements of the
planned surface.
At the point of delivery, collect weighmaster certificates for the lime. Deduct the
weight of any wasted or unused lime from the pay quantity for lime and document
these quantities in the daily report. If the contractor has added additional lime to
compensate for depths exceeding the specified allowance, make the required
adjustment to the scale weights of the lime.
Measure the quantity of curing seal in accordance with Section 94, “Asphaltic
Emulsions,” of the Standard Specifications. Payment for water cure or moist material
blanket curing methods is included within the lime stabilization pay item.

California Department of Transportation  Construction Manual  July 2017

4-24.4 Stabilized Soils
Chapter 4 Construction Details
Section 25
Section 25 Aggregate Subbases Aggregate
Subbases

4-2501 General 4-2501

This section provides guidelines for inspecting aggregate subbases for work specified General
under Section 25, “Aggregate Subbases,” of the Standard Specifications.
Aggregate subbase is designated by class. The Bid Item List and plans specify the class
of aggregate subbase, and the Standard Specifications and special provisions provide
the requirements for each class.
Aggregate subbase is usually the lowest layer in the pavement structure, as shown in
the typical cross sections of the contract plans. Typical cross sections show the
thickness of aggregate subbase and layout sheets show where to place it.
4-2502 Before Work Begins 4-2502
Before placement begins, review contract plans and specifications to determine the Before Work
aggregate subbase requirements. For sampling and testing requirements, including Begins
frequency of testing, refer to Chapter 6, “Sampling and Testing,” of this manual.
Include the following steps in the preliminary review and inspections:
• Obtain the contractor’s quality control plan, which details the methods the
contractor will use to ensure quality of work and conformance with the Standard
Specifications requirements.
• If mutually agreed with the contractor, hold a preconstruction meeting with the
contractor and the district Materials Unit prior to construction to discuss the quality
control plan and contractor’s method for performing each element of work
affecting material quality, including acceptance testing priorities, shipping of
samples, lines of communication for test results, timeframes for reporting quality
control and acceptance test results, and any contractual testing dispute resolution
processes.
• Verify the design R-value by testing the basement material at the grading plane to
verify the planned thickness shown in the pavement structure. Testing should be
completed early enough before the placement of aggregate subbase to allow time
for redesign if necessary. (Refer to Topic 614.3, “California R-Value,” in the
Highway Design Manual for a discussion of R-value and pavement structure
design.)
• Test potential sources of aggregate subbase when the contractor requests such
testing in writing. Deduct applicable Caltrans costs for sampling and testing from
contract payments as required under Section 6-1.03, “Local Materials,” of the
Standard Specifications.
• Review compaction tests of the subgrade that is to receive the aggregate subbase.
Examine the subgrade to ensure that it has not deteriorated since it was tested and
that it is still firm and stable. Give special attention to isolated areas where
pumping occurs.

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Aggregate Subbases 4-25.1
 • Measure the subgrade grading plane for compliance with Section 19-1.03C,
“Grade Tolerance,” of the Standard Specifications. When measuring for
compliance, spot-check areas between stations where stakes are set, as well as the
staked locations. Determine the extent of this measurement based on factors such
as the nature of material, the efficiency of the contractor’s operation, and the
accuracy of the grading operation (as indicated during the early stages of
checking). The grade will be established from markings on the final grade stakes
that Caltrans Surveys set. (Refer to the Staking Information Booklet for
information on state-furnished construction
• When subgrade is cohesionless soil and you decide that the subgrade is unstable
for placing aggregate subbase on the roadbed in layers or windrows, give the
contractor written permission to dump aggregate subbase in piles and spread
ahead.
• Determine whether the contractor has complied with all requirements related to the
use of local materials. Refer to Section 5-1.20B(4), “Contractor-Property Owner
Agreement,” of the Standard Specifications.
4-2503 4-2503 During the Course of Work
During the Course of During work operations, do the following:
Work
• Sample the aggregate subbase at the time it is deposited on the roadbed. Observe
delivered aggregate subbase to ensure that it is clean of debris and other harmful
materials. For requirements related to material quality, perform the tests at the
frequencies shown in Section 6-1, “Sample Types and Frequencies,” of this
manual. The frequency table has a provision for reducing R-value testing, but
exercise caution when doing so. Consider reducing frequency when initial test
results show R-values significantly exceeding the specified R-value and ongoing
gradation and sand equivalent test results indicate acceptable and consistent
material quality. Do not reduce R-value frequency when failing or borderline test
results occur. Include in the project records an explanation of why you reduced R-
value testing.
• Compare sand equivalent and grading test results with requirements for operating
range and contract compliance. (Refer to Section 3-608A, “Operating Range and
Contract Compliance,” of this manual.) Note that it is prudent to take frequent
samples, especially with borderline test results, but test only at the frequency
shown in the table in Section 6-1 of this manual. If a test result fails to meet the
requirement for contract compliance, you may test additional previously taken
samples to determine the quantity of material represented by the failing test result.
• Ensure that aggregate subbase is spread on the subgrade without significant
segregation. Normally, you would verify this step through observation, but if
problems persist, support your observations with a sieve analysis. If segregation is
taking place, it can sometimes be avoided by wetting the material before it is
hauled to the job or before spreading operations start. Watering and compacting go
hand in hand. It is important that the proper amount of water is evenly distributed
in the aggregate at the time of compaction.
• Where geosynthetic materials are shown, ensure materials are properly placed,
including overlapping requirements, and securely holding materials in place during
aggregate subbase placement. Ensure that the geosynthetic materials are not
damaged during placement, spreading, and compaction of the aggregate subbase.

California Department of Transportation  Construction Manual  July 2017

4-25.2 Aggregate Subbases
 Specifications provide limits on the contractor’s equipment and operations. Ensure
any damaged materials are repaired or replaced. Refer to Section 4-96,
“Geosynthetics,” of this manual for additional guidance on geosynthetics.
• Observe the spreading and compacting operation to ensure that it conforms to the
layer thickness requirements of the specifications.
• Test the relative compaction of aggregate subbase layers using the area concept
procedures under California Test 231, “Method of Test for Relative Compaction of
Untreated and Treated Soils and Aggregates Using Nuclear Gage.”
• Observe the compacting operation to ensure that the material forms a uniformly
firm, stable base.
• Measure the surface of the finished aggregate subbase for conformance with
tolerances specified in Section 25-1.03E, “Compacting,” of the Standard
Specifications. Use the markings on the final grade stakes Caltrans set to determine
compliance with the planned elevation of the aggregate subbase surface. Require
corrective action for any deficiencies.
• Measure the thickness of the completed aggregate subbase. Use your judgment to
determine the number of measurements necessary. The minimum acceptable
thickness equals the planned thickness minus the sum of the specified tolerance for
high subgrade and the specified tolerance for low finished aggregate subbase
surface. A thin section is acceptable if an increased thickness of the base material
placed above the aggregate subbase makes up the deficiency. The Standard
Specifications allow the engineer to accept a deduction for deficient thickness in
lieu of other corrective action. Caltrans policy is to ensure that thickness complies
with requirements by ordering corrective action if it is deficient. Therefore, apply
the deduction in only the most extenuating circumstances. Keep adequate records
for payments on progress pay and final estimates.
• Note in the daily report any inspections performed on items that are not otherwise
part of a permanent record. For instance, you do not need to note any compaction
tests taken because these are recorded elsewhere. However, you do need to explain
in the daily report any absence of testing. You also need to note that construction is
being performed according to specified layer thicknesses, because this information
is not recorded elsewhere.
• If the contractor disputes Caltrans’ acceptance results, follow Section 23-
1.01D(1)(b), “Test Result Disputes,” of the Standard Specifications. An
independent third party performs referee testing as specified, must have no prior
direct involvement with the contract, and be mutually selected with the contractor.
4-2504 Level of Inspection 4-2504
Suggested levels of inspection for typical aggregate subbase work activities are: Level of
Inspection
• Benchmark inspection of subgrade grading plane.
• Intermittent sampling and testing of aggregate subbase materials.
• Intermittent inspection of placement, spreading, and compaction operations.
• Intermittent review of contractor’s quality control program including quality
control test results.
• Benchmark inspection of finished surface grading plane.

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Aggregate Subbases 4-25.3
 4-2505 4-2505 Quality Control
Quality Control Guidance for quality control activities included in this section is summarized as
follows:
• Ensure the contractor is actively performing quality control on aggregate subbase
materials throughout production operations by reviewing copies of quality control
records, including quality control test results.
• The quality control plan must include, but is not limited to:
• Frequency of quality control sampling and testing that meets or exceeds
specification requirements as listed in Section 25-1.01D(2)(d), “Quality Control
Testing,” of the Standard Specifications.
• Time and frequency of submitting test results.
• Action and suspension limits, and details of corrective action to be taken if any
process is outside of those limits. Suspension limits must not exceed specified
acceptance criteria.
• Responsibilities of subcontractors and testing laboratories.
• Quality control manager if the quantity of aggregate subbase exceeds the
requirements listed in the “QC Manager Requirement” table of Section 23-
1.01D(2)(a), “Quality Control,” of the Standard Specifications.

4-2506 4-2506 Payment

Payment • Review quantity calculations found in the resident engineer’s pending file to
determine if they are sufficiently detailed and accurate to be used in the project
records.
• Calculate the aggregate subbase volume based on the dimensions shown on the
plans. Make quantity calculations as early in the project as possible.

California Department of Transportation  Construction Manual  July 2017

4-25.4 Aggregate Subbases
Chapter 4 Construction Details

Section 26 Aggregate Bases Section 26

Aggregate Bases
4-2601 General 4-2601
This section provides guidelines for inspecting aggregate bases for work specified under General
Section 26, “Aggregate Bases,” of the Standard Specifications.
Aggregate base is designated as Class 2 or Class 3. The Bid Item List and plans specify
the class and unit of measurement, and the Standard Specifications and special
provisions provide the requirements for each class.
Typical cross section sheets of the contract plans show the thickness and layer placement
of aggregate base within the pavement structure, and layout sheets show where to place
it.
4-2602 Before Work Begins 4-2602
Before placement begins, review the contract plans and specifications to determine the Before Work
aggregate base requirements. For sampling and testing requirements, including Begins
frequency of testing, refer to Chapter 6, “Sampling and Testing,” of this manual.
Include the following steps in the preliminary review and inspections:
• Obtain the contractor’s quality control plan, which details the methods the contractor
will use to ensure quality of work and conformance with the Standard Specifications
requirements.
• If mutually agreed with the contractor, hold a preconstruction meeting with the
contractor and the district Materials Unit prior to construction to discuss the quality
control plan and contractor’s method for performing each element of work affecting
material quality, including acceptance testing priorities, shipping of samples, lines
of communication for test results, timeframes for reporting quality control and
acceptance test results, and any contractual testing dispute resolution processes.
• If the pavement structure cross sections show aggregate base to be placed on soil,
verify the design R-value by testing the basement material at the grading plane to
verify the planned aggregate base thickness shown in the pavement structure.
Complete testing early enough before placement to allow time for any redesign
needed. (Refer to Topic 614, “Soil Characteristics,” in the Highway Design Manual
for a discussion of R-value and pavement structure design.)
• Test potential sources of aggregate base when the contractor requests such testing in
writing. Deduct applicable Caltrans costs for sampling and testing from contract
payments as required under Section 6-1.03, “Local Materials,” of the Standard
Specifications.
• Review compaction tests of the subgrade that is to receive aggregate base. Examine
the subgrade to ensure that it has not deteriorated since it was tested and that it is still
firm and stable. Give special attention to isolated areas where pumping occurs.

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Aggregate Bases 4-26.1
 • Measure the subgrade grading plane for compliance with elevation tolerance
requirements for the material involved. When measuring for compliance, spot-check
the staked locations and areas between stations where stakes are set. Determine the
extent of this measurement based on factors such as the nature of material, the
efficiency of the contractor’s operation, and the accuracy of the grading operation
(as indicated during the early stages of checking). The subgrade tolerances can be
found in the specification for the subgrade material. The grade will be established
from markings on the final grade stakes that Caltrans Surveys set. (Refer to the
Staking Information Booklet for information on Caltrans-furnished construction
surveys.)
• When subgrade is cohesionless soil and you decide that the subgrade is unstable for
placing aggregate base on the roadbed in layers or windrows, you may give the
contractor written permission to dump aggregate base in piles and spread ahead.
• Determine whether the contractor has complied with all requirements related to the
use of local materials. Refer to Section 5-1.20B(4), “Contractor-Property Owner
Agreement,” of the Standard Specifications.

4-2603 4-2603 During the Course of Work

During the Course of During work operations, do the following:
Work • Sample the aggregate base at the time it is deposited on the roadbed. Observe
delivered aggregate base to ensure that it is clean of debris and other harmful
materials. For requirements related to material quality, perform the tests at the
frequencies shown in Section 6-1, “Sample Types and Frequencies,” of this manual.
The frequency table has a provision for reducing R-value testing, but exercise
caution when doing so. Consider reducing frequency when the initial test results
show R-values significantly exceeding the specified R-value and ongoing gradation
and sand equivalent test results indicate acceptable and consistent material quality.
Do not reduce R-value frequency when failing or borderline test results occur.
Include in the project records an explanation of why you reduced R-value testing.
• Compare sand equivalent and grading test results with requirements for operating
range and contract compliance. (Refer to Section 3-608A, “Operating Range and
Contract Compliance,” of this manual.) Note that it is prudent to take frequent
samples, especially with borderline test results, but test only at the frequency shown
in the table in Section 6-1 of this manual. If a test result fails to meet the requirement
for contract compliance, you may test additional previously taken samples to
determine the quantity of material represented by the failing test result.
• If aggregate base will be paid for by weight, obtain the optimum moisture content
from the aggregate base moisture-density compaction curve and sufficient moisture
samples to determine pay quantity adjustments.
• Ensure that the aggregate base is spread on the subgrade without significant
segregation. Normally you would verify this through observation, but if problems
persist, support your observations with a sieve analysis. If segregation is taking
place, it can sometimes be avoided by wetting the material before it is hauled to the
job or before spreading operations start. Watering and compacting go hand in hand.
It is important that the proper amount of water is evenly distributed in the aggregate
at the time of compaction.

California Department of Transportation  Construction Manual  July 2017

4-26.2 Aggregate Bases
• Where geosynthetic materials are shown, ensure materials are properly placed,
including overlapping requirements and securely holding materials in place during
aggregate base placement. Ensure that the geosynthetic materials are not damaged
during placement, spreading, and compaction of the aggregate base. Specifications
provide limits on the contractor’s equipment and operations. Ensure any damaged
materials are repaired or replaced. Refer to Section 4-96, “Geosynthetics,” of this
manual for additional guidance on geosynthetics.
• Observe the spreading and compacting operation to ensure that it conforms to the
layer thickness requirements of the specifications. Note in the daily report any
wasting of material.
• If payment is by weight, measure waste and deduct those quantities. Some material
may be lost during any trimming, and district personnel will decide when to measure
the trimmings. In general, measure trimmings when the cost of such measurement
does not exceed the anticipated deduction.
• Test the relative compaction of aggregate base layers using the area concept
procedures under California Test 231, “Method of Test for Relative Compaction of
Untreated and Treated Soils and Aggregates Using Nuclear Gage.”
• Observe the compacting operation to ensure that the material forms a uniformly
firm, stable base.
• Measure the surface of the finished aggregate base for conformance to tolerances
specified in Section 26-1.03E, “Compacting,” of the Standard Specifications. Use
the markings on the final grade stakes that Caltrans set to determine compliance with
the planned elevation of the aggregate base surface. Require corrective action for
any deficiencies.
• Measure the thickness of the completed aggregate base. Use your judgment to
determine the number of measurements necessary. The minimum acceptable
thickness equals the planned thickness minus the sum of the specified tolerance for
high subgrade and the specified tolerance for low-finished aggregate base surface.
The Standard Specifications allow the engineer to accept a deduction for deficient
thickness in lieu of other corrective action. However, Caltrans policy is to ensure
that thickness complies with requirements by ordering corrective action if thickness
is deficient. Therefore, apply the deduction in only the most extenuating
circumstances. Keep adequate records for payments on progress payment and final
estimates. The type and frequency of measurement for your records will depend on
measurement and payment clauses of the contract.
• Note in the daily report any inspections performed on items that are not otherwise
part of a permanent record. For instance, you do not need to note any compaction
tests taken, because these are recorded elsewhere. However, you do need to explain
in the daily report any absence of testing. You also need to note that construction is
being performed according to specified layer thicknesses, because this information
is not recorded elsewhere.
• If the contractor disputes Caltrans’ acceptance results, follow Section 23-
1.01D(1)(b), “Test Result Disputes,” of the Standard Specifications. An
independent third party performs referee testing as specified, must have no prior
direct involvement with the contract, and be mutually selected with the contractor.

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Aggregate Bases 4-26.3
 4-2604 4-2604 Level of Inspection
Level of Inspection Suggested levels of inspection for typical aggregate base work activities are:
• Benchmark inspection of subgrade grading plane.
• Intermittent sampling and testing of aggregate base materials.
• Intermittent inspection for verification of material deliveries where aggregate base
is paid for by weight.
• Intermittent inspection of placement, spreading, and compaction operations.
• Intermittent review of contractor’s quality control program including quality control
test results.
• Benchmark inspection of finished surface grading plane.
4-2605 4-2605 Quality Control
Quality Control Guidance for quality control activities included in this section is summarized as follows:
• Ensure the contractor is actively performing quality control on aggregate base
materials throughout production operations by reviewing copies of quality control
records, including quality control test results.
• The quality control plan must include, but is not limited to:
o Frequency of quality control sampling and testing that meets or exceeds
specification requirements as listed in Section 26-1.01D(2)(d), “Quality Control
Testing,” of the Standard Specifications.
o Time and frequency of submitting test results.
o Action and suspension limits, and details of corrective action to be taken if any
process is outside of those limits. Suspension limits must not exceed specified
acceptance criteria.
o Responsibilities of subcontractors and testing laboratories.
o Quality control manager if the quantity of aggregate base exceeds the
requirements listed in the “QC Manager Requirement” table of Section 23-
1.01D(2)(a), “Quality Control,” of the Standard Specifications.
4-2606 4-2606 Payment
Payment Review the quantity calculations in the resident engineer’s file to determine if they are
sufficiently detailed and accurate to be used in the project records.
If aggregate base is paid for by weight, refer to the discussion of weighing and metering
procedures in Section 3-902E, “Weighing Equipment and Procedures,” of this manual.
If aggregate base will be paid for by volume, calculate the volume based on the
dimensions shown on the plans. Make quantity calculations as early in the project as
possible.

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4-26.4 Aggregate Bases
Chapter 4 Construction Details

Section 27 Cement Treated Bases

4-2701 General
4-2702 Before Work Begins
4-2703 During the Course of Work
4-2703A Road-Mixed Cement Treated Base
4-2703B Plant-Mixed Cement Treated Base
4-2703C Depositing and Spreading Cement Treated Base
4-2703D Compacting Cement Treated Base
4-2703E Curing Cement Treated Base
4-2704 Level of Inspection
4-2705 Quality Control
4-2706 Payment

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Cement Treated Bases 4-27.i
Chapter 4 Construction Details
Section 27
Section 27 Cement Treated Bases Cement Treated
Bases
4-2701 General 4-2701
This section provides guidelines for inspecting cement treated base (CTB). Section 27, General
“Cement Treated Bases,” of the Standard Specifications provides requirements for
placing CTB—a mix of aggregate, portland cement, and water. CTB specified as either
Class A or Class B is generally used with asphalt pavements and can be either plant-
mixed or road-mixed. However, plant-mixed is most common.
Although the spread method may be specified in the special provisions, CTB may be
spread by one of three allowable methods: Type 1, Type 2, or Type 3. The Bid Item
List and plans will specify the class and mix method. The special provisions will
specify the percent of cement to be added to the CTB.
4-2702 Before Work Begins 4-2702
Include the following steps in the preliminary review and inspections: Before Work
Begins
• Obtain the contractor’s quality control plan, which details the methods the
contractor will use to ensure quality of work and conformance with the
requirements of Standard Specifications.
• If mutually agreed with the contractor, hold a preconstruction meeting with the
contractor and the district materials unit prior to construction to discuss the quality
control plan and contractor’s method for performing each element of work
affecting material quality, including acceptance testing priorities, shipping of
samples, lines of communication for test results, timeframes for reporting quality
control and acceptance test results, and any contractual testing dispute resolution
processes.
• For initial testing, obtain representative samples from the contractor’s source of
CTB aggregate and test for the required quality characteristics. 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, requires new tests for quality
characteristics. Request strength tests at 5 percent cement and other percentages
above and below 5 percent (usually in 0.5 percent increments) to determine the
correct cement content. For aggregates of borderline quality, consider making
additional initial strength tests at varying gradations (within specifications), using 5
percent cement.
• For suppliers whose past performance has been reliably verified, 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

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Cement Treated Bases 4-27.1
 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 7-day compressive strength of initial
samples is less than approximately 1,000 psi.
2. Decrease cement content if the 7-day compressive strength of initial
samples at the percent specified is more than approximately 1,250 psi.
• Verify that safe and convenient facilities have been provided for sampling cement.
• Ensure the aggregate material source complies with Section 7-103H (2), “Surface
Mining and Reclamation Act,” of this manual.
• If the contractor will be batch mixing, examine the mixer before use and call to the
contractor’s attention any excessively worn or missing paddles.
• Before placing 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.
4-2703 4-2703 During the Course of Work
During the Course of During the course of work, do the following:
Work
• For acceptance quality characteristics and associated sampling and testing
frequencies, refer to Chapter 6-1, “Sample Types and Frequencies,” of this
manual.
• Before mixing, obtain samples of the aggregate for acceptance testing.
• 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
tests reasonably match the anticipated results based on the initial tests, the
frequency of the tests can be reduced (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.” 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 layer whenever this separate
measurement is physically possible.
If the contractor disputes Caltrans’ acceptance results, follow Section 23-1.01D(1)(b),
“Test Result Disputes,” of the Standard Specifications. An independent third party
performs referee testing and must have no prior direct involvement with the contract as
specified and be mutually selected with the contractor.

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4-27.2 Cement Treated Bases
4-2703A Road-Mixed Cement Treated Base
For road-mixed CTB, do the following:
• 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
will not fall below 1 percentage point from optimum before initial compaction.
For multilayer construction, ensure the contractor mixes and compacts each layer
separately.
4-2703B Plant-Mixed Cement Treated Base
For plant-mixed CTB, 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 1 percentage point from optimum at the point
of delivery to the work.
• To detect any obvious faults, observe the mixing operation and the mixture. Time
the mixing operation to ensure it takes longer than 30 seconds. If observations or
tests indicate poor cement distribution, require a longer mixing cycle.
4-2703C Depositing and Spreading Cement Treated Base
During the depositing and spreading of CTB, do the following:
• Ensure the contractor uses the specified type of spreading operation.
• Generally, if loads are hauled in hot weather and if the haul takes more than 30
minutes, require covers on hauling units.
• Spreading can be a separate operation from depositing or it can be combined in a
single operation with depositing. If spreading is a separate operation, ensure the
contractor complies with the requirements for uniform placement.
• If 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.

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Cement Treated Bases 4-27.3
 • Observe the surface condition of any lower layer of CTB. Ensure the contractor
complies with moisture requirements for lower layers. Keep separate records for
any curing seal placed on lower layers.
• Ensure the contractor uses satisfactory methods to place CTB in areas inaccessible
to mechanical spreading equipment. The end product must be homogeneous,
placed to the required thickness, and properly compacted.
• Ensure the contractor complies with temperature requirements for spreading CTB.
4-2703D Compacting Cement Treated Base
During the compaction of CTB, do the following:
• Measure the operation’s total time interval to ensure it conforms to Section
27-1.03G, “Operation Time Requirement,” of the Standard Specifications.
• To ensure compliance with compaction requirements, test each layer of multilayer
construction.
• After the initial rolling, ensure the finished surface is within the specified tolerance.
Require the contractor to trim high spots and to meet the requirements for filling
low areas. Prohibit the contractor from filling low areas with loose material from
the trimming operation.
• Ensure the equipment used for final compaction repairs any surface areas that the
trimming has torn or segregated.
• To ensure compliance with the specified tolerance, measure the finished surface
with a straightedge.
4-2703E Curing Cement Treated Base
Ensure that the asphaltic emulsion used for curing seal is diluted, mixed, and uniformly
applied on the completed CTB as required under 27-1.03I, “Curing.”
Ensure that the contractor keeps the CTB surface moist until curing seal is applied.
Determine 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.
Obtain necessary certificates of compliance and samples of asphaltic emulsion.
4-2704 4-2704 Level of Inspection
Level of Inspection Suggested levels of inspection for typical cement treated base work activities are:
• Benchmark inspection of subgrade grading plane.
• Intermittent sampling and testing of cement treated base materials.
• Intermittent inspection of placement, spreading, and compaction operations.
• Intermittent review of contractor’s quality control program including quality
control test results.
• Benchmark inspection of finished surface grading plane.

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4-27.4 Cement Treated Bases
4-2705 Quality Control 4-2705
Guidance for quality control activities included in this section is summarized as Quality Control
follows:
• Ensure the contractor is actively performing quality control on CTB materials
throughout production operations by reviewing copies of quality control records,
including quality control test results.
• The quality control plan must include, but is not limited to:
o Frequency of quality control sampling and testing that meets or exceeds
specification requirements as listed in Section 27-1.01D(2)(d), “Quality
Control Testing,” of the Standard Specifications.
o Time and frequency of submitting test results.
o Action and suspension limits and details of corrective action to be taken if any
process is outside of those limits. Suspension limits must not exceed specified
acceptance criteria.
o Responsibilities of subcontractors and testing laboratories.
o Quality control manager if the quantity of subbase or base exceeds the
requirements listed in the “QC Manager Requirement” table of Section 23-
1.01D(2)(a), “Quality Control,” of the Standard Specifications.
4-2706 Payment 4-2706
For measurement and payment, do the following: Payment
• Use change orders to cover ordered changes in the cement content.
• Do not pay as CTB any excess material used at other locations.
• When CTB is paid for by weight, refer to the discussion of weighing and metering
procedures in Section 3-902E, “Weighing Equipment and Procedures,” of this
manual. Make any appropriate deductions for excess moisture.
• When CTB is to be paid for by volume, review the plans and quantity calculations
in the resident engineer’s file to determine if there is sufficient detail and accuracy
to be used in the project records. Make appropriate deductions for any lack of
compliance with thickness specifications.
• For information about measurement and payment of curing seal, refer to Section 4-
94, “Asphaltic Emulsions,” of this manual.

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Cement Treated Bases 4-27.5
Chapter 4 Construction Details

Section 28 Concrete Bases Section 28

Concrete Bases
4-2801 General 4-2801
This section provides guidelines for inspecting concrete bases for work specified under General
Section 28, “Concrete Bases,” of the Standard Specifications.
The most common type of concrete base is lean concrete base, which is proportioned,
mixed, and placed in a manner similar to concrete pavement. Lean concrete base rapid
setting has the same applications, but is usually specified for projects with short
construction windows. The Bid Item List and plans will specify the type of concrete
base.
Resident engineers need to plan carefully to fully meet the requirements for inspecting
and testing materials. When planning for the inspection of concrete bases, consider the
following:
• The production of concrete base.
• The placing, finishing, and curing of concrete base.
• The subgrade, specified equipment, and construction of joints for concrete base.
Plant inspection specialists and testing personnel usually perform inspection and testing
duties at the concrete batch plant. However, in addition to onsite inspection, mix design
authorization and plant inspection are part of the resident engineer’s responsibility.
Good communication between plant and inspection specialists, and assistant resident
engineers is essential. Inspectors and assistants must inform the resident engineer of
test results in a timely manner.
This section covers mostly onsite inspection duties. For information on producing and
transporting concrete base, refer to Section 4-90, “Concrete,” of this manual.
4-2802 Before Work Begins 4-2802
For preliminary review and inspections, do the following: Before Work
Begins
• Obtain the contractor’s quality control plan, which details the methods the
contractor will use to ensure quality of work. Review the quality control plan for
conformance with the Standard Specifications requirements.
• Meet prior to construction to discuss the quality control plan and contractor’s
method for performing each element of work affecting material quality including
acceptance testing priorities, shipping of samples, lines of communication for test
results, timeframes for reporting quality control and acceptance test results, and
any contractual testing dispute resolution processes.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes the
aggregate, cement, and curing material. Refer to Section 6-202, “Responsibilities
for Acceptance of Manufactured or Fabricated Materials and Products,” of this
manual for additional information.

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Concrete Bases 4-28.1
 • Review the contractor’s proposed mix design for conformance with the
specifications.
• 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 verify they have the specified attributes for
items such as composition, weight, dimensions, and rigidity. Before
each use, ensure that the forms are cleaned and oiled.
b. Check that the installation of the forms complies with specifications.
Before the placement of concrete, order any necessary corrective
work.
c. Ensure that the paving equipment complies with specifications.
2. For slipform construction, verify that the paver has the specified attributes.
Require the specified demonstration of satisfactory operation and note such
activity in the daily report.
3. For base protection, determine that the contractor meets the requirements by
examining all equipment that will travel on the completed base.
• Just before the start of paving, check the accuracy of the final grade stakes.
• Inspect the subgrade to ensure it conforms to the tolerances specified for
compaction and elevations. Ensure that any low areas are identified and will be
filled with additional base and that any high areas are trimmed as specified.
Additional thickness is paid for as part of the lower layer and must not be included
when quantifying concrete base.
• 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 concrete base. Section
4-90, “Concrete,” of this manual covers the items involved.
• Ascertain the curing methods and type of material the contractor proposes to use.
Discuss with the contractor the requirements for labeling and packaging the curing
compound.
• 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.
• When the project requires long hauls, review the contractor’s proposed placement
method to ensure adequate time.
• Ensure the subgrade is uniformly moist.

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4-28.2 Concrete Bases
4-2803 During the Course of Work 4-2803
During the course of work, do the following: During the Course
• For acceptance quality characteristics and associated sampling and testing of Work
frequencies, refer to Chapter 6-1, “Sample Types and Frequencies,” of this
manual.
• Before mixing, obtain samples of the aggregate in accordance with the frequency
shown in Section 6-1, “Sample Types and Frequencies,” of this manual.
• When the results of grading or sand equivalent tests, or both, are outside the limits
for contract compliance, determine whether the concrete base represented by the
tests is structurally adequate. When 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
base in place, and notify the contractor of your decision and the deduction amount.
• Prior to mixing and placement of concrete base, ensure the subgrade is not frozen
and the ambient temperature exceeds the minimum specified.
• As it is placed, observe the concrete base for any improper proportions or
inadequate mixing. In the daily report, record the reasons for rejecting any concrete
base and the approximate amount rejected.
• Ensure the contractor furnishes the required tachometer. Also, check 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
weighmaster certificates at the delivery point, refer to Section 4-90, “Concrete,” of
this manual.
• Obtain samples of the plastic concrete, and perform penetration, strength, and air
content tests in accordance with the frequencies shown in Section 6-1, “Sample
Types and Frequencies,” of this manual.
• Ensure the material for longitudinal weakened plane joints is placed to the
dimensions specified. Also, ensure the contractor vibrates the concrete base to
cause an even flow of material surrounding the joint.
• Ensure the construction of a contact joint whenever the time interval is greater than
the specifications allow for placement of two successive loads of concrete base.
• When the contractor uses side form construction, ensure screeding and tamping
conform to the specifications. Where the hand-float method is permissible, ensure
the contractor uses the specified floats and methods.
• Ensure the surface of the concrete base is textured as specified. Concrete base to be
surfaced with hot mix asphalt pavement must have a rough texture to prevent
slippage between surfacing and base. Concrete base to be surfaced with concrete
pavement must have a smooth texture to allow the pavement to adjust for early
thermal and moisture changes without forming random cracks.
• Measure the finished surface of the concrete base. Record the measurements, and
require the specified corrections for areas not meeting elevation requirements.
Ensure high areas are addressed immediately.

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Concrete Bases 4-28.3
 • If the contractor disputes Caltrans’ acceptance results, follow Section 23-
1.01D(1)(b), “Test Result Disputes,” of the Standard Specifications. An
independent third party, selected with the contractor, performs referee testing and
must have no prior direct involvement with the contract as specified.
4-2803A Curing Concrete Bases
• Determine the curing method the contractor proposes to use and ensure the curing
equipment, material, and application complies with the specifications. The curing
material specified depends on whether the overlying surface is concrete or hot mix
asphalt pavement.
• When specified, require additional applications of curing material.
• Ensure curing is reapplied on any disturbed areas.
• For curing compound:
o Ensure shipments of curing compound are labeled and packaged as specified.
o Obtain a certificate of compliance, including required test results, for each
batch of curing compound.
o 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.
o Ensure 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.
o Ensure curing compound is applied at an ambient temperature above the
minimum specified.
• For curing seal:
o Ensure that the asphaltic emulsion used for curing seal is diluted, mixed, and
uniformly applied as specified.
o Determine 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.
4-2804 4-2804 Level of Inspection
Level of Inspection Suggested levels of inspection for typical concrete base work activities are:
• Benchmark inspection of subgrade for compaction and elevation requirements.
• Benchmark inspection of forms and paving equipment.
• Benchmark inspection of forms and paving equipment.
• Continuous inspection of concrete delivery, placement, finishing, curing, and
contraction joint operations.
• Intermittent review of contractor’s quality control program including quality
control test results.
• Continuous acceptance sampling and testing.
• Benchmark inspection of finished surface texture.

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4-28.4 Concrete Bases
4-2805 Quality Control 4-2805
Guidance for quality control activities included in this section is summarized as Quality Control
follows:
• Ensure the contractor is actively performing quality control on concrete base
materials throughout production operations by reviewing copies of quality control
records, including quality control test results.
• The quality control plan must include, but not be limited to:
o Frequency of quality control sampling and testing that meets or exceeds
specification requirements.
o Time and frequency of submitting test results.
o Action and suspension limits and details of corrective action to be taken if any
process is outside of those limits. Suspension limits must not exceed specified
acceptance criteria.
o Responsibilities of subcontractors and testing laboratories.
o Quality control manager if the quantity of subbase or base exceeds the
requirements listed in the “QC Manager Requirement” table of Section 23-
1.01D(2)(a), “Quality Control,” of the Standard Specifications.
4-2806 Payment 4-2806
For measurement and payment, do the following: Payment
• Review the plans and quantity calculations in the resident engineer’s file to
determine if there is sufficient detail and accuracy to be used in the project records.
• For information about measurement and payment of curing seal, refer to Section 4-
94, “Asphaltic Emulsions,” of this manual.

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Concrete Bases 4-28.5
Chapter 4 Construction Details

Section 29 Treated Permeable Bases

4-2901 General
4-2902 Before Work Begins
4-2903 During the Course of Work
4-2903A Asphalt-Treated Base
4-2903B Cement-Treated Permeable Base
4-2903C Protection
4-2903D Surface Tolerance
4-2904 Level of Inspection
4-2905 Quality Control
4-2906 Payment

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Treated Permeable Bases 4-29.i
Chapter 4 Construction Details
Section 29
Section 29 Treated Permeable Bases Treated
Permeable Bases
4-2901 General 4-2901
This section provides guidelines for inspecting treated permeable base for work General
specified under Section 29, “Treated Permeable Bases,” of the Standard Specifications.
Treated permeable base is placed under concrete or hot mix asphalt pavement and
provides a highly permeable drainage layer within the pavement structure. The Bid
Item List and plans will specify the type of binder material, either asphalt or cement.
4-2902 Before Work Begins 4-2902
For preliminary review and inspections, do the following: Before Work
• Obtain the contractor’s quality control plan, which details the methods the
Begins
contractor will use to ensure quality of work and conformance with the
requirements of the Standard Specifications.
• If mutually agreeable with the contractor, hold a meeting prior to construction to
discuss the quality control plan and contractor’s method for performing each
element of work affecting material quality, including acceptance testing priorities,
shipping of samples, lines of communication for test results, timeframes for
reporting quality control and acceptance test results, and any contractual testing
dispute resolution processes.
• 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, “Concrete,” of this manual
provide guidelines.
• Ensure the underlying subgrade meets compaction requirements and is uniformly
moist and free of loose or extraneous material.
• Inspect the subgrade elevation. Areas lower than the grade established by the
resident engineer must be filled with permeable base. Spot check areas at stations
where stakes are set and between stations.
• Verify that filter fabric meets specifications.
• Review planned locations of cross-drain interceptors and Sheet P53 of the
Standard Plans. Ensure the interceptors are properly located to prevent water
collecting under the pavement. Refer to Section 4-68, “Subsurface Drains,” of this
manual for information about underdrains.
• Ensure spreading and compacting equipment complies with the specifications.

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Treated Permeable Bases 4-29.1
 4-2903 4-2903 During the Course of Work
During the Course of During the course of work, follow these inspection steps:
Work • Verify that the air temperature exceeds the minimum specified temperature during
spreading.
• Verify that filter fabric is placed on the high side of the treated permeable blanket
in accordance with the plans and specifications.
• Refer to Chapter 6-1, “Sample Types and Frequencies,” of this manual for
acceptance quality characteristics and associated sampling and testing frequencies.
• Follow Section 23-1.01D(1)(b), “Test Result Disputes,” of the Standard
Specifications if the contractor disputes Caltrans’ acceptance results. An
independent third party, selected with the contractor, performs referee testing as
specified in the specifications and must have no prior direct involvement with the
contract.
4-2903A Asphalt-Treated Permeable Base
• Determine which compaction method the contractor plans to use and verify that
rollers used do not exceed the specified weight requirements.
• Check the temperature of the asphalt-treated permeable base to ensure that
compaction is performed within the specified temperature range.
• During placement of the asphalt treated permeable base over edge drains, verify
that the temperature of the material falls within the limits specified in Section 68-
4.03, “Construction,” of the Standard Specifications, which covers the installation
of subsurface drains. Staying below the maximum limit is critical to prevent
damage to the edge drains.
4-2903B Cement-Treated Permeable Base
• Verify that the contractor meets the time and temperature requirements for mixing
and transporting.
• Reject any that is segregated or not uniformly mixed.
• Observe rolling to determine that compaction meets specifications.
• Observe the consistency of cement-treated permeable base during placement. If the
mix is too wet, order an adjustment to the water-cement ratio to ensure that the
cement paste does not plug the openings in the edge drains.
• Determine that the base is cured as specified.
4-2903C Protection
Contamination or filling voids with foreign material will destroy the base’s function.
The assistant resident engineer should be alert to this problem and require the
contractor to take steps to ensure the base remains free of any foreign material.
Do not allow any equipment on the completed mat except what is permitted in Section
5-1.37, “Maintenance and Protection,” of the Standard Specifications.
4-2903D Surface Tolerance
For the finished surface of treated bases, the specifications provide tolerances above
and below the grade established by the resident engineer. Check the finished surface as

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4-29.2 Treated Permeable Bases
described for subgrade under “Before Work Begins” in this section. Document the
results in the resident engineer’s daily report and require the specified corrections for
low or high areas. For low areas, decide whether permeable base is removed and
replaced or allowed to remain after correcting with specified pavement materials.
Information in Chapter 650, “Pavement Drainage,” of the Highway Design Manual
may be used to determine the adequate thickness of treated permeable base layers.
4-2904 Level of Inspection 4-2904
Suggested levels of inspection for typical treated permeable base work activities are: Level of Inspection
• Benchmark inspection of subgrade grading plane.
• Intermittent sampling and testing of treated permeable base materials.
• Intermittent inspection of placement, spreading, and compaction operations.
• Intermittent review of contractor’s quality control program including quality
control test results.
• Benchmark inspection of finished surface grading plane.
4-2905 Quality Control 4-2905
Guidance for quality control activities included in this section is summarized as Quality Control
follows:
• Ensure the contractor is actively performing quality control on treated permeable
base materials throughout production operations by reviewing copies of quality
control records, including quality control test results.
• The quality control plan must include, but is not limited to:
o Frequency of quality control sampling and testing that meets or exceeds
specification requirements as listed in Section 29-2.01D(2)(b) and 29-
3.01D(2)(b), “Quality Control Testing,” of the Standard Specifications.
o Time and frequency of submitting test results.
o Action and suspension limits, and details of corrective action to be taken if any
process is outside of those limits. Suspension limits must not exceed specified
acceptance criteria.
• Responsibilities of subcontractors and testing laboratories.
• Quality control manager if the quantity of subbase or base exceeds the
requirements listed in the “QC Manager Requirement” table of Section 23-
1.01D(2)(a), “Quality Control,” of the Standard Specifications.
4-2906 Payment 4-2906
For measurement and payment, review the plans and quantity calculations in the Payment
resident engineer’s file to determine if there is sufficient detail and accuracy to be used
in the project records. The payment for treated permeable base does not include
quantity used for edge drains or to fill low areas of subgrade.

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Treated Permeable Bases 4-29.3
Chapter 4 Construction Details
Section 30
Section 30 Reclaimed Pavements Reclaimed
Pavements
4-3001 General 4-3001
This section provides guidelines for inspecting reclaimed pavements for work specified General
under Section 30, “Reclaimed Pavements,” of the Standard Specifications, which
includes pulverized roadbed; full depth reclamation—foamed asphalt; full depth
reclamation—cement; and crack and seat.
This section addresses operations related to construction of pavement bases by using
reclaimed pavement as base material. Pavement reclamations include operations for
pulverized roadbed; full depth reclamation—foamed asphalt; full depth reclamation—
cement; and crack and seat.
4-3002 Before Work Begins 4-3002
Before work begins, take the following steps: Before Work
Begins
• Review the contract documents to determine the type of pavement reclamation and
the locations where pavement will be reclaimed and placed as base material.
• At least 20 days before starting pavement reclamation work, obtain the
contractor’s quality control plan, which details the methods the contractor will use
to ensure quality of work and conformance with the requirements of the Standard
Specifications.
• Hold a preoperation meeting to discuss the quality control plan and contractor’s
method for performing each element of work affecting material quality, including
acceptance testing priorities, lines of communication for test results, timeframes for
reporting quality control and acceptance test results, and any contractual testing
dispute resolution processes and mix design determination.
• Review the asphaltic emulsion submittals and verify that the asphaltic emulsions
comply with Section 30-1.01C(2), “Asphaltic Emulsion,” of Standard
Specifications.
• Review mix design when applicable. If the contractor proposes a cement content
different from specified, review the proposed mix design test results. Based on test
results, and in consultation with the district materials engineer, decide whether the
proposed percent of cement will produce the design strength in the finished
product.
• Conduct field visits to verify surface is prepared for operation.
For crack and seat, take the following steps:
• Designate and mark a section of roadway for contractor to construct the test strip.
• Identify locations of core to be collected by the contractor from test strip.
• Use the collected core from test strip to evaluate the effectiveness of contractor
cracking operation.

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Reclaimed Pavements 4-30.1
 4-3003 4-3003 During the Course of Work
During the Course of During the work, take the following steps:
Work
• 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, 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.
• Review the pavement reclamation test strip report for compliance before
authorizing the contractor to start pavement reclamation activities. In the absence
of the engineer’s authorization, the contractor may start pavement reclamation at
their own risk.
• Obtain and review contractor’s daily quality control report for each lot.
• For acceptance of reclaimed pavement, conduct visual inspection to verify absence
of defects such as segregation, tearing, scarring of surface, unevenness, and
irregularity of compacted reclaimed pavement. Review the test result and verify
the reclaimed pavement is compacted to specified relative compaction.
4-3004 4-3004 Level of Inspection
Level of Inspection Suggested levels of inspection for typical reclaimed pavement activities are:
• Intermittent inspection of materials produced from pavement reclamation.
• Benchmark inspection of compaction of pulverized roadbed, full depth
reclamation—foamed asphalt, and full depth reclamation—cement.
• Intermittent inspection of seating of cracked pavement.
4-3005 4-3005 Quality Control
Quality Control Verify that the contractor is actively performing quality control on reclaimed,
pavement-produced base throughout production operations by reviewing copies of
quality control records, including quality control test results. Discuss the deficiencies
and noncompliance with the contractor as soon as possible. Do not authorize pavement
reclamation before all noncompliance is addressed.
Verify the reclaimed pavement compliance with the materials quality characteristics
requirements, testing frequency, and sampling location for the type of reclaimed
pavement.
4-3006 4-3006 Payment
Payment For measurement and payment, review the plans and quantity calculations in the
resident engineer’s file to determine if there is sufficient detail and accuracy to be used
in the project records.
Issue a change order to cover ordered changes to the cement content for full depth
reclamation—cement.

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4-30.2 Reclaimed Pavements
Chapter 4 Construction Details

Section 36 Surfacing and Pavements—General

4-3601 General
Table 4-36.1 Additional Information for Surfacing and Pavements
4-3602 Before Work Begins
4-3602A Preconstruction Meetings
4-3602B Base Bond Breaker
4-3602C Pavement Smoothness
4-3603 During the Course of Work
4-3603A Base Bond Breaker
4-3603B Pavement Smoothness
4-3604 Level of Inspection
4-3604A Base Bond Breaker
4-3604B Pavement Smoothness
4-3605 Quality Control
4-3605A Base Bond Breaker
4-3605B Pavement Smoothness
4-3606 Payment
4-3606A Base Bond Breaker
4-3606B Pavement Smoothness

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Surfacing and Pavements—General 4-36.i
Chapter 4 Construction Details
Section 36
Section 36 Surfacing and Pavements—General Surfacing and
Pavements—
General
4-3601 General 4-3601
Section 36, “General,” of the Standard Specifications includes general requirements for General
sections within Division V “Surfacings and Pavements” of the Standard Specifications.
This section provides general guidelines for preconstruction meetings and pavement
smoothness. Refer to the sections listed in Table 4-36.1 of the Standard Specifications
and this manual for additional information.
Table 4-36.1. Additional Information for Surfacing and Pavements

Standard Specification Construction

Section Title
Section Manual Section
Seal Coats 37 4-37
Asphalt Concrete 39 4-39
Concrete Pavement 40 4-40
Existing Concrete Pavement 41 4-41
Groove and Grind Concrete 42 4-42

This section also includes inspection guidelines for base bond breaker that is applied
between a base and concrete pavement.
4-3602 Before Work Begins 4-3602
Before Work
4-3602A Preconstruction Meetings
Begins
Hold a preconstruction meeting for the surfacing and or paving operation work a
minimum of 3 business days before the start of the work. This meeting is specific to the
surfacing or paving work and is not the same meeting as required in Section 8-1.03,
“Preconstruction Conference,” of the Standard Specifications and as described in
Section 5-003 “Preconstruction Conference with the Contractor,” of this manual. For
preconstruction meetings under this section, discuss the specifications and process for
producing materials and constructing the surfacing or pavement. Refer to Section 36-
1.01D(2), “Preconstruction Meetings,” of the Standard Specifications for a list of
topics to include in the meeting. Review the applicable specification section for
additional items that are required to be covered in this preconstruction meeting.
Caltrans staff at this preconstruction meeting must include the resident engineer,
principal assistants, material sampling and testing staff, and other key personnel.
Refer to Section 36-1.01D(2), “Preconstruction Meetings,” of the Standard
Specifications for the list of contractor personnel that are required to attend. Ensure the
contractor also includes:
1. For seal coats, the emulsion and binder suppliers.

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Surfacing and Pavements—General 4-36.1
 2. For hot mix asphalt using a warm mix asphalt additive technology, the
technical representative for the warm mix asphalt technology.
3. For individual slab replacement with rapid strength concrete, the concrete
plant inspectors and personnel performing saw-cutting and joint sealing.
Do not allow placement of the trial slabs, construction of test strips, or paving to start
until the required personnel have attended the preconstruction meeting.
4-3602B Base Bond Breaker
Before work on the base bond breaker begins, do the following:
• Review the contractor’s proposed base bond breaker to ensure it meets the
requirements for the type of base it is being placed over.
4-3602C Pavement Smoothness
Before work begins, take the following steps:
• Review the contract and determine which portions of new pavement will be
subject to inertial profiler requirements and which portions will be subject to
straightedge requirements.
• In advance of the contractor’s start of surfacing or paving operations, ensure
project staff are trained and knowledgeable in the use of ProVAL computer
software. ProVAL is used to view and analyze raw profile data as well as review
and generate PDF reports. ProVAL is on Caltrans’ Approved Software List and
online training is available for Caltrans employees at:
http://onramp.dot.ca.gov/hq/maint/pavement/Asphalt_Pavement.shtml
ProVAL software is available at:
http://www.roadprofile.com/
• Ensure the contractor submits certifications for the inertial profilers and operators
and that certifications are not more than 12 months old.
• Discuss pavement smoothness requirements at the preconstruction meeting
required for the surfacing or pavement operation. Include the following items in
the discussion:
• The contractor is required to register with Caltrans’ electronic file sharing system
at least 15 days prior to profiling. To start the registration process, the contractor
must send an email that includes contact information to [email protected].
• Within 2 business days after each profiling, the contractor must submit the profile
information to the engineer and to Caltrans’ file sharing system. Refer to Section
4-3603, “During the Course of Work,” of this manual for more specific details of
what is required in each submittal.
• After submitting the profile information to Caltrans’ file sharing system, the
contractor must also send a notification to the engineer and to the above electronic
mailbox.
• Failure to submit profile information within prescribed time frames is subject to
progress payment withholds specified in Section 9-1.16E(3), “Performance Failure

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4-36.2 Surfacing and Pavements—General
 Withholds,” of the Standard Specifications. Refer to Section 3-906F (2),
“Performance Failure Withholds,” of this manual.
• All bridge approach slabs, bridges, and culverts visible on the roadway surface and
at grade intersections must be recorded in the raw inertial profile data.
• Contractor must mark beginning and ending stationing of contractor profiles so the
engineer may verify final acceptance profiles. Lack of beginning and ending
station markings on shoulder may delay the engineer’s validation profiles and
acceptance.
4-3603 During the Course of Work 4-3603
During the Course of
4-3603A Base Bond Breaker
Work
During the base bond breaker work, take the following steps:
• Ensure contractor submits a certificate of compliance for each shipment of base
bond breaker material delivered.
• Ensure base material is free of any foreign and loose materials and the base is
cured prior to applying base bond breaker.
• Ensure the base bond breaker used is specified for the type of base it is covering.
• Ensure base bond breaker is paved over within 72 hours of placing base bond
breaker.
• Ensure base bond breaker is applied in accordance with the specifications.
4-3603B Pavement Smoothness
During the pavement smoothness work, take the following steps:
• At locations not requiring pavement smoothness testing using an inertial profiler:
1. Ensure the contractor tests areas for smoothness using a 12-foot straightedge.
After testing, ensure the contractor submits a list of areas that require
correction. Ensure each area is identified by size and location as required by
the specifications.
2. Ensure follow-up acceptance testing with a straightedge is performed to
confirm contractors list is complete. If the area was measured using an inertial
profiler, consider using the ProVAL Rolling Straightedge module to help
identify locations that should be manually checked with the straightedge.
• Ensure the inertial profiler displays a current certification. Both the left and right
accelerometers are to have a Caltrans-issued decal indicating the date the
certification expires.
• In the Engineer’s presence, ensure the contractor performs:
1. The required calibration and verification tests of the inertial profiler before
each day’s operation.
2. The cross-correlation verification test at least once per project and at least once
per year on each pavement surface type.
• Ensure the inertial profiler operator has a current Caltrans-issued certificate. Ensure
the certificate covers the model of the certified inertial profiler.

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Surfacing and Pavements—General 4-36.3
 • Ensure the contractor marks the beginning and ending station on the pavement
shoulder. When stationing is covered by additional surfacing or pavement, ensure
markings are transferred to the next surface and display the same stationing. Prior
to running verification tests, ensure the beginning and end station are still clearly
marked, and that Caltrans’ inertial profiler operator uses the same stationing as the
contractor.
• Ensure the contractor submits pavement smoothness data in compliance with the
current pavement smoothness requirements.
• To assist in gathering pavement smoothness information and pavement
smoothness data files, promote the use of data collection forms. Pavement
smoothness forms are available at:
http://www.dot.ca.gov/hq/construc/forms.htm
These forms include:
• Form CEM-3736, “Pavement Smoothness Inertial Profiler Submittal Record,” is
a checklist to review the completeness of submittals of inertial profiler data files,
reports, and calibration information. This form should be used for both hot mix
asphalt and concrete pavements.
• Forms CEM-3736AC, “Asphalt Concrete Pavement Smoothness Corrections
Information,” and CEM-3736C, “Concrete Pavement Smoothness Corrections
Information,” provide information on pavement smoothness corrections made by
contractors. The information collected on these forms will be used by Caltrans to
help determine if improvements to the Caltrans pavement smoothness
specifications are required. These forms should be completed by the contractor
and submitted to the resident engineer and the smoothness electronic mailbox
address.
• After each inertial profiling by the contractor, review the inertial profiles for
accuracy and contract compliance.
• Upon receipt of the contractor’s inertial profiles proposed for acceptance, review
the raw profile data file, and the two ride quality reports using the guidelines
described in items 1, 2, and 3. Carefully review the submittals to ensure:
1. All listed leave-outs meet the requirements for the contract.
2. The ride-quality analysis report for International Roughness Index indicates no
locations where short continuous roughness exceeds the established
specification limit for areas of localized roughness.
3. On the ride-quality analysis report for mean roughness index, where full 0.10-
mile fixed increments are indicated, all mean roughness index values do not
exceed the maximum mean roughness index provided for the contract. Where
partial fixed increments are shown (fixed increments less than 0.10 mile),
evaluate compliance against the contract requirements after adjusting the
calculated mean roughness index for the partial section as described in the
specification.
• After reviewing and accepting the contractor’s profiles proposed for acceptance,
request Caltrans’ inertial profile be run. Include a copy of the contractor’s raw data
file. Prior to submitting the request, ensure the contractor’s beginning and ending

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4-36.4 Surfacing and Pavements—General
 stationing locations are still clearly marked on the shoulder. Caltrans should use
the same stationing. This allows both files to be simultaneously loaded in ProVAL
and compared for differences.
• Upon receipt of Caltrans’ verification inertial profile runs, evaluate and validate the
contractor’s profiles when each contractor’s mean roughness index value is within
10 percent of Caltrans’.
4-3604 Level of Inspection 4-3604
Level of Inspection
4-3604A Base Bond Breaker
• Benchmark inspection of the existing base material to ensure it is free of any
foreign or loose material, and base has fully cured prior to applying base bond
breaker.
• Intermittent inspection of the application of the base bond breaker to ensure it
meets the requirements
4-3604B Pavement Smoothness
• Intermittent inspection to assure inertial profiler and operator certifications are
current.
• Intermittent inspection to assure beginning and ending stationing of inertial profiler
runs are marked on the shoulder, and correctly transferred to subsequent lifts when
necessary.
• Intermittent inspection of submitted inertial profile submittals to ensure they meet
the contractual requirements.
• Benchmark inspection of contractor’s final “corrected” inertial profiles to ensure
they meet the requirements for pavement smoothness, including ensuring they are
within 10 percent of Caltrans’ International Roughness Index values for each 0.1-
mile section.
4-3605 Quality Control 4-3605
Quality Control
4-3605A Base Bond Breaker
• Ensure contractor submits a certificate of compliance for each delivery of base
bond breaker material.
4-3605B Pavement Smoothness
• Ensure contractor has current certifications for inertial profiler and its operator.
4-3606 Payment 4-3606
Payment
4-3606A Base Bond Breaker
• Measure and pay for base bond breaker where shown on the plans. Do not include
any quantity for overlap.
• If performance grade asphalt binder is used as a base bond breaker, determine its
weight in accordance with the Section 92-1.04, “Payment,” of the Standard
Specifications. Make any adjustments in accordance with Section 9-1.07,
“Payment Adjustments for Price Index Fluctuations,” of the Standard

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Surfacing and Pavements—General 4-36.5
 Specifications. Do not include the weight of the asphalt binder used for base bond
breaker in any other payment item.
4-3606B Pavement Smoothness
• Payment for pavement smoothness is included in bid item covering the pavement
being placed. If the contractor fails to submit required pavement smoothness
submittals within the specified time, withhold from the next progress payment in
accordance with Section 9-1.16E(3), “Performance Failure Withholds,” of the
Standard Specifications.
• During each progress payment, estimate the cost to correct smoothness on final
surfaces that were constructed during the previous estimate period and apply an
equivalent reduction in the corresponding pavement item pay quantities for
incomplete work.

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4-36.6 Surfacing and Pavements—General
Chapter 4 Construction Details
Section 37 Seal Coats
4-3701 General
4-3702 Chip Seals
4-3702A Before Work Begins
4-3702B During the Course of Work
4-3702C Level of Inspection
4-3702D Quality Control
4-3702E Payment
4-3703 Slurry Seal
4-3703A Before Work Begins
4-3703B During the Course of Work
4-3703C Level of Inspection
4-3703D Quality Control
4-3703E Payment
4-3704 Micro-Surfacing
4-3704A Before Work Begins
4-3704B During the Course of Work
4-3704C Level of Inspection
4-3704D Quality Control
4-3704E Payment
4-3705 Fog Seals and Flush Coats
4-3705A Before Work Begins
4-3705B During the Course of Work
4-3705C Level of Inspection
4-3705D Quality Control
4-3705E Payment
4-3706 Parking Area Seal
4-3706A Before Work Begins
4-3706B During the Course of Work
4-3706C Level of Inspection
4-3706D Quality Control
4-3706E Payment
4-3707 Crack Treatment
4-3707A Before Work Begins
4-3707B During the Course of Work
4-3707C Level of Inspection
4-3707D Payment

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Seal Coats 4-37.i
Chapter 4 Construction Details

Section 37 Seal Coats Section 37

Seal Coats
4-3701 General 4-3701
This section provides guidelines for inspecting work for applying seal coats as General
specified under Section 37, “Seal Coats,” of the Standard Specifications, which
includes chip seals, slurry seals, micro-surfacing, fog seals, flush coats, parking area
seals, and crack treatments.
Chip seal is an application of bituminous material followed by a layer of aggregate
screenings (for example, chips) and rolling. Chip seals include: asphaltic emulsion chip
seals, polymer modified asphaltic emulsion chip seals, scrub seals, asphalt rubber
binder chip seals, stress absorbing membrane interlayers (SAMI), and modified asphalt
binder chip seals.
Asphaltic emulsion chip seals and polymer modified asphaltic emulsion chip seals
placed in two layers are referred to as double chip seals.
Chip seals that use a hot asphalt binder (for example, asphalt rubber binder chip seal
and modified asphalt binder) are often referred to as “hot applied chip seal.” Chip seals
that use an emulsion are often referred to as a “cold applied chip seal.” Hot applied chip
seals can be placed at night.
Scrub seal is a more advanced and aggressive multi-step chip seal process that uses a
specialized emulsion as an asphalt concrete rejuvenator and chip binder in conjunction
with a mechanized scrub broom that forces the optimum amount of emulsion into
existing pavement surface cracks.
SAMI is a chip seal in which a modified binder (normally asphalt rubber) is applied at
a much higher rate than used for a conventional chip seal. A SAMI is placed beneath a
new overlay to retard reflection cracking.
Slurry seal is an application of a slurry mixture of water, asphaltic emulsion or polymer
modified asphaltic emulsion, fine aggregate, and set-control additives applied to a
pavement surface. Slurry seals are applied with a specialized vehicle with separate
compartments for the ingredients and an on-board mixer. The slurry mixture flows
onto the pavement within the confines of a distributor box attached to the rear of the
vehicle. The box distributes the slurry mixture over the pavement to the approximate
thickness of the largest aggregate (1/4- to 3/8-inch). Workers with squeegees assist in
spreading the mixture, correcting areas not properly covered, and preventing the
mixture from flowing to areas that are not intended to be covered. Slurry seals can only
be applied in one layer.
Micro-surfacing is similar to a slurry seal except it requires a more advanced polymer
modified asphaltic emulsion, a more durable fine aggregate, and a chemical additive.
The major difference between slurry seal and micro-surfacing is in how they break or
harden. Slurry seal relies on evaporation of the water in the asphaltic emulsion. The
chemical additive in a micro-surfacing allows it to break without relying on sun or heat
for evaporation. The hardening rate of a micro-surfacing allows it to be used where a
slurry seal cannot be used. Micro-surfacing is applied with more advanced equipment

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Seal Coats 4-37.1
 than a slurry seal. It can be applied thicker than the largest aggregate and applied in
multiple layers to address surface irregularities including rutting.
Fog seal is an application of a diluted slow-setting asphaltic emulsion or quick setting
asphaltic emulsion applied over the existing pavement or a chip seal.
Flush coat is the application of a fog seal followed by the application of sand. To
eliminate further aggregate loss and improve durability, flush coats are always
specified to be placed over chip seals and SAMIs prior to opening pavement to traffic.
Parking area seal is the application of a mixture of asphaltic emulsion, aggregate,
polymer, and water to parking areas.
Crack treatment is the cleaning, preparation, and sealing of existing cracks in asphalt
concrete pavement.
Seal coats are primarily used to maintain existing asphalt concrete pavement. Seal coats
on new work are generally limited to fog seal on areas of hot mix asphalt that have
been ground for smoothness corrections, asphalt concrete dikes, miscellaneous areas,
and shoulders.
For additional guidance on seal coats, refer to the Maintenance Technical Advisory
Guide, Vol. 1., Flexible Pavement Preservation at:
http://www.dot.ca.gov/hq/maint/MTA_GuideVolume1Flexible.html
4-3702 4-3702 Chip Seals
Chip Seals The following covers the duties required throughout each phase of the project for chip
seals.
4-3702A Before Work Begins
Before work begins, take the following steps:
• A minimum of 15 days before starting placement of chip seal, ensure the
contractor submits:
1. Samples of the uncoated aggregate.
2. Depending on the type of chip seal, samples of asphaltic emulsion, polymer
modified asphaltic emulsion, or asphalt rubber binder.
3. Binder data for asphaltic emulsion, polymer modified asphaltic emulsion,
asphalt binder or asphalt rubber binder.
4. Contractor’s aggregate test results.
5. Contractor’s Vialit test for aggregate retention in chip seals test results.
• Test the uncoated aggregate, asphaltic emulsion, polymer modified asphaltic
emulsion, or asphalt rubber binder asphalt binder for all of the quality
characteristics. Advise the contractor of test results.
• A minimum of 10 days before starting chip seal activities, ensure the contractor
submits the names of proposed authorized laboratories for quality control testing.
Authorize the laboratories based on the requirements of Section 37-1.01D,
“Quality Assurance,” of the Standard Specifications.
• A minimum of 10 days prior to the preconstruction meeting, ensure the contractor
submits a list of participants in the preconstruction meeting, including the

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4-37.2 Seal Coats
 participants’ names, employer, title, and role in the production and placement of
the chip seal.
• Hold the preconstruction meeting a minimum of 5 days before the start of the chip
seal work. At the preconstruction meeting discuss the contractor’s quality control
program and method for performing each element of work affecting material
quality including:
1. Frequency of quality control sampling and testing that meets or exceeds
specification requirements listed in the quality control sections of the Standard
Specifications.
2. Time and frequency of submitting test results.
3. Responsibilities of quality control laboratories.
• Ensure contractor posts “No Parking—Tow Away” signs a minimum of 24 hours
prior to placing chip seal if chip seal affects public parking.
• Examine the surface to be sealed. Prepare a change order to provide for any
necessary corrective action such as sealing cracks and repairing failed areas. At
this stage, a review with the maintenance region manager or area superintendent
would be helpful.
• A minimum of 7 days prior to starting placement of the chip seal, ensure contractor
submits a written list of areas deemed defective, for example, those that have
rutting in excess of 3/8 inch or are exhibiting flushing. Provide a written response
indicating your agreement or disagreement with each of the areas. Caltrans
acceptance does not apply to areas where you agree the existing pavement is
defective prior to placement of the chip seal.
• When the chip seal includes pre-coated aggregate, ensure the contractor’s central
mixing plant has been authorized under Caltrans’ Material Plant Quality Program
(MPQP). For additional information refer to Section 3-902E, “Weighing
Equipment and Procedures,” of this manual.
• Review the contract to determine the type of seal coat required. Note the particular
type of bituminous binder to be used, and the requirements for aggregates. Decide
whether any conditions have changed from those upon which the design engineer
based the requirements, and propose any necessary changes.
• For asphalt rubber seal coats, verify that the contractor has submitted the permits
issued by the local air quality agency for asphalt rubber binder field blending and
application equipment.
• If an air quality permit is not required by the local air quality agency for producing
asphalt rubber binder or spray applying asphalt rubber binder, ensure the contractor
submits verification from the local air quality agency that an air quality permit is
not required for the contract.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes seal coat
materials. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
• Ensure the aggregate material source complies with Section 7-103H (2), “Surface
Mining and Reclamation Act,” of this manual.

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Seal Coats 4-37.3
 • Review the project to determine all requirements for handling traffic. Review
required traffic control system and traffic control devices with the contractor.
• Ensure contractor submits an aggregate spread rate and bituminous binder spread
rate. Review the spread rates and authorize if rates are within the specified
allowable range.
• For the type of chip seal specified, review the contract documents to determine the
specifications related to weather (The success of a chip seal is highly dependent on
weather related conditions). Following are limits that may apply to the specified
type of chip seal:
1. Minimum ambient air temperature during placement
2. Maximum ambient air temperature during placement
3. Minimum pavement surface temperature during placement
4. Maximum pavement surface temperature during placement
5. Minimum ambient air temperatures for the first 24 hours after placement
6. Placement within 24 hours of rain
7. Placement within 24 hours of forecast rain
8. Placement within 24 hours of freezing temperatures
9. Pavement dampness during placement
10. High wind conditions during placement
• Review the latest weather reports, daily weather forecasts, existing pavement
surface temperatures, and ambient air temperatures during the planned shift hours.
Document these conditions in your daily report. 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 and discuss conditions forecast for the
following workday. Strive to reach mutual agreement on whether work should
proceed the following workday. Provide a nonworking day for those days when
weather prevents work from proceeding.
• Determine whether the surface to be sealed is clean and dry. Ensure the contractor
cleans the surface to remove all loose particles of pavement, dirt, and other
extraneous material.
• Examine distributor trucks, chip spreaders, rollers, and other equipment to ensure
that specifications are met.
4-3702B During the Course of Work
Once work begins, take the following steps:
• Review the weather reports, daily weather forecasts, existing pavement surface
temperatures, and ambient air temperatures during the shift hours. Document these
conditions on your daily report.
• For the type of chip seal specified, review the contract documents to determine the
specifications related to weather. Ensure the contractor places chip seal only under
specified weather conditions.

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4-37.4 Seal Coats
• 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.
• Ensure both acceptance testing and reporting to the contractor are performed at
frequencies listed in Chapter 6-1, “Sample Types and Frequencies,” of this
manual.
• For chip seals that use a crumb rubber modifier, ensure contractor submits a Form
CEM-4410, “Crumb Rubber Usage Report,” monthly and at the end of the project.
• Obtain samples of the asphaltic emulsion in accordance with the frequency tables
in Section 6-1, “Sample Types and Frequencies,” of this manual. For emulsion
used in fog seals, it is preferable to take samples of the emulsion before adding
water. If this approach is impractical, note on the sample form how many parts of
water were added to how many parts of emulsion.
• From the delivered aggregate material, obtain samples and test them for sieve
analysis and cleanness value in accordance with the frequency tables in Section
6-1 of this manual.
• Just before spreading, determine the temperature of the liquid asphalt or emulsion
to ensure it falls within the specified range. Note such temperatures in the daily
report and also on source documents, if volumetric measurements are to be used to
determine pay quantities.
• Just before spreading, review contractor’s proposed aggregate and bituminous
material spread rates against previously authorized spread rates. If different, but
within the contract required range of spread rates, document the contractor’s
reasoning in the daily report and re-authorize the spread rates.
• For diluted asphaltic emulsion, determine the required spray rate necessary to
achieve the residual rate. Refer to Section 4-9403, “During the Course of Work,”
for an example of how to determine the spray rate required to achieve a specified
residual binder rate. Compare to and document the contractor’s equipment spray
rate setting in the daily report.
• Obtain the weighmaster certificate 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, read the tank gauge on the
distributor truck and record. Apply materials at the established width and rate for
1,000 feet (or shorter distance if necessary). Monitor the mat over 1,000 feet
watching for ridging, plugged tips, and chip density. Read the tank gauge at the
end of the 1,000 feet. Calculate and record the overall daily spread rate in the daily
report.
• Through observation, ensure the application of asphaltic emulsion is uniform, both
transversely and longitudinally. If the spread does not appear to be uniform, order
the correction of spreading equipment. If problems persist, perform California Test

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 339, “Field Test for the Determination of Distributor Spread Rate,” and before
allowing the operation to continue, require corrective action.
• Require the contractor to keep the distributor truck close to the chip spreader.
Good practice is to place screenings within 30 seconds after the bituminous binder
has been spread. Screenings must be placed before setting or “breaking” of the
asphaltic emulsion occurs. This setting or breaking is indicated by a change in
color from brown to black.
• Determine whether screenings are damp at the time of application, as required in
the specifications; when necessary, order wetting.
• Observe the coat of screenings behind the chip spreader. If necessary, order an
adjustment in the screening spread rate. The figure below shows the desirable
quantity of asphalt and void required to correctly embed the aggregate.

• If the chip spreader is moving excessively fast, chips will roll over as they come in
contact with the emulsion. As a result, public traffic and roller tires will pick up the
chips. If chips are being turned over, check behind the spreader and order a
reduced speed.
• Ensure the contractor does not spread the binder and screenings more than 2,500
feet ahead of the initial rolling.
• Ensure the contractor performs the rolling in the specified order and required
number of roller coverages.
• Ensure the contractor adjusts the spread rate of screenings to prevent pickup by
rollers or traffic. However, prohibit a higher spread rate than necessary. Excessive
screenings will increase cost and the difficulty of cleanup operations.
• Ensure the contractor discontinues spreading bituminous binder sufficiently early
in the shift to permit the termination of traffic control before darkness.
• Ensure the contractor performs brooming as specified. Before allowing
uncontrolled traffic in adjacent lanes, ensure the removal of all loose chips. The
most common cause of damage by loose chips results from vehicles in an adjacent
lane throwing the chips. During brooming, ensure lanes adjacent to chip-sealed
lanes remain free of loose screenings. Ensure the contractor maintains the chip seal
surface for 4 consecutive days after the day aggregate is applied. During

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4-37.6 Seal Coats
 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.
• Review the completed chip seal to determine if it meets the requirements of
Section 37-2.01A(4)(c) “Department Acceptance,” of the Standard Specifications.
• 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.
4-3702C Level of Inspection
Suggested levels of field inspection for typical chip seal activities are:
• Intermittent inspection of sampling and testing of materials.
• Benchmark inspection of equipment to ensure it conforms to the specifications.
• Intermittent inspection to ensure “No Parking—Tow Away” signs are posted 24
hours prior to chip seal if affecting public parking.
• Intermittent inspection of existing ambient and pavement temperatures.
• Benchmark inspection of existing facilities, such as, manholes, valve covers,
grates, to ensure all are covered and referenced to relocate after to placing chip
seal.
• Benchmark inspection of surface preparation of existing pavement surface.
• Intermittent inspection of certificates of compliance for each delivery of asphaltic
emulsion or asphalt binder.
• Intermittent inspection of binder application to ensure uniformity of application
and spread rate.
• Intermittent inspection of aggregate spreading operation to ensure uniform
application within 10 percent of pre-determined rate.
• Intermittent inspection of finishing operations to ensure repair of any ridges,
bumps, streaks, or depressions in existing surface.
• Intermittent inspection to verify that required sweeping is performed the day of the
chip seal.
• Intermittent inspection to ensure chip sealed areas are maintained for 4 consecutive
days and excess aggregate is removed after 4 consecutive days.
• Benchmark inspection of the completed surface to ensure it meets the requirements
for visual acceptance.

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 • Benchmark inspection 10 days after completion of maintenance sweeping of the
chip seal, to ensure permanent traffic stripes and pavement markings are complete.
4-3702D Quality Control
Guidance for quality control activities included in this section is summarized as
follows:
• For chip seals, ensure the contractor performs the quality control sampling and
testing at the specified frequency, and reporting within the specified time frame.
• Ensure the contractor submits a copy of the American Association of State
Highway and Transportation Officials (AASHTO) accreditation for the laboratory
performing the testing of the aggregate screenings and asphaltic emulsion or
asphalt binder.
• Ensure the contractor’s authorized laboratory performs the required quality control
material sampling and testing at the specified frequency.
• Ensure the contractor submits quality control test results within the specified
reporting time.
4-3702E Payment
For measurement and payment, do the following:
• Withhold 50 percent of the estimated value of chip seal work if the contractor fails
to place permanent traffic stripes and pavement markings within the specified
time.
• Collect weighmaster certificates from each truck as it delivers screenings to the
chip spreader. When screenings are stockpiled before spreading, obtain
weighmaster certificates 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 weighmaster certificates and “weigh-back” slips for trucks delivering
asphaltic emulsion or liquid asphalt. When additional water is added to asphaltic
emulsion, calculate the amount to be deducted from the original weight, using the
ratio in the original mix of asphaltic emulsion to water.
For compensation adjustment for price index fluctuations for asphaltic emulsion, refer
to Section 9-1.07, “Payment Adjustments for Price Index Fluctuations,” of the
Standard Specifications and perform the following:
• Verify that the contractor has not opted out of payment adjustments for price index
fluctuation at the time of bid.
• Process a change order to allow for payment increases and decreases.
• Calculate on a monthly basis the amount of asphalt used in asphaltic emulsion or
polymer modified emulsion including flush coat.
• Calculate a paving asphalt adjustment if the California Statewide Crude Oil Index
for the current month has fluctuated more than the specified amount from the same
index for the month the bid opening occurred. Include the asphalt price adjustment
in the monthly estimate.

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4-3703 Slurry Seal 4-3703
The following covers the duties required throughout each phase of the project for slurry Slurry Seal
seal.
4-3703A Before Work Begins
Before work begins, take the following steps:
• A minimum of 10 days before starting slurry seal activities, ensure the contractor
submits the names of proposed authorized laboratories for quality control testing.
Authorize the laboratories based on the requirements of Section 37-1.01D,
“Quality Assurance,” of the Standard Specifications. Authorized laboratories must
be able to perform International Slurry Surfacing Association tests and mix design.
• A minimum of 15 days before starting placement of slurry seal, ensure the
contractor submits:
1. Samples of the aggregate.
2. Samples of asphaltic emulsion or polymer modified asphaltic emulsion.
3. Asphaltic emulsion or polymer modified asphaltic emulsion data.
4. Contractor’s aggregate test results.
• A minimum of 10 days prior to the preconstruction meeting, ensure contractor
submits a list of participants in the preconstruction meeting, including the
participants’ names, employer, titles, and roles in the production and placement of
the chip seal. Hold the preconstruction meeting a minimum of 5 days before the
start of the chip seal work.
• Hold the preconstruction meeting a minimum of 5 days before the start of the
slurry seal. At the preconstruction meeting, discuss the contractor’s quality control
program and method for performing each element of work affecting material
quality. The following items should be discussed:
1. Frequency of quality control sampling and testing that meets or exceeds
specification requirements listed Section 37-1.01D, “Quality Assurance,” of
the Standard Specifications.
2. Time and frequency of submitting test results.
3. Responsibilities of quality control laboratories.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes slurry
seal materials. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
• A minimum of 10 days before starting slurry seal, ensure the contractor submits
laboratory report of test results and the proposed mix design signed by an
authorized laboratory.
• Review the mix design and laboratory tests from the contractor. After determining
that the mix design and test results conform to the requirements in Section
37-3.02B(5), “Slurry Seal Mix Design,” of the Standard Specifications, authorize
the mix design.

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 • Ensure the aggregate material source complies with Section 7-103H (2), “Surface
Mining and Reclamation Act,” of this manual.
• Obtain the name of the laboratory authorized to perform International Slurry
Surfacing Association tests and mix design.
• Obtain initial samples of the aggregate and test the aggregate for the specified
quality characteristics. Advise the contractor of the test results.
• Examine the surface to be sealed. Prepare a change order to provide for any
necessary corrective action, such as sealing cracks and repairing failed areas. At
this stage, a joint review with the maintenance region manager or area
superintendent would be helpful.
• Examine the proposed mixing equipment to ensure compliance with the
specifications. Mixer-spreader trucks must be calibrated for each material source in
accordance with the Caltrans MPQP. 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.
• Review weather reports, daily weather forecasts, existing pavement surface
temperatures, and ambient air temperatures during the planned shift hours.
Document the temperatures in the daily report. Review existing and forecast
conditions to ensure slurry seals are placed when:
1. The pavement and air temperatures are at least 50 degrees Fahrenheit or more.
2. The expected high temperature within the 24 hours following placement will
be at least 65 degrees Fahrenheit and not below 36 degrees Fahrenheit.
3. Rain is not imminent.
• Have a means established for making contact with the contractor’s authorized
representative near the end of the work shift on the day before the intended
workday and discuss conditions forecast for the following workday. Strive to reach
mutual agreement whether planned work should proceed for the following
workday. Agree on a nonworking day when weather prevents work from
proceeding.
• 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 determine all requirements for handling traffic. Review with
the contractor the required traffic control system and traffic control devices.
• Review the contractor’s proposed application rates.
• Ensure contractor covers manholes, valve and monument covers, grates, and other
exposed facilities within the area of application using plastic or oil-resistant
construction paper secured by tape or adhesive to the facility being covered.
Reference the covered facilities with enough control points to relocate the facilities
after application of the slurry seal.
• Ensure contractor posts “No Parking—Tow Away” signing a minimum of 24
hours prior to placing chip seal if chip seal affects public parking.

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4-37.10 Seal Coats
4-3703B During the Course of Work
Once work begins, take the following steps:
• Ensure both acceptance testing and reporting to the contractor are performed at
frequencies listed in Section 6-1, “Sample Types and Frequencies,” of this manual.
• If required under the contract, ensure the pavement surface to be treated has been
coated with the specified asphaltic emulsion. Advise the contractor of the exact
application rate and water amount to be added.
• Obtain the required test report for each truckload of asphaltic emulsion. Compare
the report with the specifications. Do not permit the emulsion to be used before
testing unless a certificate of compliance accompanies it.
• Before mixing, take samples of the aggregate for testing.
• If the results of grading or sand equivalent tests fail to meet the specifications,
order the removal of the slurry seal represented by the failing tests. When the
contractor requests in writing that the material remain in place, decide whether to
reject the represented material or to allow it to remain in place. If you allow the
material to remain in place, your decision must be based on the results of a
physical examination of the slurry seal. Look for evidence of bleeding, raveling,
stripping, or other deficiencies. Notify the contractor in writing of your decision.
Also, if you allow the material to remain in place, calculate the deduction based on
the amount of material represented by the failing test result, and deduct the amount
from future progress payments.
• Observe the mixing operation to ensure the ordered proportions are being used.
• To determine the bitumen ratio and uniformity of mixing, submit samples of the
completed mix to the district laboratory. Place samples in tightly closed containers
to prevent moisture loss before testing.
• Make the necessary measurements and calculations to ensure the contractor
spreads the slurry seal at the ordered rate.
• 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.
• Review the completed slurry seal to determine if it meets the requirements of
Section 37-3.01A(4)(c), “Department Acceptance,” of the Standard Specifications.
4-3703C Level of Inspection
Suggested levels of field inspection for typical slurry seal activities are:
• Intermittent inspection to ensure slurry seal ingredients are proportioned in
compliance with the authorized mix design.
• Benchmark inspection to ensure truck mounted spreader or continuous self-
loading mixer spreader have been calibrated and comply with the MPQP.
• Intermittent inspection to ensure that when truck mounted spreaders are used, a
minimum of two operational spreaders are at the job site during placement.
• Intermittent inspection including sampling and testing of materials.

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 • Intermittent inspection to ensure “No Parking—Tow Away” signs are posted 24
hours prior to slurry seal if public parking will be affected.
• Benchmark inspection of existing surface immediately prior to placing slurry seal
to ensure it meets the surface preparation requirements.
• Benchmark inspection to ensure all existing facilities are covered and referenced
prior to placing slurry seal.
• Intermittent inspection of existing ambient temperature, pavement temperature,
and 24 hour weather forecasts for imminent rain or temperatures below 36 degrees
Farenheit.
• Intermittent inspection to ensure each delivery of asphaltic emulsion or polymer
modified asphaltic emulsion has a certificate of compliance.
• Intermittent inspection to ensure that within 4 hours of placement, slurry seal has
set enough to allow traffic on it without exhibiting distress.
• Intermittent inspection of the completed slurry seal application to ensure
irregularities such as scratch or tear marks do not exceed allowable amount.
• Benchmark inspection of the completed surface to ensure it meets the requirements
for visual acceptance.
• Intermittent inspection to ensure slurry seal areas are swept 24 hours after
placement without damaging the surface, and that sweeping continues for the 4
days afterward, unless deemed not necessary by the engineer.
• Benchmark inspection of slurry seal area 15 days after placement to ensure any
areas with bleeding, raveling, separation, or other distresses are repaired.
4-3703D Quality Control
Guidance for quality control activities for slurry seals is summarized as follows:
• For slurry seals, ensure the contractor performs the quality control sampling and
testing at the specified frequency and reporting within the specified time frame.
• Ensure the contractor submits a copy of the AASHTO accreditation for the
laboratory performing the testing of the aggregate and asphaltic emulsion.
• Ensure the contractor’s authorized laboratory performs the required quality control
material sampling and testing at the specified frequency.
• Ensure contractor submits quality control test results within the specified
maximum reporting time.
4-3703E Payment
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 to determine the pay quantity.
• As necessary to determine pay quantities, collect weighmaster certificates for
aggregate and asphaltic emulsion. Use properly sealed and calibrated metering

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4-37.12 Seal Coats
 devices to determine pay quantities. When converting volume measurements of
asphaltic emulsion to mass, make the appropriate corrections for temperature.
• When slurry seal is allowed to remain in place even though it failed the grading or
sand equivalent tests, make the appropriate administrative deduction.
For compensation adjustment for price index fluctuations for slurry seal refer to
Section 9-1.07, “Payment Adjustments for Price Index Fluctuations,” of the Standard
Specifications and perform the following:
• Verify that the contractor has not opted out of payment adjustments for price index
fluctuation at the time of bid.
• Process a change order to allow for payment increases and decreases.
• Calculate on a monthly basis the amount of asphalt used in slurry seal polymer
modified emulsion.
• Calculate a paving asphalt adjustment if the California Statewide Crude Oil Index
for the current month has fluctuated more than the specified amount from the same
index for the month the bid opening occurred. Include the asphalt price adjustment
in the monthly estimate.
4-3704 Micro-Surfacing 4-3704
The following sections cover the duties required throughout each phase of the project Micro-Surfacing
for micro-surfacing.
4-3704A Before Work Begins
Before work begins, take the following steps:
• A minimum of 10 days before starting micro-surfacing activities, ensure the
contractor submits the names of proposed authorized laboratories for quality
control testing. Authorize the laboratories based on the requirements of Section 37-
1.01D, “Quality Assurance,” of the Standard Specifications.
• A minimum of 15 days before starting placement of micro-surfacing, ensure the
contractor submits:
1. Samples of the aggregate.
2. Samples of polymer modified asphaltic emulsion.
3. Polymer modified asphaltic emulsion data.
4. Contractor’s aggregate test results.
• A minimum of 10 days prior to the preconstruction meeting, ensure contractor
submits a list of participants in the preconstruction meeting, including the
participants’ names, employer, title, and role in the production and placement of
the micro-surfacing.
• Hold the preconstruction meeting a minimum of 5 days before the start of the
micro-surfacing work. At the preconstruction meeting discuss the contractor’s
quality control program and method for performing each element of work
affecting material quality. The following items should be discussed:
1. Frequency of quality control sampling and testing that meets or exceeds
specification requirements listed in the quality control sections of the Standard
Specifications.

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Seal Coats 4-37.13
 2. Time and frequency of submitting test results.
3. Responsibilities of quality control laboratories.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes micro-
surfacing materials. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
• Obtain the name of the laboratory authorized to perform International Slurry
Surfacing Association tests for mix design.
• Review the mix design and laboratory tests submitted by the contractor before start
of the placement. The mix design report should include comparison of each
material’s test result to the specification requirements. If the mix design and test
results conform to the requirements in Section 37-3.03B(5), “Micro-Surfacing Mix
Designs” of the Standard Specifications, authorize the mix design.
• Ensure the aggregate material source complies with Section 7-103H (2), “Surface
Mining and Reclamation Act,” of this manual.
• Obtain the name of the authorized laboratory in charge of laboratory report and
mix design testing.
• Obtain initial samples of the aggregate, and test for the specified quality
characteristics. Advise the contractor of the test results.
• Obtain the name of the contractor’s authorized representative responsible for
communicating about unsuitable weather that prevents micro-surfacing operations.
• Examine the surface to be sealed. Prepare a change order to provide for any
necessary corrective action, such as sealing cracks and repairing failed areas. At
this stage, a joint review with the maintenance region manager or area
superintendent would be helpful.
• Examine the proposed mixing equipment to ensure compliance with the
specifications. Mixer-spreader trucks must be calibrated for each material source in
accordance with the Caltrans MPQP. Verify equipment MPQP certification or
request assistance from the district weights and measures coordinator for
calibrating and checking the accuracy of weighing and metering devices.
• 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.
4-3704B During the Course of Work
Once work begins, take the following steps:
• Ensure both acceptance testing and reporting to the contractor are performed at
frequencies listed in Section 6-1, “Sample Types and Frequencies,” of this manual.

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4-37.14 Seal Coats
• Obtain the required test report for each truckload of micro-surfacing asphaltic
emulsion. Compare the report with the specifications. Do not permit the emulsion
to be used before testing unless a certificate of compliance accompanies it.
• Before mixing, take samples of the aggregate for testing.
• If the results of grading or sand equivalent tests fail to meet the specifications,
order the removal of the micro-surfacing represented by the failing tests. When the
contractor requests in writing that the material remain in place, decide whether to
reject the represented material or to allow it to remain in place. A decision to allow
the material to remain in place must be based on the results of a physical
examination of the micro-surfacing. Look for evidence of bleeding, raveling,
stripping, or other deficiencies. Notify the contractor in writing of the decision.
Also, if the material is allowed to remain in place, calculate the deduction based on
the amount of material represented by the test result, and deduct the amount from
future progress payments.
• Observe the mixing operation to ensure the ordered proportions are being used.
• 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 micro-surfacing at the ordered rate.
• Review the completed micro-surfacing to determine if it meets the requirements of
Section 37-3.03A(4)(c), “Department Acceptance,” of the Standard Specifications.
4-3704C Level of Inspection
Suggested levels of field inspection for typical micro-surfacing activities are:
• Benchmark inspection to ensure a required test strip is constructed if the micro-
surfacing placement will require more than 1 day to complete.
• Intermittent inspection to ensure micro-surfacing ingredients are proportioned in
compliance with the authorized mix design.
• Benchmark inspection to ensure truck mounted spreader or continuous self-
loading mixer spreader have been calibrated and comply with the MPQP.
• Intermittent inspection to ensure that when truck mounted spreaders are used, that
a minimum of two operational spreaders are at the jobsite during placement.
• Intermittent inspection including sampling and testing of materials.
• Intermittent inspection to ensure “No Parking—Tow Away” signs are posted 24
hours prior to micro-surfacing if public parking will be affected.
• Intermittent inspection of existing surface immediately prior to placing micro-
surfacing to ensure it meets the surface preparation requirements.
• If there is a bid item for tack coat, benchmark inspection to ensure tack coat is
applied at the authorized rate for micro-surfacing.
• Benchmark inspection to ensure all existing facilities are covered and referenced
prior to placing micro-surfacing.

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 • Intermittent inspection of existing ambient temperature, pavement temperature,
and 24-hour weather forecasts of imminent rain or temperatures below 36 degrees
Fahrenheit.
• Intermittent inspection to ensure all deliveries of micro-surfacing emulsion have a
certificate of compliance.
• Intermittent inspection to ensure that within 2 hours of placement, micro-surfacing
has set enough to allow traffic on it without exhibiting distress.
• Benchmark inspection of the completed surface to ensure it meets the requirements
for visual acceptance.
• Intermittent inspection to ensure micro-surfacing areas are swept 24 hours after
placement without damaging the surface, and that sweeping continues for the 4
days after, unless deemed not necessary by the engineer.
• Benchmark inspection of slurry seal area 15 days after placement to ensure any
areas with bleeding, raveling, separation, or other distresses are repaired.
4-3704D Quality Control
Guidance for quality control activities for micro-surfacing are summarized as follows:
• For micro-surfacing, ensure the contractor performs the quality control sampling
and testing at the specified frequency and reports results within the specified time
frame.
• Ensure the contractor submits a copy of the AASHTO accreditation for the
laboratory performing the testing of the aggregate and asphaltic emulsion.
• Ensure the contractor’s authorized laboratory performs the required quality control
material sampling and testing at the specified frequency.
• Ensure contractor submits quality control test results within the specified
maximum reporting time.
4-3704E Payment
For measurement and payment, do the following:
• The quantity of micro-surfacing to be paid for is the combined quantity of
asphaltic emulsion and aggregate. Because of the type of equipment used and the
nature of the micro-surfacing operation, it is usually impossible to weigh both
components together. Separately determine the mass of asphaltic emulsion and
aggregate, and add the two results to determine the pay quantity.
• As necessary to determine pay quantities, collect weighmaster certificates 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 micro-surfacing is allowed to remain in place even though it failed the
grading or sand equivalent tests, make the appropriate administrative deduction.

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4-37.16 Seal Coats
For compensation adjustment for price index fluctuations for micro-surfacing seal refer
to Section 9-1.07, “Payment Adjustments for Price Index Fluctuations,” of the
Standard Specifications and perform the following:
• Verify that the contractor has not opted out of payment adjustments for price index
fluctuation at the time of bid.
• Process a change order to allow for payment increases and decreases.
• Calculate on a monthly basis the amount of asphalt used in micro-surfacing
emulsion.
• Calculate a paving asphalt adjustment if the California Statewide Crude Oil Index
for the current month has fluctuated more than the specified amount from the same
index for the month the bid opening occurred. Include the asphalt price adjustment
in the monthly estimate.
4-3705 Fog Seals and Flush Coats 4-3705
The following sections cover the duties required throughout each phase of the project Fog Seals and
for fog seals and flush coats. Flush Coats
4-3705A Before Work Begins
• A minimum of 10 days before starting fog seal or flush coat activities, ensure the
contractor submits the names of proposed authorized laboratories for quality
control testing. Authorize the laboratories based on the requirements of Section 37-
1.01D, “Quality Assurance,” of the Standard Specifications.
• A minimum of 15 days before starting placement of fog seal ensure contractor
submits either items 1 and 2 for fog seals or items 1 through 4 for flush coats:
1. Samples of asphaltic emulsion.
2. Asphaltic emulsion supplier, type and grade of asphaltic emulsion and copies
of specified test results for asphaltic emulsion.
3. Proposed target x values for sand gradation.
4. Gradation test results for sand.
• A minimum of 10 days prior to the preconstruction meeting, ensure the contractor
submits a list of participants in the preconstruction meeting, including the
participants’ names, employer, title, and role in the production and placement of
the fog seal or flush coat.
• Hold the preconstruction meeting a minimum of 5 days before the start of the fog
seal or flush coat. At the preconstruction meeting discuss the contractor’s quality
control program and method for performing each element of work affecting
material quality. The following items should be discussed:
1. Frequency of quality control sampling and testing that meets or exceeds
specification requirements listed in the quality control sections of the Standard
Specifications.
2. Time and frequency of submitting test results.
3. Responsibilities of quality control laboratories.

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 4-3705B During the Course of Work
• Ensure both acceptance testing and reporting to the contractor are performed at
frequencies listed in Section 6-1, “Sample Types and Frequencies,” of this manual.
• Review weather reports, daily weather forecasts, existing pavement surface
temperatures, and ambient air temperatures during the shift hours. Document
conditions in the daily report.
• Ensure “No Parking—Tow Away” signs are posted 24 hours prior to placing fog
seal or flush coat if public parking will be affected.
• Review the contract documents to determine the specifications related to weather.
Ensure the contractor places fog seal or flush coat only under specified weather
conditions.
• For fog seal or flush coat, the contractor decides the grade of slow setting or quick
setting emulsion and on the dilution rate. The quantity of water added for dilution
must be based on the judgment and experience of field personnel, but in all cases
must result in a residual rate within the specified range. When determining the
application rate, take into account the permeability of the surface to be sealed,
climatic conditions anticipated at the time of application, traffic, cross slope and
profile grade. Based on the delivered state of the asphaltic emulsion binder (diluted
or undiluted), determine the spray rates required to achieve both the specified
minimum and maximum residual rates. Ensure the contractor sprays within that
range of rates. Refer to Section 4-9403, “During the Course of Work,” of this
manual for examples of how to determine the spray rate required to achieve a
specified residual rate.
• For flush coat, authorize contactors sand application rate when it falls within the
specified range.
• For flush coat, ensure contractor spreads sand using a mechanical device
immediately after application of the emulsion using a mechanical device that
spreads at a uniform rate over the full width of a traffic lane in a single application.
• For flush coat, ensure contractor sweeps loose sand material remaining on the
surface 24 hours after application.
• Review the completed fog seal to determine if it meets the requirements of Section
37-4.02A(4)(c), “Department Acceptance,” of the Standard Specifications.
• Review the completed flush coat to determine if it meets the requirements of
Section 37-4.03A(4)(c), “Department Acceptance,” of the Standard Specifications.
4-3705C Level of Inspection
Suggested levels of field inspection for typical fog seal and flush coat activities are:
• Intermittent inspection including sampling and testing of materials.
• Intermittent inspection to ensure “No Parking—Tow Away” signs are posted 24
hours prior to fog seal or flush coat if public parking is affected.
• Benchmark inspection of existing surface immediately prior to placing fog seal or
flush coat to ensure it meets the surface preparation requirements.

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4-37.18 Seal Coats
• Intermittent inspection of existing temperature and weather conditions to ensure
placement of fog seal or flush coat occurs only above minimum pavement and
ambient temperature requirements.
• Intermittent inspection to ensure fog seal or flush coat placement does not occur
within 24 hours of rain, or within 24 hours of predicted rain or freezing
temperatures.
• Intermittent inspection of certificates of compliance for each delivery of asphaltic
emulsion.
• Intermittent inspection to ensure asphaltic emulsion for fog seal or flush coat is
applied within the specified residual range and asphaltic emulsion for fog seal is
not diluted with more than 1 part water to 1 part original emulsion.
• Intermittent inspection to ensure asphaltic emulsion for fog seal or flush coat is
applied with uniform coverage.
• Intermittent inspection to ensure that sand for flush coat is applied within the
specified range and immediately after application of asphaltic emulsion.
• Benchmark inspection to ensure loose sand is swept from flush coat areas 24 hours
after application.
• Benchmark inspection of the completed surface to ensure it meets the requirements
for visual acceptance.
4-3705D Quality Control
Guidance for quality control activities for fog seal and flush coat are summarized as
follows:
• For fog seal and flush coat, ensure the contractor performs the quality control
sampling and testing at the specified frequency and reports results within the
specified time frame.
• Ensure the contractor submits a copy of the AASHTO accreditation for the
laboratory performing the testing of the aggregate and asphaltic emulsion.
• Ensure the contractor’s authorized laboratory performs the required quality control
material sampling and testing at the specified frequency.
• Ensure contractor submits quality control test results within the specified
maximum reporting time.
• Ensure the contractor’s authorized laboratory performs the required quality control
material sampling and testing at the specified frequency.
4-3705E Payment
• For flush coats, collect weighmaster certificates from each delivery of sand.
Determine the weight of unused sand so that the weight of unused material may be
deducted from the delivered weight. For the weight of sand to be paid for, do not
deduct the weight of sand swept from the roadway.
• For fog seals and flush coats, collect weighmaster certificates and “weigh-back”
slips for trucks delivering asphaltic emulsion. 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.

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 • For flush coats, collect weighmaster certificates from each delivery of sand.
Determine the weight of unused sand remaining in stockpiles so that the weight of
unused material may be deducted from the delivered weight. From the weight of
sand to be paid for, do not deduct the weight of excess screenings removed from
the roadway and disposed of.
For compensation adjustment for price index fluctuations of asphaltic emulsion, refer
to Section 9-1.07, “Payment Adjustments for Price Index Fluctuations,” of the
Standard Specifications and perform the following:
• Verify that the contractor has not opted out of payment adjustments for price index
fluctuation at the time of bid.
• Process a change order to allow for payment increases and decreases.
• Calculate on a monthly basis the amount of asphalt used in asphaltic emulsion or
polymer modified emulsion including flush coat.
• Calculate a paving asphalt adjustment if the California Statewide Crude Oil Index
for the current month has fluctuated more than the specified amount from the same
index for the month the bid opening occurred. Include the asphalt price adjustment
in the monthly estimate.
4-3706 4-3706 Parking Area Seal
Parking Area Seal The following covers the duties required throughout each phase of the project for
parking area seal.
4-3706A Before Work Begins
Before work begins, take the following steps:
• A minimum of 15 days before starting parking area seal, ensure contractor submits
a 20-pound sample of the aggregate to be used.
• A minimum of 10 days before starting parking area seal, ensure the contractor
submits:
1. The name of proposed laboratory to perform mix design.
2. For both new and substitute mix designs, laboratory report of test results and
proposed mix design. Ensure report of test results include the specific
materials to be used and show a comparison of test results and specifications.
3. Ensure the mix design report includes the quantity of water that may be added
at the job site.
4. Manufacturer’s data for oil seal and polymer.
5. Ensure the test reports are signed by an authorized laboratory.
• A minimum of 10 days prior to the preconstruction meeting, ensure contractor
submits a list of participants in the preconstruction meeting, including the
participants’ names, employer, title, and role in the production and placement of
the parking area seal.

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4-37.20 Seal Coats
• Hold the preconstruction meeting a minimum of 5 days before the start of the
parking area seal. At the preconstruction meeting, discuss the contractor’s quality
control program and method for performing each element of work affecting
material quality. The following items should be discussed:
1. Frequency of quality control sampling and testing that meets or exceeds
specification requirements listed in the quality control sections of the Standard
Specifications.
2. Time and frequency of submitting test results.
3. Responsibilities of quality control laboratories.
• Obtain the name of the authorized laboratory in charge of testing at least 10 days
before the start of the placement.
• Obtain initial samples of the aggregate samples 15 days before starting the
placement.
• Obtain test results and mix design at least 7 days before the placement.
• Review the mix design and laboratory tests submitted by the contractor before start
of the placement. The mix design report should include comparison of each
material’s test result to the specification requirements. If the mix design and test
results conform to the requirements in Section 37-5.02, “Materials” of the
Standard Specifications, authorize the mix design.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes seal
materials. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
• Examine the surface to be sealed. Prepare a change order to provide for any
necessary corrective action, such as sealing cracks and repairing failed areas. At
this stage, a joint review with the maintenance region manager or area
superintendent would be helpful.
• 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.
• Ensure all the utility inlets are covered with heavy paper or roofing felt adhered to
the surface of the inlet.
• Review the project to ascertain all requirements for handling traffic. Review with
the contractor the required traffic control system and traffic control devices.
4-3706B During the Course of Work
During the course of work, take the following steps:
• Obtain the required test report for each truckload of parking area seal. Compare the
report with the specifications. Do not permit the seal to be used before testing
unless a certificate of compliance accompanies it.
• Ensure the pavement surface to be treated has been dampened.

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 • Verify that a certificate of compliance accompanies each load of parking area seal.
• To determine the bitumen ratio and uniformity of mixing, submit samples of the
undiluted parking area seal material to the district laboratory. Place samples in
tightly closed containers to prevent moisture loss before testing.
• Ensure acceptance testing and reporting to the contractor are performed at
frequencies listed in Section 6-1, “Sample Types and Frequencies,” of this manual.
4-3706C Level of Inspection
Suggested levels of field inspection for parking area seal activities are:
• Benchmark inspection to ensure parking area seal mixture conforms to the
approved mix design.
• Intermittent inspection including sampling and testing of materials.
• Intermittent inspection to ensure “No Parking—Tow Away” signs are posted 24
hours prior to parking area seal if public parking will be affected.
• Intermittent inspection to ensure that any irrigation systems adjacent the parking
area seal have been shut off for 24 hours after placement of the seal.
• Intermittent inspection of existing surface immediately prior to placing parking
area seal to ensure it meets the surface preparation requirements, including the
sealing of any oil and grease spots that remain after cleaning.
• Intermittent inspection of certificates of compliance for each delivery of asphaltic
emulsion used in the parking area seal mixture.
• Intermittent inspection to ensure parking area seal is applied uniformly and
smoothly, and free of ridges or uncoated areas.
• Intermittent inspection to ensure that water added to the parking area seal mixture
conforms to the manufacturer’s recommendations, and that added water does not
exceed by 15 percent the volume of undiluted emulsion.
• Intermittent inspection to ensure that if placing in multiple applications, the
previous application has thoroughly dried before repeating the application.
• Intermittent inspection to ensure contractor keeps traffic off parking area seals for
at least 24 hours.
• Intermittent inspection to ensure striping or pavement markings are only applied
when the surface is dry.
• Benchmark inspection of the completed surface to ensure it meets the requirements
for visual acceptance.
4-3706D Quality Control
Guidance for quality control activities for parking area seal is summarized as follows:
• For parking area seal, ensure the contractor preforms the quality control sampling
and testing at the specified frequency and reports results within the specified time
frame.
• Ensure the contractor submits a copy of the AASHTO accreditation for the
laboratory performing the testing.

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4-37.22 Seal Coats
• Ensure the contractor’s authorized laboratory performs the required quality control
material sampling and testing at the specified frequency.
• Ensure the contractor submits quality control test results within the specified
maximum reporting time.
4-3706E Payment
For measurement and payment, do the following:
• The quantity of parking seal to be paid for is the combined weight of asphaltic
emulsion and aggregate without added water and set-control additive. Because the
materials are mixed at a plant, it is important to have a proportioning record from
the plant.
• As necessary to determine pay quantities, collect weighmaster certificates 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.
For compensation adjustment for price index fluctuations for parking area seal, refer to
Section 9-1.07, “Payment Adjustments for Price Index Fluctuations,” of the Standard
Specifications, and perform the following:
• Verify that the contractor has not opted out of payment adjustments for price index
fluctuation at the time of bid.
• Process a change order to allow for payment increases and decreases.
• Calculate on a monthly basis the amount of asphalt used in the asphaltic emulsion
in the parking area seal.
• Calculate a paving asphalt adjustment if the California Statewide Crude Oil Index
for the current month has fluctuated more than the specified amount from the same
index for the month the bid opening occurred. Include the asphalt price adjustment
in the monthly estimate.
4-3707 Crack Treatment 4-3707
The following covers the duties required throughout each phase of the project for crack Crack Treatment
treatment.
4-3707A Before Work Begins
Before work begins, take the following steps:
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes crack
treatment materials. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
• Verify the receipt of a certificate of compliance for each load of crack treatment
material if it is on the Authorized Material List. If the crack treatment material is
not on the Authorized Material List, obtain samples and authorized laboratory test
results 20 days before use.
• Obtain the name of the laboratory authorized to perform material testing.

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Seal Coats 4-37.23
 • Review laboratory tests from the contractor and determine if the material test
results conform to the requirements in Section 37-5.02, “Materials,” of the
Standard Specifications. Advise the contractor of the test results.
• Examine the proposed equipment to ensure compliance with the specifications and
discuss with the contractor the proposed operation.
• Determine whether the crack to be treated is clean and dry. Ensure the contractor
cleans the cracks to remove all loose particles of pavement, dirt, and other
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.
4-3707B During the Course of Work
During the course of work, take the following steps:
• Verify the receipt of a certificate of compliance for each load of crack treatment
material if it is on the Authorized Material List. Ensure the certificate of
compliance includes all required items.
• If crack treatment material is not on the Authorized Material List, ensure contractor
submits test results and samples 20 days before use.
• Ensure each delivery of material includes manufacturer’s heating and application
instructions, safety data sheet, and manufacturer’s recommended detackifying
agent.
• Ensure acceptance testing is performed at frequencies listed in Section 6-1,
“Sample Types and Frequencies,” of this manual.
• For contracts specifying to fill the crack recessed ¼ inch or flush, ensure the
contractor removes crack material that is spilled or deposited on the pavement
surface.
• For contracts specifying to fill the crack with overband not more than 3 inches
wide, ensure the contractor removed crack material that is spilled or deposited on
the pavement surface outside the 3-inch wide overband limit.
• Observe the application of crack treatment material using approved equipment.
• If the crack treatment is tacky before opening to traffic have the contractor apply
sand or the manufacturer’s recommended detackifying agent.
4-3707C Level of Inspection
Suggested levels of field inspection for crack treatment activities are:
• Intermittent inspection including sampling and testing of materials.
• Intermittent inspection of certificates of compliance for crack treatment material if
listed on the Authorized Material List.
• Intermittent inspection to ensure “No Parking—Tow Away” signs are posted 24
hours prior to parking area seal if public parking will be affected.
• Intermittent inspection to ensure existing cracks have been cleaned with oil-free
compressed air at a minimum of 90 pounds per square inch.

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4-37.24 Seal Coats
• Intermittent inspection to ensure cracks are clean and dry before treating and
pavement surface temperature is at least 40 degrees Fahrenheit. If cracks
containing moisture are being heated or dried with a hot air lance, ensure the flame
is not applied directly to the pavement adjacent to the crack.
• Intermittent inspection to ensure hot-applied crack treatment material is applied in
accordance with the manufacturer’s instructions.
• Intermittent inspection to ensure that cold-applied crack treatment material applied
using a distributor kettle meets the requirements.
• Intermittent inspection to ensure contractor treats tacky crack treatment material
with sand or manufacturer’s recommended detackifying agent prior to opening to
traffic.
• Intermittent inspection to ensure contract treats cracks on shoulders adjacent to
lanes.
• Benchmark inspection of the completed surface to ensure it meets the requirements
for visual acceptance.
4-3707D Payment
Crack treatment is paid for by lane mile measured along the edge of each paved lane
parallel to the pavement centerline and includes crack treatment of the adjacent
shoulder.

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Seal Coats 4-37.25
Chapter 4 Construction Details

Section 39 Asphalt Concrete

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

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Asphalt Concrete 4-39.i
 4-3903C (1d) Liquid Antistrip Treatment
4-3903C (2) Production Start-Up Evaluation
4-3903C (3) Hot Mix Asphalt Production
4-3903C (3a) Batch Plants
4-3903C (3b) Continuous Mixing Plants
4-3903C (4) Plant Weighing Systems
4-3903C (5) Hot Mix Asphalt Storage
4-3903C (6) Hot Mix Asphalt Transporting
4-3903D Paving Operations
4-3903D (1) Atmospheric and Pavement Temperature
4-3903D (2) Tack Coat
4-3903D (3) Transporting and Spreading
4-3903D (4) Production Start-Up Evaluation Samples
4-3903D (5) Sampling and Testing Hot Mix Asphalt
4-3903D (6) Compaction
4-3903D (6a) Method Process Compaction
4-3903D (6b) Compaction Determination by Cores
4-3903D (7) Smoothness
4-3903D (8) Miscellaneous Areas and Dikes
4-3903D (9) Fog Seal Coat
4-3903D (10) Open to Traffic
4-3903D (11) Temporary Transverse Joint Taper
4-3903D (12) Existing Asphalt Concrete
4-3904 Contract Administration
4-3904A Acceptance Testing and Evaluation
4-3904A (1) Acceptance Test Results Outside Specified Limits
4-3904A (2) Two Consecutive Acceptance Test Results Outside Specification Limits
4-3904A (3) Contractor Requests for Accepting Noncompliant Work
4-3904B Testing for Significant Difference
Table 4-39.1 Precision Index
4-3904C Certificates of Compliance
4-3905 Level of Inspection
4-3906 Quality Control
4-3907 Payment
4-3907A Payment Adjustment for Core Density
4-3907B Compensation Adjustment for Price Index Fluctuation
4-3907C Payment After Dispute Resolution for Independent Third Parties
4-3907D Compensation and Contract Time for Delays
4-3908 References and Resources
4-3908A References
4-3908B Resources

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4-39.ii Asphalt Concrete
Chapter 4 Construction Details

Section 39 Asphalt Concrete Section 39

Asphalt Concrete
4-3901 General 4-3901
Section 39, “Asphalt Concrete,” of the Standard Specifications provides material and General
construction requirements for hot mix asphalt (HMA) including Type A, rubberized
hot mix asphalt-gap graded (RHMA-G), open-graded friction course (OGFC), minor
HMA, and hot mix asphalt with warm mix asphalt (WMA) additive technology.
Unless WMA is specified, the term “hot mix asphalt” refers to all mixtures of
aggregate and asphalt regardless of the mixing or placing temperature. Section 39 also
provides construction requirements for work on existing asphalt concrete facilities.
All requirements in Section 39, (except 39-3, “Existing Asphalt Concrete”) of the
Standard Specifications, including smoothness requirements, apply to all types of
HMA.
Construction of Hot Mix Asphalt Pavements (Manual Series No. 22), published by the
Asphalt Institute, contains information on the uses of various types of asphalts and the
design and production of HMA. All personnel responsible for HMA should familiarize
themselves with this publication.
4-3901A Warm Mix Asphalt
WMA technologies allow production plants to produce HMA at temperatures 45°F to
85°F below the traditional mixing temperature. Reductions in mixing temperature have
the benefits of cutting fuel consumption and decreasing the production of greenhouse
gases, with engineering benefits of better compaction on the road, the ability to haul
paving mix for longer distances, and extending the paving season by being able to pave
at lower temperatures.
WMA technologies are divided into two categories—additive technology and water
injection technology (foaming). At this time, Caltrans’ focus is on better handling and
compaction achieved by using any of the approved technologies. HMA with WMA
technology is defined as HMA produced at a temperature greater than 240ºF for
projects with density testing, using an approved technology, and greater than 260ºF for
projects using method compaction. The contract allows that both categories of WMA
technology may be used for Type A HMA, RHMA-G, and OGFC. The contract may
include special provisions that require the use of WMA additive technology.
4-3901B Rubberized Hot Mix Asphalt
Rubberized hot mix asphalt (RHMA) is produced by mixing asphalt rubber and
aggregate. Asphalt rubber is specified to include 18-22 percent crumb rubber modifier
(CRM) by total mass of the asphalt rubber blend. The CRM must also include 25
percent (±2 percent) high natural rubber content scrap rubber by mass of the CRM that
may come from scrap tires or other sources. Caltrans requires use of extender oil as an
asphalt modifier in asphalt rubber. RHMA includes RHMA-G (gap graded),
RHMA-O (open-graded), and RHMA-O-HB (open-graded high binder).

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Asphalt Concrete 4-39.1
 4-3901C Paving Personnel
Producing HMA pavement requires a partnership among Caltrans, the plant producing
the HMA, and the contractor placing the HMA. The resident engineer must clearly
communicate assignments of responsibility and commensurate authority for all
Caltrans personnel, both at the job site and at the plant.
Plant inspection and testing is essential to ensure quality HMA. A plant inspector at the
HMA plant usually performs the inspection and testing duties for the resident engineer.
However, the resident engineer is responsible for enforcing contract specifications at
the plant. The resident engineer must be kept informed of test results in a timely
manner so appropriate contract administration action can be taken.
The paving inspector should have completed both “Hot Mix Asphalt Basics” and “Hot
Mix Asphalt Inspection” training courses before assignment as the HMA paving
inspector. In addition, if the paving inspector is sampling material, they must also be
qualified on California Test 125, “Methods of Test for Sampling Highway Materials
and Products Used in the Roadway Structural Sections,” Appendix D, “Bituminous
Materials.”
4-3901D Hot Mix Asphalt Quality Assurance
HMA is placed using a specified quality assurance process. The process requires the
contractor to perform quality control testing and Caltrans to perform acceptance testing
and inspection.
For most quality control characteristics, the contractor samples and tests at a minimum
frequency of once per 750 tons of produced HMA. For Caltrans acceptance sampling
and testing, test at the frequency shown in Section 6-1, “Sample Types and
Frequencies,” of this manual. For most tests, test a minimum of every fifth sample, but
not less than once per day.
The contractor is responsible for providing a Quality Control Plan (QCP). Review the
QCP and verify that it includes the required elements and sufficiently describes the
contractor’s proposed quality control processes. Verify that the contractor follows the
QCP, and when required, ensure that the contractor expeditiously makes changes
necessary to control quality. Ensure that the contractor promptly reports quality control
measures and test results to Caltrans personnel. The contractor is not required to have
quality control inspectors onsite during placement operations. Caltrans performs all on-
site inspection.
4-3902 4-3902 Before Work Begins
Before Work Begins Ensure that the contractor submits a job mix formula and a QCP for HMA production
and placement for all types of HMA. Job mix formula and QCP submittals are not
required for HMA that is used for miscellaneous areas and dikes.
The contractor’s laboratories used for testing aggregate and HMA qualities for
determining the job mix formula and the independent third-party laboratory performing
dispute resolution testing must be qualified under the American Association of State
Highway and Transportation Officials (AASHTO), Materials Reference Laboratory
(AMRL) program and the Caltrans’ Independent Assurance Program (IAP). The
contractor’s quality control laboratory is not required to be certified by AMRL or IAP
because the tests are not being used for acceptance.

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4-39.2 Asphalt Concrete
Caltrans laboratories performing acceptance testing must be qualified under the AMRL
and IAP. Caltrans’ field laboratories meet the AMRL requirements when Caltrans’
central materials laboratory meets the requirement. HMA plants must comply with the
Material Plant Quality Program (MPQP) manual guidelines.
https://onramp.dot.ca.gov/ct/manuals-and-guides
4-3902A General
Before the work begins, the resident engineer will:
• Determine the type of HMA specified for the project and review the plans and the
special provisions. The special provisions specify the type of HMA, aggregate
size, and asphalt binder grade.
• Review the project specifications’ measurement and payment clauses and
determine what records must be kept.
4-3902B Job Mix Formula Submittal
Review the documents in the contractor’s job mix formula submittal information to
ensure they are complete. Notify the contractor immediately if the submittal is
incomplete. Include:
• Form CEM-3511, “Contractor Job Mix Formula Proposal,” which documents
target values for aggregate sieves, percent of asphalt binder, and source
information for all HMA component materials. If applicable, Form CEM-3511
will also include the percentage of reclaimed asphalt pavement and antistrip
treatment method.
• Form CEM-3512, “Contractor Hot Mix Asphalt Design Data,” which documents
the testing data developed by the mix design laboratory. If Form CEM-3513,
“Caltrans Hot Mix Asphalt Verification,” is not attached, the completed mix
design data Form CEM-3512 must have been dated within the past 12 months.
• Form CEM-3513, “Caltrans Hot Mix Asphalt Verification,” which, if submitted,
documents Caltrans’ verification test results for the proposed job mix formula.
Form CEM-3513 must have been signed by an engineer, preferably the district
materials engineer, within 12 months of the start of planned HMA production.
• Safety Data Sheets in accordance with Section 39-2.01A(3)(b), “Job Mix
Formula,” of the Standard Specifications.
4-3902C Job Mix Formula Review
The resident engineer must:
• Review the contractor’s proposed job mix formula submitted on Form CEM-3511
for compliance with Section 39-2, “Hot Mix Asphalt,” of the Standard
Specifications and additional requirements in the special provisions. Notify the
contractor immediately if the proposed job mix formula does not comply with the
specifications.
• Review the contractor’s proposed job mix formula submitted on Form CEM-3511
and verify the asphalt binder supplier is on the Caltrans list of approved suppliers
at:
http://www.dot.ca.gov/hq/esc/Translab/ormt/fpmcoc.htm

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Asphalt Concrete 4-39.3
 If the asphalt binder supplier is not on Caltrans’ list of approved suppliers, notify
the contractor that asphalt binder supplied for the project must comply with
Section Q, “Requirements for Suppliers Supplying Asphalt Without a Certificate
of Compliance,” in the Certification Program for Suppliers of Asphalt at:
http://www.dot.ca.gov/hq/esc/Translab/ormt/pdf/CaltransCertificationProgram
forSuppliersofAsphalt_ProgramGuidelin.pdf
• Verify that the WMA technology (additive or water injection foam) is on the
Caltrans Authorized Material List at:
http://www.dot.ca.gov/hq/esc/approved_products_list/
• If the submitted job mix formula proposal complies with the specifications, notify
the contractor within 5 days of submittal that:
1. The job mix formula is accepted if Form CEM-3513 was issued within 12
months of proposed HMA production. The resident engineer signs and returns
Form CEM-3511.
2. The job mix formula must be verified if Form CEM-3513 was not issued
within 12 months of proposed HMA production. The resident engineer
requests that the contractor give notice for when HMA will be produced for
verification and notifies the district materials engineer.
3. For open-graded friction course HMA, if Form CEM-3513 was not issued
within 12 months of proposed HMA production, the resident engineer
requests that the contractor give notice for sampling of aggregate, binder, and
additives.
4-3902D Job Mix Formula Verification
4-3902D (1) General
The contractor takes the following steps related to job mix formula verification for all
types of mixes.
If the proposed job mix formula has not been verified within 12 months of production,
the contractor must furnish material samples in accordance with Section
39-2.01A(3)(b), “Job Mix Formula,” of the Standard Specifications, including:
• Coarse, fine, and supplemental aggregate from stockpiles, cold feed belts, or hot
bins. Samples must include at least 120 pounds for each coarse aggregate, 80
pounds for each fine aggregate, and 10 pounds for each type of supplemental fines.
• Reclaimed asphalt pavement from stockpiles or reclaimed asphalt pavement
system (if used). Samples must be at least 60 pounds.
• Asphalt binder from the binder supplier. Samples must be in two 1-quart
cylindrical shaped cans with open top friction lids.
• Asphalt rubber binder with the components blended in the proportions to be used.
Samples must be in four 1-quart cylindrical cans with open top friction lids.
• Antistrip additives if used.
The resident engineer’s verification process includes:
• Receiving notification from the contractor at least 2 business days before sampling
material so that an inspector may be present during the sampling.

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4-39.4 Asphalt Concrete
• Witnessing the contractor sampling HMA and component materials.
• Shipping the samples immediately to the district materials laboratory. They will be
processed according to the instructions included on Form TL-0101, “Sample
Identification Card.” The TL-0101 should be marked “Priority” and include “Job
Mix Formula Verification Sample” under “Remarks.”
• Providing job mix formula verification results to the contractor on Form
CEM-3513 within 20 days of receiving all samples.
4-3902D (2) Verification Process for Open-Graded Friction Course
For samples of aggregate, asphalt binder, and additives, if applicable:
• Request that the district materials lab determine if the aggregates comply with the
contract quality requirements.
• Request that the district materials laboratory determine asphalt binder content
under California Test 368, “Method of Test for Optimum Bitumen Content (OBC)
for Open Graded Friction Course.”
• Within 20 days of material sampling, Caltrans will determine asphalt binder
content and provide the contractor with Form CEM-3513.
• Within 20 days of receipt of a complete job mix formula submittal and material
sampling, the resident engineer signs and returns the accepted or rejected job mix
formula on Form CEM-3511, “Contractor Job Mix Formula,” with Form CEM-
3513 attached, to the contractor immediately following receipt of Form CEM-3513
from the district materials laboratory.
4-3902D (3) Verification Process for Type A and Rubberized Hot Mix Asphalt-Gap
Graded
If the contractor’s job mix formula proposal has not been verified, the contractor must
provide aggregate and HMA verification samples from the plant that will be used for
the project. The contractor samples in accordance with California Test 125, “Methods
of Test for Sampling Highway Materials and Products Used in the Roadway Structural
Sections.”
Samples are obtained at the following locations:
• Aggregates are sampled from cold feed belts or hot bins.
• Reclaimed asphalt pavement, if used, is sampled from the reclaimed asphalt
pavement system.
• HMA is sampled at the plant, in a truck, from a windrow, the paver hopper, or on
the mat behind a paver.
Test verification samples for compliance with the specifications. Refer to Section
39-2.01A(4)(b), “Job Mix Formula Verification,” of the Standard Specifications.
Ensure that the proposed job mix formula is verified by the district materials laboratory
within 20 days of sampling HMA or when requested in writing by the contractor
within 3 business days for rubberized HMA. Verification is done when the district
materials engineer completes and returns Form CEM-3513 to the resident engineer.
Form CEM-3511 must also be completed by the resident engineer and returned to the
contractor along with Form CEM-3513 within this time frame.

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Asphalt Concrete 4-39.5
 For HMA using WMA technology:
• Obtain the result and a tested sample set for AASHTO T 324, “Hamburg Wheel-
Track Testing of Compacted Hot Mix Asphalt (HMA),” from the contractor.
• Verify the HMA compliance with the mix design requirements for both AASHTO
T 324 and AASHTO T 324 (Modified).
• Verify RHMA-G-WMA quality requirements within 5 business days.
4-3902D (4) Unverified Proposed Job Mix Formula
If the district materials laboratory does not verify the proposed job mix formula:
• The resident engineer notifies the contractor in writing on Form CEM-3511 of the
rejected job mix formula, attaching Form CEM-3513, “Caltrans Hot Mix Asphalt
Verification,” with Caltrans verification test results.
• The contractor may submit a new job mix formula on Form CEM-3511 with a
new Form CEM-3512, “Contractor Hot Mix Asphalt Design Data,” or the
contractor may adjust the job mix formula on Form CEM-3511 with allowable
adjustments specified in Section 39-2.01A(4)(b), “Job Mix Formula Verification,”
of the Standard Specifications.
• If the contractor disputes Caltrans’ verification test results, ensure that the
contractor complies with Section 39-2.01A(4)(i)(iv), “Dispute Resolution,” of the
Standard Specifications.
4-3902D (5) Adjusted Job Mix Formula
The contractor may adjust the job mix formula to meet the specifications. Justification
for any adjustments outside the target values shown on Form CEM-3512 must be listed
on the modified Form CEM-3511.
If the adjusted job mix formula proposal complies with the specifications, arrange with
the contractor a time to witness the sampling of plant produced HMA.
Ensure that the proposed job mix formula is verified by the district materials laboratory
within 20 days of sampling HMA or when requested in writing by the contractor or
within 3 days of sampling rubberized HMA. Verification is done when the district
materials engineer completes and returns Form CEM-3513 to the resident engineer.
Form CEM-3511 must also be completed by the resident engineer and returned to the
contractor with Form CEM-3513 within 20 days of sampling HMA.
If the district materials laboratory does not verify the adjusted proposed job mix
formula, notify the contractor in writing on Form CEM-3511 and attach Form CEM-
3513 with Caltrans’ verification test results.
If the adjustment failed to resolve the job mix formula verification problem, the
contractor may propose a new job mix formula or dispute Caltrans test results in
accordance with Section 39-2.01A(4)(i)(iv), “Dispute Resolution,” of the Standard
Specifications.
4-3902E Job Mix Formula Renewal
A verified job mix formula is good for only 12 months so the contractor may request a
job mix formula renewal if the HMA production will be stopped for more than 30 days
or the contractor wants to use the accepted job mix formula on another contract.

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4-39.6 Asphalt Concrete
Verify that the contractor takes the following steps for job mix formula renewal:
• Submits the proposed job mix formula on Form CEM-3511, attaching the
previously verified job mix formula on Form CEM-3513, and the mix design
information for previously verified job mix formula on Form CEM-3512.
• Notifies the resident engineer prior to sampling materials.
• Samples materials at the locations and quantities shown in Section 4-3902D, “Job
Mix Formula Verification,” of this manual. HMA must be sampled at the location
approved in writing by the resident engineer.
• Submits Form CEM-3514, “Contractor Job Mix Formula Renewal.” Contractors
use Form CEM-3514 to submit to the resident engineer their test results for
renewal of HMA job mix formula.
The resident engineer’s job mix formula renewal process includes:
• Reviewing the proposed job mix formula on Form CEM-3511. Refer to Section 4-
3902C, “Job Mix Formula Review,” of this manual. If the submitted job mix
formula proposal complies with the specifications, the resident engineer notifies
the contractor within 5 days that split sampled HMA and component materials
must be provided.
• Witnessing the contractor sampling HMA and component materials. Take
possession of the material samples and hold until receiving contractor test results.
• Reviewing the information on Form CEM-3514 to confirm that the contractor test
results comply with the specifications. When the test results indicate that the
sampled and tested HMA complies with the specification, request that the district
materials laboratory perform HMA verification testing.
• Shipping material samples to the district materials laboratory if the contractor’s test
results on Form CEM-3514 comply with the specifications. They will be
processed according to the instructions on Form TL-0101, “Sample Identification
Card.” The TL-0101 should include “Job Mix Formula Renewal Verification
Sample” under “Remarks.”
• Providing job mix formula verification results to the contractor on Form
CEM-3513 within 30 days of receiving Form CEM-3514 from the contractor.
4-3902F Job Mix Formula Acceptance
Job mix formula acceptance requires the resident engineer to review and accept
submitted Form CEM-3511, with Form CEM-3512 and an accepted Form CEM-3513
attached. Refer to Section 4-3902C “Job Mix Formula Review,” of this manual for
guidelines on reviewing Form CEM-3511.
4-3902G Plant Operations
HMA plants must be qualified under the MPQP. Refer to Section 3-902E, “Weighing
Equipment and Procedures,” of this manual for additional information.
Before production begins, take the following steps related to HMA plant operations:
• Verify with the district weights and measures coordinator that the proposed HMA
plant is Caltrans-qualified under the MPQP. Batch HMA plants must be qualified
annually, and continuous HMA plants must be qualified at least every 6 months, in
accordance with Chapter 1, Section II-C, “Frequency,” of the MPQP manual.

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Asphalt Concrete 4-39.7
 • If the HMA plant is not qualified, notify the contractor in writing and provide the
contact information for the district weights and measures coordinator. The
contractor must give the district weights and measures coordinator 5 business
days’ notice to schedule HMA plant qualification.
• Accept HMA for up to 14 days from a nonqualified plant if start-up approval has
been granted in writing by the district weights and measures coordinator.
4-3902H Antistrip Treatment of Aggregates
HMA may be sensitive to moisture damage and require antistrip treatments. The
treatment method can be either lime treatment (by dry lime, dry lime with marination,
or lime slurry with marination) or liquid antistrip. Regardless of the type of antistrip
treatment chosen by the contractor, the HMA must meet the requirements of AASHTO
T 283, “Standard Method of Test for Resistance of Compacted Mixtures to Moisture-
Induced Damage,” and AASHTO T 324, “Standard Method of Test for Hamburg
Wheel-Track Testing of Compacted Hot Mix Asphalt (HMA).”
When the contractor chooses to use antistrip treatment of aggregate, the contractor
must test the proposed HMA aggregate blend for plasticity index in accordance with
California Test 204, “Method of Tests for Liquid Limit, Plastic Limit and Plasticity
Index of Soils.” When California Test 204 indicates clay is present in the aggregates,
the plasticity index is used to determine the type of antistrip treatment. Refer to Section
39-2.01B(2)(b) “Hot Mix Asphalt Treatments,” of the Standard Specifications for the
treatment method allowed.
4-3902H (1) Lime Treatment of Aggregates
There are two methods for lime treatment of aggregates:
• Hot mix asphalt aggregate lime treatment—slurry method
• Hot mix asphalt aggregate lime treatment—dry lime method
Using the slurry method, treated aggregates are always marinated. Under the dry lime
method, if the plasticity index is 4 through 10, aggregates must be marinated. When
marination is required, the lime-treated aggregate must be stockpiled for 24 hours to 60
days before using in HMA.
Reclaimed asphalt pavement used in the production of HMA does not need to be lime
treated.
Quality characteristic acceptance test limits for aggregate properties are based on
untreated aggregates. Therefore, aggregate quality control and acceptance testing must
be performed on aggregate samples taken before lime treatment.
During lime treatment, the sand equivalent test is used to signal a change in the
presence of clays. If sand equivalent values decrease significantly, the plasticity index
of the aggregate blend must be tested to ensure that it continues to be in the acceptable
range listed in the special provisions.
If clays are present in the aggregate blend, both lime treatment methods must be
followed by marination.
For lime-treated aggregates, before lime treatment begins, take the following steps:
• Verify with the district weights and measures coordinator that the proposed lime
treatment plant is Caltrans-qualified under the MPQP.

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4-39.8 Asphalt Concrete
• Verify the lime proportions for the fine and coarse aggregate or for the combined
aggregates shown on the job mix formula.
During lime treatment, take the following steps:
• Obtain aggregate samples from stockpiles in accordance with California Test 125,
“Methods of Test for Sampling Highway Materials and Products Used in the
Roadway Structural Sections,” to field test for moisture content and sand
equivalent at the frequency shown in Table 6-1.13, “Materials Acceptance
Sampling and Testing Requirements: Asphalt Concrete,” in Section 6-1, “Sample
Types and Frequencies,” of this manual.
• Test aggregate samples for sand equivalent at the frequency shown in Table 6-1.13
of this manual. Combine aggregate from individual stockpiles in the job mix
formula proportions to test for sand equivalent. If the sand equivalent test result
exceeds the specified limits, immediately notify the resident engineer.
• It is good practice to test aggregate samples for moisture content in accordance
with AASHTO T 255, “Standard Method of Test for Total Evaporable Moisture
Content of Aggregate by Drying,” or AASHTO T 329, “Standard Method of Test
for Moisture Content of Hot-Mix Asphalt by Oven Method,” because moisture
influences proportioning. The plant inspector should confirm that the contractor is
performing sampling and testing for moisture content at a frequency shown in
Section 39-2.02A(4)(b)(ii), “Aggregates,” of the Standard Specifications.
• Obtain aggregate samples from stockpiles or aggregate belts before lime treatment,
in accordance with California Test 125. Sample aggregates at the frequency shown
in Table 6-1.13 of this manual for aggregate acceptance testing.
Label each aggregate sample with the contract number, date, type of mix,
aggregate gradation (for example, 1/2 inch), aggregate source, HMA producer, and
producer’s mix identification number. Indicate the number of tons produced when
the sample was taken.
• Test aggregate at the frequency shown in Table 6-1.13. For samples that will be
shipped to the district material laboratory or field construction laboratory for
testing, complete Form TL-0101, “Sample Identification Card.” Follow the
instructions printed in the form booklet and the information in Section 6-103,
“Field Sampled Material Identification for Testing,” of this manual. Record the
type of mix, the HMA producer, and the producer’s mix identification number.
Check the acceptance tests box on the TL-0101. Under “Remarks,” identify the
tests to be performed:
1. Los Angeles Rattler
2. Percent of crushed particles coarse aggregate
3. Percent of crushed particles fine aggregate
4. Fine aggregate angularity
5. Flat and elongated particles
6. Other aggregate properties specified in the project special provisions, if
applicable
If any test results exceed the specified limits, the materials laboratory will
immediately notify the resident engineer.

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Asphalt Concrete 4-39.9
 • Ensure that the aggregate treatment is adequate by witnessing contractor quality
control testing, and be sure the contractor enters into a log the treatment data
specified in the special provision.
For each day of aggregate lime treatment, obtain the treatment data log in
electronic format for the resident engineer’s project files.
4-3902H (2) Marination of Lime-Treated Aggregates
Marination of the lime-treated aggregates must be done when required in the special
provisions or when California Test 204, “Method of Tests for Liquid Limit, Plastic
Limit and Plasticity Index of Soils,” indicates that the plasticity index is 4 through 10.
Lime-treated aggregate must marinate at least 1 day and no more than 60 days before
use in HMA production. If rain is anticipated during the marination period, the
contractor must protect the stockpiles. If the lime-treated aggregate has been exposed to
rain, inspect the stockpiles. If aggregate lime coating has been damaged significantly,
reject the aggregate. If only the outside surface of the stockpile has been damaged,
require that the contractor remix the piles to redistribute the lime.
4-3902H (3) Liquid Antistrip Treatment
This treatment process requires the addition of the liquid antistrip to asphalt binder
during HMA production.
Before production begins, take the following steps related to liquid antistrip treatment:
• Verify with the district weights and measures coordinator that the proposed liquid
antistrip metering device and storage tank are Caltrans-qualified under the MPQP.
• Verify that the liquid antistrip is the same type and brand as shown on the accepted
job mix formula.
4-3902I Prepaving Conference
Before work begins, the resident engineer holds a prepaving conference with the
contractor to discuss HMA production and placement:
• Review the accepted job mix formula and check that Form CEM-3513, “Caltrans
Hot Mix Asphalt Verification,” has been signed by Caltrans within the past 12
months.
• Confirm that the accepted job mix formula has not changed.
• Discuss with the contractor what atmospheric and pavement temperatures the
contractor has chosen that would result in a notification to stop production of
HMA at the plant.
• Discuss method of incorporating WMA technology.
• Discuss with the contractor pavement areas to receive tapered edge and
construction methods to be used.
• Discuss with the contractor pavement areas to receive shoulder backing and
construction methods to be used.
• Verify if the contractor intends to use a tapered notch wedge device to construct
the longitudinal joint. The tapered notch wedge can be used only on a divided
highway and when the special provisions do not include a requirement that

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4-39.10 Asphalt Concrete
 adjacent traveled-way lanes be squared up from 5 feet to 10 feet at the end of each
work shift.
• Discuss the minimum taper requirements for temporary joint tapers when a
transverse joint greater than 0.04 foot cannot be avoided before opening to traffic.
• Ensure that the type of spreading equipment proposed by the contractor has the
necessary attributes for the project. Permit wing-type spreading equipment only for
areas not requiring an asphalt paver, and then only for such widths, typically less
than 5 feet, that will not adversely affect the surfacing on the traffic lane.
• Ensure that rollers have the specified attributes. For method process, ensure that
the specified number of rollers will be used based on the type of HMA being
placed.
Determine the frequency for density core sampling, at least once every 5 business
days.
• Discuss the contractor’s method to produce smooth pavement that meets the
specifications.
• If cold planing is required, discuss the requirement that the cold planer be equipped
with automatic controls, such as a ski device or averaging system. Discuss what
practices will be used to promote a smooth cold-planed surface. When plans call
for cold planing to match existing cross slope grader to a fixed depth, encourage
the contractor to use best cold planing practices for promoting smoothness, which
includes operating the cold planer using automatic controls tied to a ski device or
to an averaging system, rather than only using a joint matcher.
• Discuss how smoothness quality control will be accomplished.
• Discuss the requirements for submitting smoothness submittals to the secure file
sharing system at [email protected].
• If the contract includes prepaving grinding:
o Emphasize that prepaving grinding work is only applicable to existing asphalt
concrete surfacing that has not been cold planed or replaced.
o Remind the contractor that replaced asphalt concrete surfacing must meet the
12-foot straightedge specification. Corrective grinding on replaced asphalt
concrete surfacing is part of the replace asphalt concrete surfacing work, not
part of the prepaving grinding work.
o Discuss how correction locations will be determined, whether the contractor
will be using ProVAL smoothness assurance module or some other method.
Refer to Section 4-3602C, “Pavement Smoothness,” of this manual, for
additional information on ProVAL computer software.
o Discuss how locations identified in inertial profiles will be located in the field.
Will the contractor be laying out locations using distance measurement
instrumentation (DMI) tied to the beginning of the project, DMI measurement
from intermediate fixed locations tied to “events” in the inertial profile, inertial
profile stationing converted to GPS coordinates, or a combination of GPS and
DMI methods?
o Determine if the contractor plans to perform inertial profiling early as a means
to control quality of smoothness or when the paving is completed.

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Asphalt Concrete 4-39.11
 o In areas where smoothness must meet the 12-foot straightedge requirement,
discuss if the contractor will have a straightedge available, and who on the
paving crew is responsible for using it.
o Suggest use of a rolling straightedge device for comparison in ProVAL, which
will assist in identifying locations that should physically be checked with a 12-
foot straightedge.
o Discuss contingency plans to minimize or eliminate delamination of cold-
planed surfaces. Discuss what criteria and methods will be used to identify and
record locations where the contractor and Engineer mutually agree may reflect
through to the final surface.
o Discuss the contractor’s plans for determining where corrective grinding will
occur on the final surface.
• Discuss the contractor’s plans for scheduling paving after cold planing to meet the
time requirements specified in Section 39-3.04, “Cold Planing Asphalt Concrete
Pavement,” of the Standard Specifications.
• Discuss the contractor’s plans for ensuring that material transfer vehicles (MTVs),
or other types of heavy paving equipment that exceed the California Vehicle Code,
Division 15, weight limits for vehicles on highways, are prevented from crossing a
structure without written authorization. The authorization may be from the
Transportation Permit Office or from the Engineer. Requests for authorization are
subject to a 15-day review.
• Determine the type of tack coat the contractor has chosen to use, based on
expected atmospheric conditions, tack coat material type availability, and local
experience. Also, discuss the contractor’s proposed application rates and how far
in advance of the paving operation the tack coat will be placed. For additional
information about tack coats and the website for Tack Coat Guidelines, refer to
Section 4-3908A, “References,” of this manual, and to the “Minimum Spray
Application Rates of Original Undiluted and Diluted Emulsions” at:
http://www.dot.ca.gov/hq/construc/hma/
• Emphasize that public traffic will not be allowed on pavement with tack coat and
discuss how the contractor will apply additional tack coat to damaged areas
immediately before placing HMA.
• Confirm that the trucks used for tack coat application have the specified attributes.
For distributor attributes, refer to Section 93, “Liquid Asphalts,” of the Standard
Specifications.
Discuss:
• The contractor’s quality control plan.
• The contractor’s communication between the quality control manager and
production and placement personnel.
• How the contractor will transmit required quality control testing reports.
• How the resident engineer will transmit required acceptance test results.
With the contractor, discuss who has responsibility in the field to:
• Monitor HMA temperatures

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4-39.12 Asphalt Concrete
• Monitor atmospheric temperatures
• Monitor pavement temperatures
• Direct HMA truck drivers when loads must be tarped
• Define the length of windrow, if applicable
• Direct the HMA plant to slow down or stop loading trucks because of truck
queuing
• Stop production when two consecutive quality control test results do not comply
with the specifications
Discuss the type of action that will be taken by the contractor when:
• The HMA plant shuts down unexpectedly.
• The HMA paver breaks down.
• The HMA compaction equipment breaks down.
• Atmospheric or pavement temperature drops.
Ensure that the contractor has coordinated any necessary cold-planing operations; signs
for construction area drop-offs, shoulder, and uneven pavement; and temporary
pavement delineation, if applicable.
Review with the contractor the production start-up evaluation requirements for the first
750 tons of mix. Except for AASHTO T 324 (Modified), “Standard Method of Test for
Hamburg Wheel-Track Testing of Compacted Hot Mix Asphalt (HMA),” and
AASHTO T 283, “Standard Method of Test for Resistance of Compacted Mixtures to
Moisture-Induced Damage,” test results, the contractor and Engineer must report test
results within 5 business days of sampling, and for AASHTO T 324 (Modified) and
AASHTO T 283 test results within 15 days of sampling.
4-3902J Paving Operations
Before work begins, take the following steps related to HMA paving operations:
• Review “Placing Hot-Mix Asphalt” in Construction of Hot Mix Asphalt
Pavements (Manual Series No. 22), published by the Asphalt Institute.
• Ensure that the subgrade has been prepared as specified. If any HMA leveling is
required to smooth out an existing irregular surface, inform the contractor and
determine the method of payment.
• Determine if crack sealing or digouts (removing and replacing existing pavement)
is required to repair small areas. When contract items are not included, inform the
contractor of any extra work for crack sealing or digouts. Refer to Maintenance
Technical Advisory Guide for more information about crack sealing or digouts.
The manual is available at:
http://www.dot.ca.gov/hq/maint/MTA_GuideVolume1Flexible.html
• Review the accepted contractor’s quality control plan.
• If resurfacing under structures will result in reduced clearance, follow the
procedures in Section 3-703B, “Permanent Clearance and Bridge Permit Rating
Changes,” of this manual.

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Asphalt Concrete 4-39.13
 • Verify that personnel who will be taking mat acceptance samples and witnessing
core sampling are qualified for California Test 125, “Methods of Test for
Sampling Highway Materials and Products Used in the Roadway Structural
Sections.”
• Coordinate requests for authorization to cross a structure with a vehicle exceeding
the weight limits established by California Vehicle Code, Division 15, through the
project’s structure representative. If the project has not been assigned a structure
representative, coordinate the review through the bridge construction engineer.
Structure construction personnel will review the overload proposal in accordance
with the Bridge Construction Records and Procedures manual, Vol. 2, Bridge
Construction Memo 150-1.0, “Weight Overload Guidelines for Bridges on
Construction Projects.”
4-3903 4-3903 During the Course of Work
During the Course of
4-3903A General
Work
Quality production and placement of HMA requires a quality assurance process that
consists of quality control by the contractor and acceptance by Caltrans. While some of
these functions may seem redundant, each serves a separate purpose.
4-3903A (1) Quality Control
Quality control, sometimes called process control, is the testing performed by the
contractor to ensure that the HMA being produced or placed meets the requirements of
the specifications. Quality control testing of aggregates and HMA quality
characteristics must be performed at a specified minimum frequency. Sampling should
be performed at locations such as plant, windrow, or mat to ensure that quality control
test results are not influenced by sampling location. Sampling must be random and
must not be split samples of Caltrans’ random acceptance samples.
The contractor will want to know early on how closely the contractor’s quality control
test results replicate the quality acceptance test results. The job mix formula
verification and production start-up evaluation both offer early opportunities for the
contractor to compare quality control test results with acceptance test results. Unlike
the comparison of contractor’s quality control and Caltrans’ acceptance test results
during production and placement, the verification and production start-up evaluation
test results are on the same split samples. Therefore, the results are a direct measure of
the variation between the laboratories.
The contractor performs quality control testing for asphalt rubber binder, gradation, and
fabric content of crumb rubber modifier; aggregate and reclaimed asphalt pavement
moisture; and reclaimed asphalt pavement gradation and binder contents.
4-3903A (1a) Hot Mix Asphalt Density
The contractor is required to conduct quality control testing on a regular basis. The
specifications give required intervals in the quality control table of the specifications. If
the total layer thickness is at least 0.15 foot, the contractor is required to conduct
density testing. The contractor is required to perform quality control density testing
using a nuclear gauge that has been calibrated to cores taken on the first day of
production. If the total layer thickness is less than 0.15 foot, the contractor must follow
the requirements of the method process listed in Section 39-2.01C(15)(b), “Method
Compaction,” and the “Construction” sections of the applicable type of HMA; 39-

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4-39.14 Asphalt Concrete
2.02C for Type A, 39-2.03C for RHMA-G, or 39-2.04C for OGFC, of the Standard
Specifications.
4-3903A (1b) Method Process
The contractor must comply with the specifications for placement such as temperature
and roller requirements. Depending on the type of HMA, the minimum compaction’s
temperatures may be reduced when WMA additive technology is used, but not when
WMA water injection technology is used. Caltrans’ inspection process should include
documenting and reporting surface temperatures and roller passes to ensure
compaction operations meet the method specification requirements.
4-3903A (2) Department Acceptance
Department acceptance of HMA consists of material acceptance testing and both plant
and paving inspection. The resident engineer is responsible for coordinating necessary
field personnel and taking contract administration action when required. Ensure that
Caltrans personnel who sample or test have met the requirements of the Caltrans
Independent Assurance Program and are qualified to perform the sampling or testing.
Material acceptance sampling frequencies and material acceptance testing frequencies,
shown in Table 6-1.13 of this manual, are not the same. Caltrans limited the risk to the
contractor by specifying in Section 39, “Asphalt Concrete,” of the Standard
Specifications that no single test result may represent more than the smaller of 750 tons
or one day’s production, whichever is less, except AASHTO T 283 and AASHTO T
324 (Modified). Therefore, during the course of the work it is important to split all
acceptance sample materials. Use one sample for acceptance testing and one for
dispute resolution.
Test the samples in a field construction laboratory, or ship them to a district materials
laboratory to be tested at the minimum testing frequency shown in Section 6-1,
“Sample Types and Frequencies,” of this manual. Store the remaining samples in case
additional acceptance testing is necessary.
The contractor may request that the resident engineer split acceptance samples. If
requested, split acceptance samples into four parts: test one, provide one to the
contractor, and store two for dispute resolution.
Quality assurance must be performed regularly and the material acceptance test
processed in a timely fashion. The resident engineer must make every effort to conduct
the necessary inspection, ensure that sampling and testing staff are available, and have
samples processed as quickly as possible so acceptance decisions can be made while
there is time to make corrections.
Ship or transport acceptance samples to testing laboratories within the timeframes
provided in Section 6-102C, “Acceptance Samples and Tests,” of this manual. Ensure
the proper chain of custody is maintained throughout the process, including delivery to
and receipt from a commercial shipping service. Use Form CEM-3701, “Test Result
Summary,” to summarize acceptance test frequency and results on each material. Use
this form to record the dates samples were taken, shipped to laboratory, test result
received from laboratory, and the contractor notified of test results. Monitor timeliness
of material testing turnaround against Table 6-1.2, “Time Required for Materials
Acceptance Tests,” of this manual and ensure corrective actions are taken and
documented where deficiencies are encountered.

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Asphalt Concrete 4-39.15
 Notify contractor of all acceptance test results within 2 business days of receipt from
laboratory.
Quality pavement is obtained by strictly enforcing the specifications and notifying the
contractor of failed tests as soon as possible. When a single quality assurance test for a
single quality characteristic indicates that material does not comply, follow guidance in
Section 4-3904A (1) “Acceptance Test Results Outside Specified Limits.”
Except for smoothness, when two consecutive acceptance tests for a single quality
characteristic do not comply with the specifications:
• Immediately notify the contractor to stop production.
• Ensure that the contractor takes corrective action.
After the corrective action has been taken and the contractor has quality control test
results showing conformance, witness the contractor taking and splitting samples (into
four parts) for the resident engineer’s tests. The contractor must test one part for
compliance with the specifications and submit three parts to the resident engineer who
tests one part for compliance with the specifications and stores two parts.
4-3903A (3) Dispute Process
A dispute resolution process for acceptance tests is specified in Section 39-
2.01A(4)(i)(iv), “Dispute Resolution,” of the Standard Specifications.
A contractor disputing the acceptance test results must notify the resident engineer
within 5 business days of receiving a test result. Caltrans may also dispute the
contractor’s test results. To resolve disputed test results, the specifications require the
use of an independent third party to perform referee testing. If the contractor disputes
Caltrans’ acceptance test results, and the resident engineer is satisfied with acceptance
test results, before using the independent third party, suggest that the contractor test one
of the split samples from the material in question. If the contractor agrees to perform
this test, it would be good practice to have a tester or a district independent assurance
representative witness the contractor’s testing.
The specifications require the testing of split samples of disputed material. If split
samples of the material tests being disputed are not available, the third party uses any
available material representing the disputed HMA for evaluation. Caltrans must retain
possession of the split samples. Caltrans may discard stored split samples 5 days after
the contractor has received the associated acceptance test results.
4-3903B Production Start-Up Evaluation
Section 39-2.01A(4)(h)(v), “Production Start-Up Evaluation,” of the Standard
Specifications applies to all construction processes. The production start-up evaluation
allows:
• The contractor to compare quality control test results against Caltrans acceptance
test results on split sample material.
• Caltrans to verify early in the project that the aggregate properties and HMA
comply with the job mix formula and specifications.
• Both parties to examine results of tests performed on split sample material.
Split samples are used only for job mix formula verification, for production start-up
evaluation, and when the contractor is demonstrating compliance with the
specifications if production has been stopped for out-of-specification material. In all

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4-39.16 Asphalt Concrete
other circumstances, acceptance samples must always be taken independently of
contractor’s quality control samples.
4-3903C Plant Operations
Before shift production begins, the plant inspector generally takes the following steps
related to HMA plant operations:
• Verifies that the security seal has not been tampered with. If tampering is
suspected, contact the district weights and measures coordinator.
• Ensures that the portioning equipment is interlocked as specified in the MPQP.
• Ensures that the job mix formula being used by the contractor is specific to the
project and that no changes have been made to:
1. Target asphalt binder percentage
2. Asphalt binder supplier
3. Asphalt rubber binder supplier
4. Component materials or percentage of any component material used in asphalt
rubber binder
5. Combined aggregate gradation
6. Aggregate sources
7. Substitution rate for reclaimed asphalt pavement aggregate of more than 5
percent
8. Any material in the job mix formula
• Notifies the resident engineer if there are changes in the job mix formula and asks
if a new job mix formula will be required from the contractor before production
can be started.
• Makes certain that the asphalt binder supplier is on the Caltrans approved supplier
list or that asphalt binder samples have been taken from each truckload and tested
in accordance with Section Q, “Requirements For Suppliers Supplying Asphalt
Without a Certificate of Compliance,” in the Certificate Program for Suppliers of
Asphalt. Notifies the contractor and resident engineer if asphalt binder testing has
not been completed for a supplier not on the approved supplier list.
• Ensures that aggregate is stored separately, according to proposed sizes by
comparing the material from each bin with Chapter 2, Section II-E, “Aggregate
Storage,” of the MPQP manual. If any segregation, degradation, or intermingling
occurs, require that the contractor empty the storage facility and waste or re-screen
the material.
• Ensures that supplemental fine aggregate remains dry and is stored separately as
specified in MPQP guidelines.
During production, the plant inspector generally takes the following steps related to
HMA plant operations:
• Records daily HMA plant production information on Form CEM-3501, “Hot Mix
Asphalt Production Report.”

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Asphalt Concrete 4-39.17
 • Documents on Form CEM-4601, “Assistant Resident Engineer’s Daily Report,”
additional information about plant production, including instructions to
contractor’s personnel.
The plant inspector performs the following additional duties:
1. Ensures that contractor personnel who sample or witness the contractor
sampling at the hot mix asphalt plant are qualified to perform California Test
125, “Methods of Test for Sampling Highway Materials and Products Used in
the Roadway Structural Sections.”
2. Obtains HMA samples for acceptance testing every 750 tons and tests at least
once for every 5 samples or a minimum of once per day. Material samples
must be split into two parts, one sample for potential acceptance testing and
one for potential dispute resolution testing.
3. Samples for aggregate gradation at least once for every 750 tons, and tests at
least once for every 5 samples or a minimum of once per day. Material
samples must be split into two parts, one sample for potential acceptance
testing and one for potential dispute resolution testing.
4. Monitors the contractor’s HMA plant inspection for compliance with the
contractor’s quality control plan. Notifies the resident engineer of any
noncompliance issues.
4-3903C (1) Antistrip Treatment of Aggregates and Hot Mix Asphalt
The HMA may be sensitive to moisture damage and may require one of the following
antistrip treatments:
• Hot mix asphalt aggregate treatment—slurry method
• Hot mix asphalt aggregate treatment—dry lime method
• Liquid antistrip method
4-3903C (1a) Marinated Lime-Treated Aggregate
Aggregate that has been lime treated and stockpiled for marination is handled in the
HMA production process in the same manner as untreated aggregates. Refer to Section
4-3902H (1), “Lime Treatment of Aggregates,” of this manual for lime treatment plant
operation requirements.
For aggregates that have been lime treated and stockpiled:
• Verify that aggregate quality characteristic acceptance samples and tests were
performed and the aggregate meets the contract specifications.
• Do not perform sampling and testing for sand equivalent or aggregate quality
characteristics as shown in Section 4-3903C (3), “Hot Mix Asphalt Production,” of
this manual.
• Ensure that the lime marination was performed within the past 60 days.
Reclaimed asphalt pavement used in the production of HMA does not need to be lime
treated.
4-3903C (1b) Hot Mix Asphalt Aggregate Treatment—Slurry Method
If an HMA production facility is using this process without marination, contact the
METS Office of Flexible Pavement for assistance.

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4-39.18 Asphalt Concrete
4-3903C (1c) Hot Mix Asphalt Aggregate Treatment—Dry Lime Method
The quality characteristic acceptance test limits for aggregate properties are based on
untreated aggregates. Aggregate testing must be performed on aggregate samples taken
before lime treatment.
During lime treatment, the plant inspector takes the following steps:
• Obtain aggregate samples from stockpiles or from the aggregate belts before lime
treatment for moisture content and sand equivalent testing at the frequency shown
in Table 6-1.13 of this manual. Sample aggregate in accordance with California
Test 125, “Methods of Test for Sampling Highway Materials and Products Used in
the Roadway Structural Sections.”
• Test aggregate samples for sand equivalent at the frequency shown in Table 6-1.13
of this manual. If the aggregates are not combined before sampling, combine
aggregate from individual stockpiles or belts in the job mix formula proportions to
test for sand equivalent.
• It is good practice to test aggregate samples for moisture content in accordance
with AASHTO T 255, “Standard Method of Test for Total Evaporable Moisture
Content of Aggregate by Drying,” or AASHTO T 329, “Standard Method of Test
for Moisture Content of Hot Mix Asphalt by Oven Method,” because moisture
influences proportioning. For lime slurry aggregate treatment, the plant inspector
should confirm that the contractor is performing sampling and testing for moisture
content at least once every 2 hours of treatment. For lime-treated aggregate, the
plant inspector should confirm that the contractor is performing sampling and
testing for moisture content at a frequency shown under the quality control section
applicable to the type of HMA.
Compare the contractor’s aggregate moisture quality control test results against the
Caltrans test results. Notify both the contractor and the resident engineer if the test
results are significantly different.
Verify that the contractor is adjusting the HMA plant controller based on the
contractor’s aggregate moisture quality control test results.
• Obtain aggregate samples from stockpiles or aggregate belts before lime treatment
in accordance with California Test 125. Sample aggregates at the frequency shown
in Table 6-1.13 of this manual for aggregate acceptance testing.
• Test aggregate for acceptance quality characteristics at the frequency shown in
Table 6-1.13 of this manual for the following aggregate acceptance tests:
1. Los Angeles Rattler
2. Percent of crushed particles coarse aggregate
3. Percent of crushed particles fine aggregate
4. Fine aggregate angularity
5. Flat and elongated particles
6. Other aggregate properties specified in the project special provisions if
applicable
If samples will be shipped to a district materials laboratory or to a construction
laboratory, complete Form TL-0101, “Sample Identification Card,” following the

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Asphalt Concrete 4-39.19
 instructions in the book and the information in Section 6-103, “Field Sampled Material
Identification for Testing,” of this manual. Record the type of mix, the HMA producer,
and the producer mix identification number. Check the box on the sample TL-0101 for
acceptance test. Ship the samples to the district materials laboratory or field
construction laboratory for testing. If any test results exceed the specified limits, the
testing laboratory will immediately notify the resident engineer.
Ensure that aggregate treatment is adequate by witnessing contractor quality control
testing, and that the contractor enters the treatment data specified in the special
provisions into a log. For each day of aggregate lime treatment, obtain the treatment
data log electronically for the resident engineer’s project file.
4-3903C (1d) Liquid Antistrip Treatment
Ensure that data required in the liquid antistrip treatment section of the special
provisions is entered into the production unit’s treatment data log and submitted in the
required format.
For each day of antistrip treatment, obtain the treatment data log electronically for the
resident engineer’s project files.
4-3903C (2) Production Start-Up Evaluation
A production start-up evaluation occurs within the first 750 tons produced on the first
day of HMA production. The evaluation is also required when production has stopped
for more than 30 days and if a new job mix formula is being used.
The plant inspector generally takes the following steps related to a production start-up
evaluation:
• During the first 750 tons of production, witnesses the contractor sampling
aggregate, asphalt binder, and reclaimed asphalt pavement on the first day of
production in accordance with Section 39-2.01A(4)(h)(v), “Production Start-Up
Evaluation,” of the Standard Specifications and California Test 125, “Sampling
Highway Materials and Products Used in the Roadway Structural Sections.” The
inspector retains three split samples for testing and dispute resolution as described
earlier.
• Labels each HMA sample with enough information to identify the exact location.
Refer to Section 4-3903C (3), “Hot Mix Asphalt Production,” of this manual.
• Ships one sample of asphalt binder to METS for testing as detailed in Section 6-2,
“Acceptance of Manufactured or Fabricated Materials and Products,” of this
manual, noting that it is a production start-up acceptance test.
• Immediately tests one aggregate sample for aggregate gradation and sand
equivalent. If reclaimed asphalt pavement is used, tests reclaimed asphalt
pavement sample and determines the aggregate gradation in accordance with Lab
Procedure 9, “Hot Mix Asphalt (HMA) Using Up to 15% Reclaimed Asphalt
Pavement (RAP),” notifying the contractor of test results. The procedure is found
at:
http://www.dot.ca.gov/hq/esc/Translab/ormt/fpmlab.htm
• When test results fall outside the specification limits, the inspector notifies the
contractor, and requires and confirms that the contractor takes corrective action.

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4-39.20 Asphalt Concrete
 If aggregate gradation or sand equivalent test results fall outside the specification
limits, notify the resident engineer immediately.
• Tests one aggregate sample for aggregate acceptance quality characteristics.
For samples that will be shipped to the district material laboratory or field
construction laboratory for testing, complete Form TL-0101, “Sample
Identification Card,” following the instructions printed in the form booklet and the
information in Section 6-103, “Field Sampled Material Identification for Testing,”
of this manual. Record the type of mix, the HMA producer, the producer’s mix
identification number, and the production tonnage that this sample represents.
Check the box on the sample TL-0101 for acceptance test, marked “Priority,” and
include “Production Start-Up Evaluation Test” under “Remarks.” Under
“Remarks,” identify the tests to be performed:
1. Los Angeles Rattler
2. Percent of crushed particles coarse aggregate
3. Percent of crushed particles fine aggregate
4. Fine aggregate angularity
5. Flat and elongated particles
6. Other aggregate properties specified in the project special provisions, if
applicable
The specifications require 3 days for test result turnaround, so samples must be
shipped immediately. If any tests results fall outside the specified limits, the testing
laboratory will immediately notify the resident engineer.
4-3903C (3) Hot Mix Asphalt Production
During production, the plant inspector generally takes the following steps related to
HMA plant operations:
• Observes the overall plant operation to ensure the contractor controls dust and
smoke. Requests that the contractor corrects any obvious violation and ceases
operation if necessary to prevent damage to HMA mixture.
• Obtains aggregate samples and performs AASHTO T 255, “Standard Method of
Test for Total Evaporable Moisture Content of Aggregate by Drying,” or
AASHTO T 329, “Standard Method of Test for Moisture Content of Hot Mix
Asphalt by Oven Method.”
• Confirms that the contractor is performing sampling and testing for moisture
content at the frequency shown under the quality control section of the Standard
Specifications applicable to the type of HMA. Because moisture influences
proportioning, it is good practice to test both aggregate and reclaimed asphalt
pavement for moisture content.
• Compares the contractor’s quality control test results with Caltrans test results and
notifies both the contractor and resident engineer if the test results are significantly
different.
• Verifies that the contractor is adjusting the HMA plant controller based on the
contractor’s aggregate moisture quality control testing.

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Asphalt Concrete 4-39.21
 • Obtains aggregate samples for field testing for aggregate grading and sand
equivalent at the frequency shown in Table 6-1.13 of this manual. Tests aggregate
samples before lime treatment for testing sand equivalent. (Reclaimed asphalt
pavement does not need to be sampled for sand equivalent.) Do not use aggregate
samplers that do not safely produce a manageable sized sample.
• Labels each aggregate sample with the contract number, date, type of mix,
aggregate gradation (for example, 1/2 inch), aggregate source, HMA producer, and
producer’s mix identification number. Indicates the number of tons produced when
the sample was taken.
• Tests aggregate samples for aggregate gradation and sand equivalent at the
frequency shown in Table 6-1.13 of this manual. If reclaimed asphalt pavement is
used, determines aggregate gradation in accordance with Lab Procedure 9, “Hot
Mix Asphalt (HMA) Using Up to 15% Reclaimed Asphalt Pavement (RAP).” Lab
Procedure 9 is available at:
http://www.dot.ca.gov/hq/esc/Translab/ormt/fpmlab.htm
• Notifies the contractor of aggregate gradation and sand equivalent test results, and
confirms that any required plant adjustment has been made to correct for out-of-
specification aggregate gradation.
• If aggregate gradation or sand equivalent test results fall outside the specification
limits, notifies the resident engineer immediately. If the contractor makes
significant or numerous adjustments in bin aggregate proportions, increase the
frequency of aggregate gradation testing.
• Obtains aggregate samples for aggregate acceptance quality characteristics at the
sampling frequencies shown in Table 6-1.13 of this manual and sample in
accordance with California Test 125. If lime-treated, aggregate samples must be
taken before lime treatment for testing aggregate properties. Reclaimed asphalt
pavement does not need to be sampled.
• Labels each aggregate sample with the contract number, date, type of mix,
aggregate gradation, aggregate source, HMA producer, and producer’s mix
identification number. Indicate the number of tons produced when the sample was
taken. Refer to the guidance in Section 4-3903D (5), “Sampling and Testing Hot
Mix Asphalt,” of this manual. Tests aggregate at the frequency shown in Table 6-
1.13 of this manual. For samples that will be shipped to the district material
laboratory or field construction laboratory for testing, completes Form TL-0101,
“Sample Identification Card.” Follows the instructions printed in the book that
contains the form and the information in Section 6-103, “Field Sampled Material
Identification for Testing,” of this manual. Records the type of mix, the HMA
producer, and the producer’s mix identification number. Checks the acceptance
tests box on the TL-0101. Under “Remarks,” identifies the tests to be performed:
1. Los Angeles Rattler
2. Percent of crushed particles coarse aggregate
3. Percent of crushed particles fine aggregate
4. Fine aggregate angularity
5. Flat and elongated particles

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4-39.22 Asphalt Concrete
 6. Other aggregate properties specified in the project special provisions, if
applicable
If any test results exceed the specified limits, the materials laboratory will
immediately notify the resident engineer.
If any single quality characteristic has two consecutive acceptance or quality
control tests not in compliance with the specifications, ensure that before resuming
production and placement of HMA on the project, the contractor:
1. Stops production
2. Notifies the resident engineer
3. Takes corrective action
4. Provides a split sample for the engineer’s testing
5. Demonstrates compliance with the specifications before resuming production
and placement of HMA on the project
• Samples asphalt binder at the frequencies shown in Section 6-1, “Sample Types
and Frequencies,” and in accordance with Section 6-2, “Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual, fills out Form
TL-0101, before shipping samples to METS for testing.
• Ensures asphalt binder quality by following Section 4-92, “Asphalt Binders,” of
this manual.
• For asphalt rubber binder components:
1. Collect certificates of compliance for each truckload of crumb rubber modifier
and asphalt modifier.
2. Collect a “Buy America” certificate for each truckload of crumb rubber
modifier. Refer to Section 3-604, “Buy America,” of this manual for more
information.
3. Sample asphalt modifier binder at the frequencies shown in Section 6-1,
“Samples Types and Frequencies,” of this manual. Ship to METS as detailed
in Section 6-2, “Acceptance of Manufactured or Fabricated Materials and
Products,” of this manual.
• Ensure that the temperatures of the asphalt binder, aggregate, and HMA do not
exceed the limits specified in Section 39-2.01B(8), “Hot Mix Asphalt Production,”
of the Standard Specifications.
• Ensure that the batch size and feed rates do not exceed the mixing capacity range
used during plant dynamic testing.
• HMA must be tested for mix moisture content from samples taken behind the
paver in accordance with AASHTO T 329, “Standard Method of Test for Moisture
Content of Hot Mix Asphalt by Oven Method.” However, the HMA can be
sampled and tested at the plant to determine if sampling and testing at the mat are
necessary by performing the informal test described below. If HMA samples taken
at the plant meet the mix moisture acceptance requirements, samples taken behind
the paver will also meet the specification requirement.
To perform an informal, quick moisture content check at the plant, use the
following procedure:

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Asphalt Concrete 4-39.23
 1. Have the contractor take a shovelful of aggregate from the dryer’s discharge
chute
2. Notice any steaming or dark spots on the aggregate
3. Pass a cool, shiny, clean mirror, spatula, or similar item in a slow, deliberate
motion immediately above the aggregate
4. Observe the amount of condensed moisture on the item
5. Advise the contractor if moisture is seen
This informal method cannot be used for acceptance.
• Observe production to ensure the specified HMA mixture conforms to project
specifications and the MPQP.
4-3903C (3a) Batch Plants
Do not approve a shorter mixing time than was used during the plant dynamic testing
conducted for plant acceptance, in accordance with Chapter 3, Section II-B, “Dynamic
Testing,” of the MPQP manual.
Ensure that the automatic batching equipment functions within the limits specified in
Chapter 2, Section II-F, “Batch Mixing HMA Plants,” of the MPQP manual.
4-3903C (3b) Continuous Mixing Plants
For continuous mixing plants (dryer drum or dryer drum pugmill), ensure that the
following are operating:
1. Vibrating unit on the fine bins
2. Low-level and no-flow interlock systems for aggregate and reclaimed asphalt
pavement feeder bins
3. No-flow interlock system for asphalt binder storage and feed system
4. Automatic plant controller
5. Dust control systems
6. Segregation devices at HMA storage
The mixing time depends on the length of the mixing area and the rate of drop in the
dryer drum during mixing. The most efficient pugmill mixing occurs when the material
level remains at the top of the paddles along the length of the mixer. For best results,
feeding must be continuous and uniform. Do not approve a production rate less or
greater than the range of production used during the plant dynamic testing conducted
for plant acceptance in accordance with Chapter 3, Section II-B, “Dynamic Testing,” of
the MPQP manual.
4-3903C (4) Plant Weighing Systems
Observe the operation of all weighing systems. Whenever scales and meters seem
inaccurate, contact the district weights and measures coordinator for further assistance.
Be aware of scale and meter security seals and set points.
For batch plants:
• Ensure that the weigh box containing the total batch does not come in contact with
anything that prevents a true indication of the batch weight.

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4-39.24 Asphalt Concrete
• When intermediate storage, such as a silo, is used for HMA, periodically check the
batching by comparing the total weight of the batches in a truckload with the
platform scale weight for the same load.
• Check the asphalt binder scales frequently to ensure that they return to within zero
tolerance limits and that the scale lever systems or load cells move freely.
When plants are used for only one project, the accuracy of meter-driven devices that
proportion asphalt binder can be checked. To do so, compare meter totalizer readings
with asphalt binder tank stabbings and, in conjunction with an onsite vehicle scale, with
the combined aggregate totalizer readings. Take into account any wasted mix or
individual ingredients wasted after proportioning.
4-3903C (5) Hot Mix Asphalt Storage
Ensure that HMA storage silos are in accordance with Chapter 2, Section II-J, “HMA
Storage,” of the MPQP manual.
4-3903C (6) Hot Mix Asphalt Transporting
Before the trucks are loaded, ensure the absence of an excessive amount of parting
agent or other contaminating material. Such material is excessive when it forms pools.
Diesel or other petroleum-based products are prohibited from being used as parting
agents.
After the trucks are loaded, be sure the HMA mixture is uniform (that is, aggregate is
coated with asphalt binder and load is not segregated). Notify the resident engineer if
loads need to be rejected based on nonuniformity of HMA mixture.
Ensure that rubberized HMA gap-graded and open-graded friction course loads are
completely covered with tarpaulins when the atmospheric temperature is below 70°F.
Tarps are not required if the time from discharge to truck until transfer to the paver’s
hopper or to the pavement surface is less than 30 minutes. If the trucks are tarped,
record that information on Form CEM-3501, “Hot Mix Asphalt Production Report.”
4-3903D Paving Operations
During HMA placement, the paving inspector generally takes the following steps:
• Record daily HMA placement information on Form CEM-3502, “Hot Mix
Asphalt Placement Report,” and additional information, including instructions to
contractor’s personnel, on Form CEM-4601, “Assistant Resident Engineer’s Daily
Report.”
• Refer to “Placing Hot-Mix Asphalt” in Construction of Hot Mix Asphalt
Pavements, published by the Asphalt Institute, as guidance for best practices
during HMA placement.
4-3903D (1) Atmospheric and Pavement Temperature
• Ensure that placement occurs within the specified temperature ranges by taking
sufficient measurements of the atmosphere, pavement, and HMA. The temperature
ranges vary based on the type of HMA being placed. For temperature range
requirements, refer to Section 39-2.01C(1) “General,” and 39-2.02C,
“Construction,” of the Standard Specifications.
• Record temperatures and the time taken on Form CEM-3502. Notify the contractor
to stop HMA placement when temperatures are below specified limits.

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 4-3903D (2) Tack Coat
• Ensure that tack coat is applied to surfaces to be paved and at a high enough rate to
meet the minimum residual rate specified. Use guidance in Section 4-9403,
“During the Course of Work,” of this manual to determine the minimum required
spray rate. The contractor may request and the paving inspector authorize that the
application of tack coat is waived between layers when both of the following
conditions apply:
1. The surface to be paved does not have a film of dust or clay
2. The temperature of the surface to be paved is ≥140ºF
• If the contractor uses asphaltic emulsion that has not yet been tested by Caltrans,
ensure each delivery of asphaltic emulsion includes a certificate of compliance that
covers items described in Section 94-1.01C, “Submittals,” of the Standard
Specifications. Also, ensure each delivery includes a safety data sheet.
• Ensure that if asphaltic emulsion has been diluted, the contractor notifies the
engineer of the dilution rate and includes the dilution information required by
Section 39-2.01C(3)(f), “Tack Coat,” of the Standard Specifications.
• For information on inspecting tack coat, refer to Section 4-3908A, “References,”
of this manual for the Tack Coat Guidelines website.
4-3903D (3) Transporting and Spreading
• Ensure that HMA delivery trucks have weighmaster certificates, and collect the
certificates from the arriving trucks. If inspection resources are limited, collect
weighmaster certificates on a daily basis. If HMA loads are rejected before
placement, note on the back of the weighmaster certificate and Form CEM-4601,
“Assistant Resident Engineer’s Daily Report,” why the HMA was rejected, such as
cold mix, segregated mix, or contaminated mix.
• Watch for queuing of trucks to avoid excessive cooling of HMA mixture.
• Ensure the contractor uses a material transfer vehicle (MTV) when required.
Section 39 of the Standard Specifications requires the use of an MTV on all types
of HMA except Type A and minor HMA. The special provisions may require the
use of MTVs for Type A.
• Ensure the contractor does not cross a structure with an MTV or other heavy
paving equipment that exceeds the weight limits for a vehicle on highways as
defined in California Vehicle Code, Division 15, without written authorization.
Coordinate all requests for authorization with the project’s structure representative.
If the project has not been assigned a structure representative, coordinate the
review through the bridge construction engineer.
• If windrowing is used, prevent overcooling of the HMA by not allowing excessive
windrowing. When “method” compaction is used, ensure the windrow
temperature does not fall below 260° or 250°F when WMA “additive” technology
is used. In all cases, ensure the windrow length does not exceed 250 feet in front of
the loading equipment.
1. Windrow temperatures can be monitored with an infrared heat gun. Type A
HMA may be rejected for not meeting minimum first coverage of breakdown
surface temperature shown in Section 39-2.02C, “Construction,” of the
Standard Specifications. RHMA-G may be rejected for not meeting minimum

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4-39.26 Asphalt Concrete
 first coverage of breakdown surface temperature shown in Section 39-2.03C,
“Construction,” of the Standard Specifications.
2. When using a heat gun on a windrow, be aware that the instrument measures
only surface temperature and that the interior of the windrow is hotter. When
the HMA is run through the material transfer vehicle, paver, or both, the mat
temperature may be above the minimum specified breakdown temperature.
3. If windrow temperatures are inadequate or visual inspection of the material in
the windrow identifies segregation, poor mixing, or an over-rich mix, notify
the contractor. If this material is incorporated into the paving, additional
inspection and testing may be necessary to determine if the mix is acceptable.
• When HMA is placed against the edge of a longitudinal or transverse construction
joint that is damaged or not placed in a neat line, ensure the contractor saw cuts or
grinds the pavement straight and vertically along the joint and removes the
extraneous material.
• Ensure that longitudinal joints between layers are offset 0.5 foot and that
longitudinal joints on the finished surface correspond to the edge of traffic lanes.
• Ensure that the paver spreads the HMA at the required thickness and that lift
thickness for Type A complies with Section 39-2.02C “Construction,” of the
Standard Specifications, and for HMA placed under method compaction
specifications, the lift thickness does not exceed 0.25 foot.
• Ensure pavement thickness by comparing the HMA spread rate with the
theoretical rate and, if necessary, order the contractor to make adjustments.
Below is an example spread-rate calculation assuming 12 feet wide, 0.15-foot
thickness, mix 150 pounds per cubic foot, and 16 tons shown on a weighmaster
certificate.
1. Calculate the weight of HMA 0.15-foot thick required for 1 square foot: 150 x
0.15 = 22.5 pounds per square foot
2. Calculate the weight of HMA for 1 linear foot:
22.5 x 12 = 270 pounds per linear foot
3. Calculate the linear feet that can be covered by one truckload:
(16 tons x 2,000 pounds per ton) ÷ 270 pounds per linear foot = 118.5 linear
feet
4. Calculate the linear feet covered by 1 ton of HMA: 2,000 pounds per ton ÷
270 pounds per linear foot = 7.41 feet
Check layer thickness and spread rate during placement, and check daily
theoretical spread rate against the distance actually paved for the day. Note these
on Form CEM-3502, “Hot Mix Asphalt Placement Report.”
Payment for HMA is based on the weight shown on the weighmaster certificate.
Because of the high cost of HMA, it is important to monitor the spread rate so an
excess of HMA is not placed and project funding is not exceeded.

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Asphalt Concrete 4-39.27
 4-3903D (4) Production Start-Up Evaluation Samples
Section 39-2.01A(4)(h)(v), “Production Start-Up Evaluation,” of the Standard
Specifications requires samples of HMA within the first 750 tons of production on the
first day of production.
• Observe the contractor sampling from the mat behind the paver or other location
approved by the resident engineer. The contractor must sample in accordance with
California Test 125, “Methods of Test for Sampling Highway Materials and
Products Used in the Roadway Structural Sections,” and give the resident engineer
three of the four split samples.
• Test the HMA production start-up evaluation sample for quality characteristics
shown in Section 4-3903D (5), “Sampling and Testing Hot Mix Asphalt,” of this
manual.
• Test aggregate at the frequency shown in Table 6-1.13 of this manual. For samples
that will be shipped to the district material laboratory or field construction
laboratory for testing, complete Form TL-0101, “Sample Identification Card.”
Follow the instructions printed in the form booklet and the information in Section
6-103, “Field Sampled Material Identification for Testing,” of this manual. Record
the type of mix, the HMA producer, and the producer’s mix identification number.
Check the acceptance tests box on the TL-0101. Under “Remarks,” identify the
tests to be performed.
Label each HMA sample with enough information to identify the exact location.
Refer to the description in Section 4-3903D (5) of this manual.
Check the box on TL-0101 for acceptance test marked “Priority,” and include
“Production Start-up Evaluation Test” under “Remarks.” Also under “Remarks,”
list all required acceptance tests. The resident engineer must report the test results
to the contractor within 5 business days of sampling. For AASHTO T 324
(Modified) and AASHTO T 283 test results, report test results within 15 days of
sampling. To meet these timelines, ship samples immediately.
4-3903D (5) Sampling and Testing Hot Mix Asphalt
• Obtain split samples of HMA from the mat behind the paver or other location
approved by the resident engineer, in accordance with California Test 125,
“Methods of Test for Sampling Highway Materials and Products Used in the
Roadway Structural Sections.” Table 6-1.13 of this manual provides the frequency
for sampling HMA mix.
Label each HMA sample with the aggregate grading (for example, “1/2 inch”),
asphalt binder target value, producer, and producer’s mix identification number.
Indicate both the stationing where the sample was taken and the area represented
(for example, STA 100+50, NB, Lane 1, first layer). Also include the TL-0101
number if the sample is being shipped to the district material laboratory or field
construction laboratory for testing. The label must have enough information to
identify the exact location in the event the HMA is rejected and must be removed.
• Test aggregate at the frequency shown in Table 6-1.13 of this manual. For samples
that will be shipped to the district material laboratory or field construction
laboratory for testing, complete Form TL-0101, “Sample Identification Card.”
Follow the instructions printed in the form booklet and the information in Section
6-103, “Field Sampled Material Identification for Testing,” of this manual. Record

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4-39.28 Asphalt Concrete
 the type of mix, the HMA producer, and the producer’s mix identification number.
Check the acceptance tests box on the TL-0101, and identify the acceptance tests
to be performed under “Remarks.” Include only the acceptance tests that you are
requesting to meet the acceptance test frequency in Table 6-1.13 of this manual:
1. Asphalt binder content
2. Air voids content at Ndesign
3. Voids in mineral aggregate
4. Dust proportion (report only if an adjustment for asphalt binder content target
value is less than ± 0.3 percent from optimum binder content).
5. Maximum theoretical density AASHTO T 209, Method A .
6. Hamburg Wheel Track (AASHTO T 324 (Modified)),
7. Moisture susceptibility (AASHTO T 283), both dry strength and wet strength.
If any single quality characteristic, except smoothness, has two consecutive
acceptance or quality control tests not in compliance with the specifications, ensure
that before resuming production and placement of HMA on the project, the
contractor:
1. Stops production
2. Notifies the resident engineer
3. Takes corrective action
4. Provides a split sample for the engineer’s testing
5. Demonstrates compliance with the specifications
4-3903D (6) Compaction
The contractor must comply with the method process in Section 39-2.01C(2)(c),
“Method Compaction Equipment,” and in Section 39-2.01C(15)(b), “Method
Compaction,” of the Standard Specifications if:
• The total paved thickness is less than 0.15 foot
• The HMA is used in:
1. Asphalt concrete remove-and-replace areas (digout)
2. Leveling courses
3. Detours not included in final roadway prism
4. Areas the resident engineer determines that conventional compaction and
compaction measurement methods are impeded
4-3903D (6a) Method Process Compaction
For the method process HMA compaction:
• Use the MultiCool 3 program as a guide for determining the length of time
available for achieving compaction, based on layer thickness, HMA temperature,
existing pavement temperature, and atmospheric temperature. The MultiCool 3
program is available at:
http://www.dot.ca.gov/hq/construc/hma/

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Asphalt Concrete 4-39.29
 • Ensure that:
1. Specified equipment performs the compaction in the specified order.
2. A required number of coverages is made for each compaction type (first
coverage, breakdown, and finish).
3. The HMA compaction is completed above the specified minimum
temperature for each compaction type (first coverage, breakdown, and finish).
4. The speed of the vibratory roller in miles per hour does not exceed the
vibrations per minute divided by 1,000 when a vibratory roller is specified for
compaction. When the HMA layer thickness is less than 0.08 foot, the
vibratory roller must be in the off mode.
5. The speed does not exceed 5 miles per hour when a pneumatic-tired roller is
specified for compaction.
• Inspect the finished HMA surface for marks, tearing, and irregular texture that may
be caused by segregated mix. Notify the contractor of noncompliant areas.
4-3903D (6b) Compaction Determination by Cores
When the total paved thickness is at least 0.15 foot:
• The contractor will determine the number of rollers and sequence necessary to
meet the compaction requirements of the specifications.
• For quality control testing, the contractor must use nuclear gauges calibrated to
cores under California Test 375, “Determining the In-Place Density and Relative
Compaction of Hot Mix Asphalt Pavement Using Nuclear Gages,” to determine
the relative compaction.
• The contractor will obtain the cores for the resident engineer within 5 days of
HMA placement. The resident engineer will use the cores to determine relative
compaction.
1. Randomly select core locations for every 250 tons of hot mix asphalt placed
according to Part 3, “Section B, “Test Site Location,” of California Test 375,
“Determining the In-Place Density and Relative Compaction of Hot Mix
Asphalt Pavement Using Nuclear Gages.”
2. Witness the contractor taking the cores, mark each core, and place the cores in
a protective container before taking possession of the cores.
3. Complete Form TL-0101, “Sample Identification Card,’’ following the
instructions printed in the form’s book and the information in Section 6-103,
“Field Sampled Material Identification for Testing,” of this manual. Identify
the stationing where they were taken and the area they represent, for example,
“lane #1, first layer.” Label the samples with enough information that the
exact location HMA was placed can be identified if it is rejected and has to be
removed. On Form TL-0101, check the box for acceptance test.
4. Transport the cores to the district materials laboratory or construction field
laboratory where they will be tested for in-place density (California Test 375),
except the density of each core will be determined using AASHTO T 275,
Method A, and the theoretical maximum density of the mix will be
determined using AASHTO T 209, Method A.

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4-39.30 Asphalt Concrete
4-3903D (7) Smoothness
Except for areas that must be tested for smoothness using a 12-foot straightedge, ensure
the contractor tests all finish surfaces of HMA and the surface OGFC is being placed
on, with an inertial profiler.
Refer to Section 36-3.01D(3)(b) “Smoothness,” and Section 39-2.01A(4)(h)(ix)
“Pavement Smoothness,” of the Standard Specifications for surfaces that are to be
measured with a 12-foot straightedge.
Where a total thickness of 0.20 foot or less of HMA is overlaid on an existing or
replaced asphalt concrete surface, prior to overlaying, ensure the surface being overlaid
meets the following:
1. Where existing asphalt concrete that has been cold planed, the 12-foot straightedge
tolerance required by Section 39-3.04C(2) “Grade Control and Surface
Smoothness,” of the Standard Specifications.
2. Where existing asphalt concrete surfacing has been replaced, the 12-foot
straightedge tolerance as required by Section 36-3.01D(4) “Department
Acceptance,” of the Standard Specifications.
3. Where existing asphalt concrete surfacing has not been cold planed or replaced, the
inertial profile specification required by Section 39-2.01C(3)(e) “Prepaving
Grinding,” of the Standard Specifications.
If notified by the contractor that an existing asphalt concrete surface, that has not
been cold planed or replaced, cannot be corrected by grinding, respond within 5
business days with agreement or disagreement. Formulate the response based on
field review of the defined locations and the inertial profile data.
• If in agreement that the contractor-defined areas cannot be corrected by grinding,
ensure the response defines the lane, direction, and stationing limits where the 12-
foot straightedge will be used in place of the inertial profiles to evaluate
smoothness on the final HMA surface. The stationing in the response should
correspond to the stationing in the contractor’s inertial profile data file. Upon
completion of the final HMA surface, use these stations to define “leave-out
sections” in the profile data file covering the final HMA surface. It is
recommended that in a duplicate inertial profile data file, these “leave-out sections”
are converted to “generic sections.” Use the ProVAL “rolling straightedge”
comparison tool to assist in determining areas within the sections that should be
checked with a 12-foot straightedge.
• If determined that the contractor-defined areas can be corrected by prepaving
grinding, ensure the response defines the reasoning. The reasoning should include
a ProVAL grind plan that demonstrates grinding can be performed to meet the
requirements in Section 39-2.01C(3)(e), “Prepaving Grinding,” of the Standard
Specifications.
If the project has inadequate funds to cover “prepaving grinding,” contact the
project manager to determine if additional funds are available to cover the
additional work.
When HMA is placed within 3 feet of a permanent longitudinal construction joint, and
there is no shoulder, the inertial profile of the adjacent wheel path should be measured,
but inertial profile smoothness specifications on the wheel path are not to be enforced.
Omission of this wheel path prevents the area of localized roughness of that wheel

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Asphalt Concrete 4-39.31
 path, and the mean roughness index of that portion of lane from being enforced. The
area of localized roughness on the opposite wheel path is enforced. The smoothness of
the wheel path located 3 feet from the longitudinal construction joint is enforced using
the 12-foot straightedge specification. Measuring this wheel path with the inertial
profiler allows ProVAL “rolling straightedge” comparison tool to be used to assist in
locating areas that should be checked using a 12-foot straightedge.
Where testing with a 12-foot straightedge is required, the paving inspector checks
pavement smoothness for acceptance by daily use of a straightedge to determine
whether the finished surface complies with the tolerances specified in Section 36-
3.01D(4), “Department Acceptance,” of the Standard Specifications. These checks are
in addition to checks the contractor is required to make and report in accordance with
Section 36-3.01C(4) “Straightedge Measurements” of the Standard Specifications.
The paving inspector records straightedge measurements on Form CEM-4601,
“Assistant Resident Engineer’s Daily Report,” and notifies the contractor of all out-of-
specification areas.
Where smoothness is to be measured with an inertial profiler, the contractor must
measure smoothness with an inertial profiler that meets the requirements of Section 36-
3, “Pavement Smoothness,” of the Standard Specifications. Follow the guidelines in
Section 4-36, “Surfacing and Pavements—General,” of this manual to ensure the
inertial profiler, inertial profiler operator, submittals, and measurements meet the
requirements of Section 36-3, “Pavement Smoothness,” of the Standard Specifications.
Review Section 39, “Asphalt Concrete,” of the Standard Specifications for the
specified smoothness acceptance requirements. Analyze the contractor’s inertial
profiles using ProVAL software.
• Ensure prepaving grinding is performed only on existing asphalt concrete surfaces.
Do not perform prepaving grinding work on existing asphalt concrete surfaces that
are designated to be cold planed for mill and fill type paving, or in areas where
existing asphalt concrete is designated to be replaced, or has been replaced, such as
digouts. Corrective grinding work on replaced asphalt concrete surfacing is
considered part of the replace asphalt concrete surfacing work and is not prepaving
grinding work.
• Only perform prepaving grinding work when there is an existing bid item.
• Ensure the contractor’s prepaving inertial profiles are used to determine where
prepaving grinding work is required. Do not use profiles provided with the bid
documents.
• Monitor the contractor’s planning for prepaving grinding. Document any concerns
you have regarding their methodology to achieve smoothness on an existing
surface.
• After making prepaving grinding corrections, ensure the contractor takes and
submits the corresponding inertial profiles. Require the contractor to repeat
prepaving grinding and inertial profile submittal process, if necessary.
• Ensure the profile data file covering the surface of the completed prepaving
grinding work defines lane sections where the final pavement surface will and will
not have the smoothness specifications applied to it.

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4-39.32 Asphalt Concrete
• Unless authorized by a change order, reject any HMA placed over an existing
asphalt concrete surface that is required to, but does not meet the prepaving
grinding smoothness requirements.
• Ensure prepaving profiles are taken before cold planing, and after replacing asphalt
concrete surfacing.
• Once it has been determined that the contractor’s prepaving grinding profiles meet
the requirements, request Caltrans’ inertial profiler be run to verify the profiles
within 10 percent.
Ensure the final HMA surface meets the smoothness requirements.
When OGFC is being placed atop HMA, ensure the HMA surface meets the
smoothness requirements prior to placing OGFC.
Retain one copy of profile information in “.ppf” ProVAL format.
4-3903D (8) Miscellaneous Areas and Dikes
The contractor must place HMA at miscellaneous areas and place dikes where shown
on the plans and in accordance with Section 39-2.01B(11), “Miscellaneous Areas and
Dikes,” of the Standard Specifications.
4-3903D (9) Fog Seal Coat
The contractor applies fog seal coat to rumble strip ground areas and ground areas
caused by smoothness correction grinding. If smoothness correction grinding is
excessive, contact the Division of Maintenance, Office of Asphalt Pavements before
allowing the contractor to fog seal within the traveled way.
The contract item for “fog seal coat” is used when fog seal must be applied to
shoulders, miscellaneous areas, and dikes. Prohibit the contractor from applying fog
seal coat to the traveled way.
Fog seal coat applied to ground in rumble strips and smoothness correction areas is not
paid separately. Refer to Section 4-37, “Seal Coats,” of this manual for additional
information.
4-3903D (10) Open to Traffic
Do not allow traffic on new HMA until its mid-depth temperature is below 160ºF. The
contractor may request in writing and the resident engineer authorize cooling of HMA
Type A with water when rolling is complete.
For rubberized HMA, the contractor must spread sand at a rate of 1 to 2 pounds per
square yard before opening to public traffic.
Temporary construction signing and temporary pavement delineation must be in place
before opening to public traffic.
4-3903D (11) Temporary Transverse Joint Taper
Ensure that the contractor constructs a temporary joint taper between the
existing pavement and any newly placed paving or cold planing area when a
transverse joint greater than 0.04 foot cannot be avoided before opening to traffic.
Ensure the taper transition rates meet the requirements of Section 7-1.03, “Public
Convenience,” of the Standard Specifications.

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Asphalt Concrete 4-39.33
 Ensure the temporary joint taper surface is uniform and there is no more than a 0.02
foot gap from the lower edge of a 12-foot straightedge and the taper surface when
placed parallel and perpendicular to traffic.
4-3903D (12) Existing Asphalt Concrete
Ensure the contractor makes a 2-inch deep saw cut along limits where asphalt is
designated to be removed.
Ensure that the contractor schedules cold planing and placement of HMA in
accordance with the timeline requirements covered by Section 39-3.04, “Cold
Planing Asphalt Concrete Pavement,” of the Standard Specifications.
Ensure cold planing equipment is equipped with automatic controls for the
longitudinal grade and transverse slope of the cutter head. When cold planing,
document contractor’s methods to control grades of the cold planer.
Inspect the cold planed surface to ensure the planing operations result in a neat and
uniform surface. Ensure the contractor replaces broken, missing, or worn teeth if
the surface pattern indicates the surface is not uniform.
Inspect the cold planed surface for signs of delamination. To minimize the potential
for differential compaction, if necessary provide direction to make minor
adjustments or second passes to the cold planer to decrease potential for
delamination. Document any locations you feel may cause smoothness issues if left
unaddressed. Document any locations where you and the contractor disagree that
delamination may be significant enough to cause differential compaction.
Documentation should include high-resolution digital photographs or movies.
4-3904 4-3904 Contract Administration
Contract The resident engineer must review the notice of materials to be used, review and accept
Administration the job mix formula for HMA, review and accept the contractor’s quality control plan
when applicable, and verify Caltrans inspection reports and acceptance testing results
for contract compliance. The resident engineer makes decisions regarding
noncompliant materials and placement.
The Federal Highway Administration requires Caltrans to have a quality assurance
program. As part of that program, this chapter defines quality assurance and contract
administration requirements for HMA. Caltrans requires that these same quality
assurance standards be met for state-funded projects. If the requirements are not met,
there is a risk that federal funds will be withheld or withdrawn. The resident engineer
takes the following steps for HMA contract administration:
• Verifying that Form CEM-3101, “Notice of Materials to Be Used,” includes all
component materials and materials sources used in HMA. Refer to Section 6-202,
“Responsibilities for Acceptance of Manufactured or Fabricated Materials and
Products,” of this manual for details.
• Ensuring that the job mix formula for the project is verified and accepted before
placement of HMA.
• Ensuring that the contractor’s quality control plan is submitted and complies with
the requirements of Section 39-2.01A(3)(c) “Quality Control Plan,” of the
Standard Specifications. The quality control plan must describe the organization
and procedures used by the contractor to control HMA quality, sampling,
implementing and maintaining quality, when corrective actions are needed based

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4-39.34 Asphalt Concrete
 on the contractor’s action limit, implementing corrective actions, and method used
to backfill core locations.
The submitted quality control plan must also address the following elements
affecting HMA quality: aggregate, asphalt binder, additives, and production
paving.
4-3904A Acceptance Testing and Evaluation
The resident engineer ensures that acceptance testing is performed at least at the
minimum frequency shown in Table 6-1.13 of this manual. Record test results on Form
CEM-3701, “Test Result Summary,” so that minimum acceptance testing frequency is
easily verified and documented.
The resident engineer ensures acceptance samples are shipped or transported to testing
laboratories within the timeframes specified in Table 6-1.2 of this manual, except
where specific sampling or test method requirements preclude doing so, for example,
curing of specimens prior to transport. Test within 1 business day from sampling for
projects within 50 miles of the testing laboratory or within 2 business days from
sampling for projects more than 50 miles from the testing laboratory. Ensure the proper
chain of custody is maintained throughout the process, including delivery to and receipt
from a commercial shipping service. Use Form CEM-3701, “Test Result Summary,”
to summarize acceptance test frequency and results on each material. Use this form to
record dates for sampling, shipping to laboratory, receiving test results from laboratory,
and notifying the contractor of test results. Monitor timeliness of material testing
turnaround against Table 6-1.2 of this manual and ensure corrective actions are taken
and document where deficiencies are encountered. Notify contractor of all acceptance
test results within 2 business days of receipt from laboratory. Advise the contractor that
all test results are available for inspection and provide copies of these test results upon
request. Maintain copies of the test results within the project files.
The resident engineer ensures that final inertial profile submittals meet the
requirements for mean roughness index and areas of localized roughness. Use 4-
3603B, “Pavement Smoothness,” of this manual as a guide in reviewing submittals.
The resident engineer compares the contractor’s and Caltrans’ International Roughness
Index values over each 0.1-mile section of lane. The resident engineer uses the
contractor’s final inertial profiles for acceptance when they are within 10 percent of
Caltrans’ values.
The resident engineer ensures that production start-up evaluation testing is completed
and recorded on Form CEM-3703, “Caltrans Production Start-Up Evaluation,” and that
the contractor is provided with a copy of the completed form.
4-3904A (1) Acceptance Test Results Outside Specified Limits
If any acceptance test result, except smoothness, is outside the limits specified, notify
the contractor in writing that the material represented by the tests is noncompliant, and
include a statement that the noncompliant material is rejected and must be removed or
remedied in accordance with Section 5-1.30, “Noncompliant and Unauthorized Work,”
of the Standard Specifications. Attach a copy of the acceptance test result.
Ask the contractor if any corrective action has been taken based on quality control test
data for the period when the acceptance sample was taken.

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Asphalt Concrete 4-39.35
 For every in-place density test failure notify the contractor in writing that the material
represented by the failed in-place density test is noncompliant, and include the
following statements:
“The noncompliant material is rejected and must be removed or remedied
in accordance with Section 5-1.30, ‘Noncompliant and Unauthorized
Work,’ of the Standard Specifications.
At the Engineer’s option, noncompliant material may be accepted based on
the Engineer's evaluation of the effectiveness of your corrective actions. If
the Engineer decides to accept the noncompliant material, payment will be
based on the table “Reduced Payment Factors for Percent of Maximum
Theoretical Density,” in Section 3-2.01A(4)(i)(ii), ‘In-Place Density,’ of
the Standard Specifications.”
For two consecutive density test failures, follow guidance in Section 4-3904A (2)
“Two Consecutive Acceptance Test Results Outside of Specification Limits,” of this
manual.
If acceptance test results are disputed within the period specified in Section 39-
2.01A(4)(i)(iv), “Dispute Resolution,” of the Standard Specifications, try to resolve
these issues at the project level before involving the independent third party.
If an acceptance test is outside the acceptance specification limits, immediately direct
the field construction lab, district materials lab, or METS to test the most recent
acceptance sample for compliance with the specifications. There may be additional
samples that have not been tested. Always test the most recently pulled sample first.
Designate this sample for priority testing.
If the most recent sample fails, follow guidance in Section 4-3904A (2) “Two
Consecutive Acceptance Test Results Outside of Specification Limits,” of this manual
If the most recent sample passes, test the samples immediately before and after the
initial failed sample. At a minimum, continue testing samples taken before and after the
initial failed sample until a sample passes. If during this testing there are two
consecutive failures, and there are passing results after these failures that indicate
necessary corrective actions were already implemented, do not follow the guidance in
Section 4-3904A (2) “Two Consecutive Acceptance Test Results Outside of
Specification Limits,” of this manual.
4-3904A (2) Two Consecutive Acceptance Test Results Outside Specification Limits
If two consecutive acceptance test results do not comply with the specifications:
• Immediately inform the contractor to stop production both verbally and in writing.
• Inform the contractor in writing that the material represented by the two out-of
specification acceptance tests is noncompliant, and include a statement that the
noncompliant material is rejected and must be removed or remedied in accordance
with Section 5-1.30 “Noncompliant and Unauthorized Work,” of the Standard
Specifications. Attach copies of both test results that indicate the material is outside
specification limits.
• Submit any samples taken between the two failed tests to the appropriate lab for
priority testing to define the amount of material not in compliance with the
specifications.

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4-39.36 Asphalt Concrete
 1. Notify the appropriate lab that two consecutive acceptance tests are outside the
acceptance specification limits.
2. Direct the testing labs to test all samples between the first and second out-of-
specification acceptance tests and any remaining samples immediately before
or after any failure. Use their test results to define the quantity of hot mix
asphalt that will be rejected.
• Notify the contractor in writing of results of all additional acceptance tests
conducted to determine the extent of the out-of-specification material. In the
notice, include language that the material represented by out-of-specification
material is noncompliant and rejected and must be removed or remedied to comply
with Section 5-1.30, “Noncompliant and Unauthorized Work,” of the Standard
Specifications.
• Require the contractor to:
1. Take corrective action to remedy the cause of out-of-specification material.
2. Provide written documentation of corrective action taken.
3. Demonstrate compliance by providing quality control testing of material
produced but not delivered to the project.
4. Provide samples of HMA for both the resident engineer and contractor to test.
The contractor samples this material in the engineer’s presence and splits the
samples into four parts.
5. Test one part of the split sample to verify that the corrective action taken by
the contractor was successful.
If both Caltrans’ and the contractor’s test results are within specifications, the
contractor has demonstrated compliance with the specifications and may resume
production.
Since the samples tested by the contractor and resident engineer are from a split
sample, the test results should not be significantly different. If there is a significant
difference, the resident engineer and the contractor should investigate the reason for the
discrepancy. Contractors can choose to begin production during this investigation but
proceed at their own risk.
• The contractor may dispute any out-of-specification acceptance test result within
the specified number of days of receiving the test result by notifying the resident
engineer in writing in accordance with Section 39-2.01A(4)(i)(iv), “Dispute
Resolution,” of the Standard Specifications. Try to resolve testing or sampling
issues at the project level before involving the independent third party.
4-3904A (3) Contractor Requests for Accepting Noncompliant Work
If the contractor agrees that the HMA placed is noncompliant, the contractor may
propose to the resident engineer in writing that the noncompliant material will be
remedied or that the noncompliant material will be left in place for reduced
compensation. Consult with district materials engineer and either the Division of
Maintenance, Office of Asphalt Pavements, or the district’s construction field
coordinator, or both, about acceptance of the contractor’s proposal. Document material
remediation or reduced pay by issuing a contractor-requested change order. Document
all noncompliant materials test results including the action taken on the final Project

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Asphalt Concrete 4-39.37
 Materials Certification. Refer to Section 6-106, “Project Materials Certification,” of
this manual for documentation requirements.
4-3904B Testing for Significant Difference
The resident engineer should compare the contractor’s test results against Caltrans’ test
results to determine if they are significantly different. Compare the test results in one of
two ways:
1. A one-to-one comparison of the test results of a single split sample (job mix
formula verification and production startup).
2. The comparison of groups of test results (that is, the average of all acceptance tests
compared to the average of all quality control tests).
The resident engineer should always examine the differences between contractor and
Caltrans test results for job mix formula verification, production start-up, and dispute
resolution based on a one-to-one comparison of the test results. For job mix formula
verification and production start-up evaluation, the test result comparison will show
whether the contractor and Caltrans can test properly sampled and split samples for
aggregate and HMA and get reasonably close test results. If a significant difference
exists, the resident engineer should notify the contractor. Then both the resident
engineer and contractor should examine what is causing the difference and try to find a
way to bring their results closer.
The resident engineer should never consider a one-to-one comparison of two test
results from different samples—that is, Caltrans’ acceptance result of a sample taken in
the morning compared to a contractor’s quality control test result of a sample taken in
the afternoon. If examination of the contractor’s and Caltrans’ test results shows large
differences, compare the test result groups to determine if the results are significantly
different. Compare the average of all acceptance test results to the average of the
contractor’s quality control test results, and use Table 4-39.1, “Precision Index,” to
determine if the difference between the test results is reasonable or significantly
different. If the comparison between the test results indicates a significant difference,
notify the contractor. Then both the resident engineer and contractor should examine
and investigate the cause of test result differences.
Use the reasonable testing difference values in Table 4-39.1 to evaluate whether a
significant testing difference exists.

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4-39.38 Asphalt Concrete
 Table 4-39.1. Precision Index
Reasonable Testing Differences
Quality Characteristic Test Method
Single Results Averages

Sand equivalent AASHTO T 176 6 2

Theoretical maximum specific

CT 375 0.05 0.02
gravity (see Note 1)
3%
Percentage of maximum specific (see Note 2) 1%
gravity (see Note 1) 2% (see Note 3)
(see Note 4)
Design air voids content MS-2 Asphalt Mix
2.8% 4.5%
(see Note 1) Design Methods
AASHTO T 308, 0.3% 0.1%
Asphalt binder content
Method A 0.5% 0.2%

Aggregate gradation AASHTO T 27

3/4” or 1/2” 3% 1%

3/8” 3% 1%

No. 4 3% 1%

No. 8 3% 1%

No. 30 3% 1%

No. 200 3% 1%

NOTES:
1. Examine the AASHTO T 209, Method A values for theoretical maximum density also. Determine whether
resolution of AASHTO T 209, Method A is necessary and sufficient to resolve issues with percent MTD or
design air void content.
2. Comparing one core to the average of quality control test results within the same 250 tons.
3. Comparing the average of Caltrans’ cores to the average of quality control test results for the same volume
of HMA or the same area.
4. Comparing the average of three of Caltrans’ cores in 3 lots of 250 tons each to the average of quality control
test results for the same 3 lots of HMA.

4-3904C Certificates of Compliance

The resident engineer obtains certificates of compliance for each delivery of asphalt
binder (attach bill of lading), crumb rubber modifier, tack coat, and fog seal.
Keep track of total quantity of material delivered and ensure that inspectors have
obtained an adequate number of certificates of compliance to cover the quantity of
material received.
In addition, perform the following contract administration reviews for certificates of
compliance:
• Refer to the Certification Program for Suppliers of Asphalt to determine what
information must be shown on the certificate of compliance for asphalt binders.
• Obtain “Buy America” certification for each shipment of crumb rubber modifier.

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Asphalt Concrete 4-39.39
 Ensure that asphalt binder contract administration requirements are met by following
Section 4-92, “Asphalt Binders,” of this manual.
4-3905 4-3905 Level of Inspection
Level of Inspection Suggested levels of field inspection for typical concrete pavement activities are:
• Benchmark inspection of subgrade for compaction and elevation requirements
• Intermittent inspection of HMA production operations
• Continuous inspection of HMA delivery, placement
• Continuous inspection of HMA compaction operation using “method” compaction
specifications
• Benchmark inspection of HMA compaction operation using the “core density”
compaction specifications
• Continuous acceptance sampling and testing of HMA
• Intermittent monitoring of the contractor’s adherence to their quality control plan
• Benchmark evaluation of pavement surfacing for signs of segregation, raveling, or
other distresses
• Benchmark inspection for smoothness
4-3906 4-3906 Quality Control
Quality Control Guidance for quality control activities included in this section is summarized as
follows:
• Review contractor’s quality control plan.
• Ensure the contractor submits a copy of the AASHTO Materials Reference
Laboratory (AMRL) accreditation for the laboratory performing the mix design. A
current list of AMRL accredited labs is available at:
http://aashtoresource.org/aap/accreditation-directory
• Review the contractor’s quality control test results to ensure testing meets the
specifications for Caltrans acceptance. For most quality control characteristics, the
contractor samples and tests at a minimum frequency of once per 750 tons of
produced HMA.
• Ensure that, when any quality characteristic is beyond the action limits shown in
the quality control plan, the contractor is taking corrective action. The contractor
must document the corrective action in accordance with Section 39-2.01A(4)(h),
“Quality Control,” of the Standard Specifications.
• Ensure that the contractor is complying with the minimum quality control testing
frequencies specified in Section 39-2.01 “General,” of the Standard Specifications,
and the frequencies specified under “Quality Control” for the type of HMA being
produced.
• Ensure the contractor stops production when two consecutive quality control or
acceptance tests are out specification, notifies the resident engineer, takes
corrective action, and demonstrates compliance with the specifications before
resuming production and placement of HMA.

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4-39.40 Asphalt Concrete
• Ensure certifications for the inertial profiler and operator have not expired. The
corresponding expiration dates is available at:
http://www.dot.ca.gov/hq/maint/Pavement/Offices/Pavement_Engineering/S
moother_Pavements.html
• Review the contractor’s monitoring of best paving practices that promote
smoothness. Encourage the contractor to monitor and record locations where
paving practices commonly known to negatively affect smoothness occur, then to
follow up and compare those locations to the localized roughness reports of the
corresponding International Roughness Index values. Examples of common
occurrences are: paver stops, excessive screed angle adjustments, excessive
variation in head of material in front of screed (paving width adjustments, poor
controls), variations in paving speed, poor or lack of automated grade controls
using a ski or averaging system, or poor roller practices.
• Prior to paving, use MultiCool 3 to estimate how rapidly a freshly placed HMA
mat will cool as a function of the mix properties and site conditions. The
MultiCool 3 program is available at:
http://www.dot.ca.gov/hq/construc/hma/
A MultiCool application is also available for smartphones using either the Android
or iOS operating systems.
• Prior to placing tack coat, ensure contractor plans to spray tack coat at a rate
required to achieve the minimum residual rate. Rates vary based on the application
and the dilution rate. To determine the minimum rate, calculate your own rate as
shown in the example at 4-9403, “During the Course of Work,” of this manual or
use the “Minimum Tack Coat Spray Rates” table at:
http://www.dot.ca.gov/hq/construc/hma/
4-3907 Payment 4-3907
For details of payment, review the applicable, “Payment” subsection of Section 39 Payment
“Asphalt Concrete,” of the Standard Specifications.
For guidelines on how to weigh HMA, refer to Section 3-902E, “Weighing Equipment
and Procedures,” of this manual.
For measuring asphalts, liquid asphalts, and asphaltic emulsions used as tack coat, refer
to Sections 4-92, “Asphalt Binders”; and 4-94, “Asphaltic Emulsions,” of this manual.
4-3907A Payment Adjustment for Core Density
Determine if a deduction is required for cores outside specification limits for the
percent of maximum theoretical density. Use the table, “Reduced Payment Factors for
Percent of Maximum Theoretical Density,” in Section 39-2.01A(4)(i)(ii), “In-Place
Density,” of the Standard Specifications. The core density (compaction) deduction
should be taken on the next monthly estimate as an administrative deduction.
4-3907B Compensation Adjustment for Price Index Fluctuation
For compensation adjustments for price index fluctuation for asphalt binder, use the
guidance provided in Section 4-9205A “Compensation Adjustments for Price Index
Fluctuations” of this manual.

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Asphalt Concrete 4-39.41
 4-3907C Payment After Dispute Resolution for Independent Third Parties
If applicable, when the dispute resolution process determines the contractor’s test
results are correct, Caltrans pays the independent third party testing costs and adjusts
the contract time. The resident engineer adjusts payment and contract time in
accordance with Section 8-1.07, “Delays,” of the Standard Specifications and
processes a change order to allow for payment and adjustment.
4-3907D Compensation and Contract Time for Delays
When failing to comply with the specified times to return test results to the contractor,
the resident engineer must adjust payment and contract time under Section 8-1.07,
“Delays,” of the Standard Specifications:
• Within 20 days of sampling for job mix formula verification
• Within 3 days of rubberized HMA production sampling for job mix formula
verification
• Within 3 days of sampling for production start-up evaluation
Make compensation and contract time adjustments only when work completion is
delayed.
4-3908 4-3908 References and Resources
References and The following provide construction personnel with additional sources of information:
Resources
4-3908A References
• California Test Methods, METS:
http://www.dot.ca.gov/hq/esc/ctms/index.html
• Certification Program for Suppliers of Asphalt, METS:
http://www.dot.ca.gov/hq/esc/Translab/ormt/pdf/CaltransCertificationProgram
forSuppliersofAsphalt_ProgramGuidelin.pdf
• CEM forms, Division of Construction:
http://www.dot.ca.gov/hq/construc/forms.htm
• Independent Assurance Manual, Procedures for Accreditation of Laboratories and
Qualification of Testers, METS:
http://www.dot.ca.gov/hq/esc/Translab/ormt/IA_reports/index.htm
• METS, Caltrans:
http://www.dot.ca.gov/hq/esc/Translab/ormt/fpmlab.htm
• Maintenance Technical Advisory Guide, Vol. 1 – Flexible Pavement Preservation,
Office of Pavement Preservation, Division of Maintenance:
http://www.dot.ca.gov/hq/maint/MTA_GuideVolume1Flexible.html
• Material Plant Quality Program, Division of Construction:
http://www.dot.ca.gov/hq/construc/hma/
• Principles of Construction of Hot Mix Asphalt Pavements, Asphalt Institute.
• Quality Control Manual for Hot Mix Asphalt, Division of Construction:

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4-39.42 Asphalt Concrete
 http://www.dot.ca.gov/hq/construc/publications/qcqaman1.pdf

• Standard Specifications, Caltrans:

http://www.dot.ca.gov/hq/esc/oe/construction_standards.html
• Tack Coat Guidelines, Division of Construction:
http://www.dot.ca.gov/hq/construc/publicationlist.htm
• Minimum Tack Coat Spray Rates, Division of Construction
http://dot.ca.gov/hq/construc/hma/
4-3908B Resources
Use available experts within your district or region to resolve issues and obtain
additional information about HMA production and placement. Contact the construction
engineer and Division of Construction coordinator for issues about contract
administration related to HMA specifications. Contact the district materials engineer
for issues about materials and the district independent assurance coordinator for issues
concerning testing.
When questions about Section 39, “Asphalt Concrete,” of the Standard Specifications
or related special provisions cannot be addressed by district or region experts, or the
construction engineer refers the resident engineer to the Division of Construction or
Engineering Services for assistance, contact the following:
For materials or testing issues:
Chief, Office of Roadway Materials Testing
Materials Engineering and Testing Services and Geotechnical Services
California Department of Transportation
For contract administration, measurement or payment issues:
Chief, Office of Construction Standards
Division of Construction
California Department of Transportation

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Asphalt Concrete 4-39.43
Chapter 4 Construction Details

Section 40 Concrete Pavement

4-4001 General
4-4002 Before Work Begins
4-4002A General
4-4002B Submittals
4-4002C Training
4-4002D Concrete Field Qualification and Pavement Test Strip
4-4003 During the Course of Work
4-4003A Prepaving
4-4003B Paving
4-4003C Finishing Pavement
4-4003D Post-Paving
4-4003E Measurement of Pavement Thickness
4-4003E (1) Location of Primary Cores
Table 4-40.1 Calculation Factors to Locate Cores
4-4003E (2) Location of Secondary Cores
4-4003E (3) Thickness Variation
4-4003F Calculation of Deductions in Payment to the Contractor for Deficient Thickness
4-4003F (1) When None of the Primary Cores are Deficient in Thickness by More Than 0.05 Foot
4-4003F (2) When One or More of the Primary Cores are Deficient in Thickness by More Than 0.05
Foot
Figure 4-40.1 Primary Cores
Figure 4-40.2 Secondary Cores
4-4003F (3) Contractor’s Requests for Additional Thickness Measurements
4-4003G Handling of Skips in the Original Day’s Pour and Secondary Areas to Be Removed and
Replaced
4-4003H Handling Deficient Areas Not Cored
4-4003I Administration
4-4004 Level of Inspection
4-4005 Quality Control
4-4006 Payment

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Concrete Pavement 4-40.i
Chapter 4 Construction Details
Section 40
Section 40 Concrete Pavement Concrete
Pavement
4-4001 General 4-4001
This section covers concrete pavement including: General
• Preparation of concrete pavement subgrade
• Production of the concrete
• Concrete pavement equipment requirements
• Placing, finishing, and curing of the concrete pavement
• Construction of joints
• Protection of the pavement
• Noncompliant pavement work
Plant inspection specialists and testing personnel usually perform inspection and testing
duties at the concrete batch plant. However, in addition to onsite inspection, mix design
authorization and plant inspection are part of the resident engineer’s responsibility.
Good communication between plant and inspection specialists and assistant resident
engineers is essential. Inspectors and assistants must inform the resident engineer of
test results in a timely manner.
This section covers mostly onsite inspection duties. For information on producing and
transporting concrete, refer to Section 4-90, “Concrete,” of this manual.
4-4002 Before Work Begins 4-4002
Before Work
4-4002A General
Begins
• Review the plans and specifications to determine the requirements for concrete
pavement, including submittals, quality assurance, materials, construction, and
payment provisions.
• Coordinate and hold a preconstruction meeting with the specified contractor's
personnel prior to paving activities, including any test strips, refer to Section 36-
1.01D(2), “Preconstruction Meetings,” of the Standard Specifications. Discuss the
contractor’s methods for performing each element of the work, including those
identified in the quality control plan. For jointed plain concrete pavements, include
discussions on the contractor’s methods for ensuring proper dowel and tie bar
placement relative to constructed contraction joints and their early age crack
mitigation system.
• Decide if crossings will be necessary for the convenience of public traffic and
whether rapid strength concrete should be used for such crossings. Advise the
contractor accordingly.
• When long hauls are involved, review the contractor’s proposed placement method
to ensure that adequate time will be available.

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Concrete Pavement 4-40.1
 • Discuss pavement areas to receive tapered edge with the contractor and
construction methods to be utilized.
• For concrete pavement widenings placed adjacent to existing pavements, ensure
the existing pavement lane or shoulder is ground before new concrete is placed.
New concrete pavement must match the ground existing surfaces and meet
specified smoothness requirements.
• Arrange for plant inspection and testing personnel to be present at the plant before
startup.
4-4002B Submittals
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes concrete
pavement materials. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
• Review the contractor’s proposed concrete mix design for conformance with
specification requirements. The contractor’s mix design submittal is to include a
copy of their American Association of State Highway and Transportation Officials
(AASHTO) accreditation for their laboratory determining the mix proportions and
laboratory test reports including modulus of rupture information and shrinkage test
data. AASHTO laboratory accreditation can be verified at AASHTO Materials
Reference Laboratory website:
http://www.amrl.net/Amrlsitefinity/default/aap/r18labs.aspx
• Determine the pavement climate region for your project by reviewing the
pavement design information located on the typical cross section sheet as this
designation may trigger additional concrete mix requirements such as required air
entrainment. Refer to Section 4-90, “Concrete,” of this manual for information on
concrete mix designs. Assistance with the concrete mix design review may be
obtained from the district materials engineer.
• Ensure the aggregate material source complies with Section 7-103H (2), “Surface
Mining and Reclamation Act,” of this manual.
• Obtain the contractor's quality control plan that details the methods the contractor
will use to ensure the quality of the work. Review the quality control plan for
conformance with specification requirements. Ensure that the quality control plan
has met or exceeded the quality control testing requirements specified in the
contract. Ensure individual suspension limits do not exceed specified acceptance
criteria. If requested by the contractor or desired by the resident engineer, hold a
separate meeting to discuss the quality control plan which addresses each element
affecting pavement quality including those specified in Section 40-1.01D(3),
“Quality Control Plan,” of the Standard Specifications. For jointed plain concrete
pavements, pay extra attention to the contractor’s plan for ensuring proper
placement of contraction joints, dowel bars, and tie bars, as well as their planned
early age crack mitigation system. The district materials engineer may be available
to provide subject matter expertise at this meeting.
• When just-in-time (JIT) training is specified, obtain the contractor’s JIT training
submittal containing the instructor’s name and qualifications, training location,
course syllabus, handouts, and presentation materials. You may wave JIT training

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4-40.2 Concrete Pavement
 requirements for individuals who have attended equivalent JIT training within the
last 12 months and have provided certification of completion documentation.
• Obtain certificates of compliance when tie bars, threaded tie bar splice couplers,
dowel bars, tie bar baskets, dowel bar baskets, joint filler material, and epoxy
powder coating items are to be used in concrete pavement.
• For jointed plain concrete pavements, ensure the early age crack mitigation system
information is provided a minimum of 24 hours in advance of each paving shift
and based on forecasted weather conditions for the site, including wind speed,
ambient temperatures, humidity, and cloud cover. The system assists the contractor
in predicting concrete stresses and strength during the initial 72 hours after paving
for constructing contraction joints, cure application, and crack mitigation. Ensure
the contractor employs the specified portable weather station at the paving site to
monitor, update, and report predictions.
• Obtain calibration documentation and operational guidelines for frequency
measuring devices for concrete consolidation vibrators.
• For cold weather conditions, obtain contractor’s plan for protecting concrete
pavement.
• Obtain the name of the contractor's independent third-party air content testing
laboratory when the project is located in a pavement climate region requiring air
entrainment (that is, freeze-thaw area).
• Obtain manufacturer’s recommendations and instructions for storage and
installation when threaded tie bar splice couplers and joint filler material items are
to be used in concrete pavement.
• For continuously reinforced concrete pavements, obtain a plastic chair submittal
and plastic chair sample if their use is proposed by the contractor. Refer to Section
40-2.01C, “Submittals,” of the Standard Specifications for additional information.
• Obtain physical specimens used for the contractor’s testing of coefficient of
thermal expansion. Ensure the contractor provides test data at field qualification
and throughout production as specified. The contractor is also required to submit
this test data electronically to the specified website. Note that for continuously
reinforced concrete pavements there is specified acceptance criterion for
coefficient of thermal expansion at field qualification; otherwise this is provided
for information only.
4-4002C Training
Ensure that JIT training is conducted in conformance with contract provisions.
4-4002D Concrete Field Qualification and Pavement Test Strip
• Ensure that field qualification of proposed mix proportions is performed by an
ACI-certified “Concrete Laboratory Technician, Grade 1.” Obtain copies of
certifications for project records. Review concrete field qualification data and
certified test reports for conformance with contract requirements.
• Ensure that the contractor performs coefficient of thermal expansion sampling,
specimen fabrication, and testing as specified. For continuously reinforced
concrete pavements, ensure the coefficient of thermal expansion test values meet

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Concrete Pavement 4-40.3
 acceptance criterion as a condition of qualification. Contractor submitted test
specimens may be used to verify test results.
• For projects with concrete pavement volumes exceeding 2000 cubic yards, ensure
a test strip is constructed for evaluating compliance with specification acceptance
criteria including smoothness; dowel bar and tie bar placement for jointed plain
concrete pavements; vertical and lateral stability of reinforcement; and plastic
chairs (if proposed) for continuously reinforced concrete pavements, thickness, and
final finishing. Test strips not meeting requirements are rejected. Ensure an
authorized test strip has been constructed prior to production paving. Additional
test strips are required if the contractor changes the intended method of placement
or concrete mix proportions or where a test strip has been rejected. Ensure
arrangements are made to evaluate the test strip within 3 business days of
placement. Requests to eliminate the test strip should only be considered when the
contractor can fully document that the same personnel and equipment have been
successful in completing the same concrete pavement type within the last 12
months on a Caltrans project.
4-4003 4-4003 During the Course of Work
During the Course of
4-4003A Prepaving
Work
• Before the start of paving, check the accuracy of the final grade stakes.
• Inspect the subgrade to ensure compliance with the specified tolerances for
compaction and elevation requirements. Ensure loose and extraneous materials are
removed prior to paving. Ensure that any low areas are identified in a way that will
result in placing additional concrete as specified. Such additional thickness is
considered paid for as part of the lower layer and must not be included when
calculating pavement thickness and payment (refer to the applicable specifications
for cement-treated base, lean concrete base, and treated permeable bases). Note
these areas in daily reports with stationing and offset information.
• To maintain the concrete pavement at the thickness specified, the contractor may
adjust the planned finished grade provided two conditions are met:
1. All lower layers have been constructed to at least the minimum required
elevations.
2. Such adjustments do not result in abrupt changes in grade or adversely affect
smoothness. General practice is to limit any such adjustment so that the
planned finished grade does not change more than 0.04 foot in 60 feet
longitudinally.
• When slip-form pavers are used, inspect the grade on which the paver will ride to
determine if the grade is smooth enough to prevent abrupt vertical changes in the
finished surface. When a wire controls the grade and alignment of the paver, check
the wire for any obvious variations. Ensure that the wire is tensioned sufficiently to
prevent measurable sag between supporting stakes. If you anticipate any problems,
advise the contractor. Keep in mind that the contractor is responsible for the
thickness and smoothness of the pavement.
• Identify where the contractor will post quality control charts.
• Ensure any specified bond breaker material, curing seal, or other required
treatment has been applied and maintained on the underlying material in

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4-40.4 Concrete Pavement
 conformance with contract requirements. Refer to Section 36-2, “Base Bond
Breaker,” of the Standard Specifications and Section 4-36, “Surfacing and
Pavements—General,” of this manual for additional information on base bond
breakers. These materials may also be helpful for determining pavement
thicknesses when examining pavement cores.
• Examine the equipment or tools to be used. When obvious inadequacies exist,
advise the contractor and record the details in the daily report. Do the following in
examining equipment or tools:
1. For side-form construction:
a. Examine the forms to ensure specified attributes, including those for
composition, weight, dimensions, and rigidity. Ensure that the forms are
cleaned and oiled before each use.
b. Ensure that installation of the forms complies with specifications. Order
any necessary corrective work before the placement of concrete.
c. Inspect the paving equipment for specification compliance.
2. For slip-form construction, examine the paver for the specified attributes.
3. Regardless of which method of construction is used, ensure that the contractor
uses proper consolidation techniques that produce uniform concrete without
segregation. Where vibrators are used, ensure they are operated in
conformance with contract requirements.
4. To ensure compliance with the requirements for protecting pavement,
examine all equipment that will bear on previously completed pavement.
• Ensure a sufficient water supply has been developed for the work.
• Before concrete placement, ensure that the subgrade is uniformly moist, but free
from standing or flowing water.
• Based on the concrete pavement climate region, verify the types of reinforcement,
tie bars, dowel bars, tie bar baskets, and dowel bar baskets to be used within the
concrete pavement, refer to Section 40-1.02C, “Reinforcement, Bars, and
Baskets,” of the Standard Specifications. For continuously reinforced concrete
pavements, spot check reinforcement for size, spacing, vertical positioning,
clearance, and stability. For jointed plain concrete pavements using dowel bar or
tie bar baskets, spot check their anchorage to the base material. If dowel bar or tie
bar inserters are used, ensure the contractor is checking inserter alignment prior to
the pour. Ensure specified dowel bar lubricant has been properly applied. Ensure
the contractor’s quality control methods for properly locating contraction joints,
dowel bars, and tie bars are being applied.
• Ensure that equipment for constructing joints is onsite and that it conforms to
specifications.
• For jointed plain concrete pavement, verify that the contractor has updated their
early age crack mitigation system with the most current weather forecast
information and field conditions (for example, grade and concrete temperatures).
Discuss any adjustment in their construction operations (for example, cure
application, contraction joint sawing time, and so on) as a result thereof.

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Concrete Pavement 4-40.5
 • Determine the curing method the contractor proposes to use. When a curing
compound will be used, discuss the labeling and packaging requirements for
acceptance of the compound with the contractor. Obtain a certificate of
compliance, including required test results, for each batch of curing compound.
• Ensure that equipment and materials meeting the requirements of Section
90-1.03B(3), “Curing Compound Method,” or Section 90-1.03B(4), “Waterproof
Membrane Method,” of the Standard Specifications are onsite.
• If paving or finishing operations will extend beyond daylight hours, ensure that
adequate lighting facilities are on the project before paving begins.
4-4003B Paving
• Maintain good communication between field personnel inspecting the placing
portion of the paving operation and plant inspection personnel, so that problems
related to mixing or hauling may be addressed and corrected effectively.
• Refer to Section 4-90, “Concrete,” of this manual for a discussion of transporting
concrete and receiving weighmaster certificates at the delivery point.
• Ensure that the contractor furnishes the required tachometer. Also, be sure the
contractor does the vibrating at the locations and in the frequencies and amplitudes
specified. Be alert for inoperative units, and ensure they are replaced immediately.
• Observe the concrete as it is placed for improper proportions or inadequate mixing.
In the daily report, record the reasons for any concrete rejection and the
approximate amount involved.
• Observe the operation of equipment on existing pavements to ensure that no
cracking or other damage occurs. If damage occurs, order immediate corrective
action.
• At the start of each day’s work, ensure that the specified date stamp is used to mark
the new pavement.
• Ensure acceptance testing is performed on concrete pavement in accordance with
Section 40-1.01D(8), “Department Acceptance” of the Standard Specifications
and Section 6-1, “Sample Types and Frequencies,” of this manual for the identified
quality characteristics.
• For California Test 523, “Method of Test for Flexural Strength of Concrete,” select
a location to store concrete beams. A good location is one convenient to a water
source and removed from any traffic. Require the contractor to supply sufficient
sand or earth for burying the beams. Arrange for the contractor also to supply labor
for assistance with transporting and burying the beams. Note the safety precautions
in the test method.
• Ensure sufficient beam samples are molded for modulus of rupture acceptance
testing based on lot size and age strength requirements. Make additional sets of
beams to determine acceptable flexural strength when pavement crossings will be
open to public traffic or to job traffic earlier than normally permitted. Ensure
fabricated beams are properly handled, cured, and transported prior to testing.
• Where air entraining admixtures are required by the project’s pavement climate
region (refer to Section 40-1.02B(4), “Air Entrainment,” of the Standard
Specifications), perform verification testing and use quality control testing for
acceptance for air content of concrete pavement. Follow the contractual procedure

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4-40.6 Concrete Pavement
 specified in Section 40-1.01D(8)(b)(ii), “Air Content” of the Standard
Specifications.
• Monitor the contractor’s conformance with their quality control plan. Ensure
control charts for required quality control tests are being updated on each day of
paving and adhere to the quality control plan, including action and suspension
limits. When deficiencies are observed, notify the contractor and document in the
daily report. When deficiencies are not resolved or continue to occur, suspend the
contractor’s pavement operations until the contractor provides satisfactory
assurances and written documentation of their corrective plans. Where appreciable
differences are encountered between the quality control tests and acceptance tests,
investigate and resolve these concerns with aid of the district materials engineer as
necessary.
• Verify that the contractor performs coefficient of thermal expansion sampling and
specimen fabrication, and submits test results and specimens as specified.
• For jointed plain concrete pavements, ensure that dowel bar baskets, tie bar
baskets, and the bars themselves are not being displaced during the concrete
placement and paving operations. Ensure the contractor is properly identifying and
constructing contraction joints relative to pavement references and bar centroids in
conformance with the contract requirements and the contractor’s quality control
plan.
• For jointed plain concrete pavements, monitor the contractor’s timelines from
concrete placement to curing application and contraction joint sawing in
comparison to their planned schedule from their early age crack mitigation system.
Notify the contractor promptly of any deviations and record this information in the
daily report along with the location of the work.
• When joints are to be formed rather than sawed, be sure joint material is placed as
specified.
• Ensure that the contractor constructs a transverse construction joint if the time
interval between two successive concrete loads is greater than the specification
allowance. Ensure such joints are constructed at permissible contraction joint
locations.
• Caution the contractor to construct the pavement so it will meet requirements for
inertial profile, straightedge, and edge slump before final finishing to minimize
corrective work. Inconsistent delivery and nonuniformity of concrete can impact
paver performance and have negative effects on the paved surface. Where
encountered, document these locations in the field and within the daily record.
• Measure the pavement’s width at the beginning of and periodically after paving.
While the required width applies to both upper and lower surfaces, the bottom
width can be greater than specified to reduce edge slump.
• Ensure that end anchors are constructed at all required locations and to the
dimensions shown on the plans. Be sure transverse contact joints are constructed
and tie bars and dowels are placed as shown on the plans. When required, ensure
that pressure relief joints are constructed as specified and shown on the plans.

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Concrete Pavement 4-40.7
 4-4003C Finishing Pavement
• Ensure that the contractor performs preliminary finishing according to
specifications and in a way that imparts the desired surface characteristics.
• During concrete finishing observations, consider the following information:
1. Pavement can be durable with inadequate texture or be well textured and not
have enough durability to retain the texture.
2. Mixing water with surface mortar during finishing reduces surface durability.
This mixture may result from “bleed” water that had not evaporated, water
that was added to the surface to make finishing easier, or water that was added
to prevent hairline cracking and checking.
3. If any of the concrete visible during finishing is more dilute than the mortar of
the freshly placed concrete, too much water is being mixed into the surface.
Telltale signs of the unacceptable practice include the following:
a. Soupy mortar during finishing.
b. Excess laitance.
c. Small scallops in the slab’s edge.
d. Areas still soft and wet in the finished surface while the surrounding area
has turned firm and lost its watery sheen.
4. Standing bleed water may appear on the surface under certain conditions
shortly after pavement is placed. To avoid mixing bleed water with surface
grout, complete preliminary finishing before bleeding progresses to this
degree.
5. Water applied for the convenience of finishing, not otherwise needed to
produce the specified product, is contrary to specifications regarding water use
for retempering.
• Ensure that the contractor performs the final finishing as specified and in a way
that results in a finished surface with the desired characteristics.
• When sufficient rain may fall to damage fresh pavement, stop pavement placement
or ensure that other steps are taken (such as placing a covering) to prevent damage.
• Before texturing, ensure that the contractor rounds the pavement edges to specified
radii. Observe texturing for compliance with requirements. Ensure the contractor
performs initial texturing with a broom or burlap drag so as to produce striations
parallel to the centerline.
• Ensure that burlap drags are used as specified and kept sufficiently clean to avoid
unsightly irregularities in the texture. Brooms used must also be kept sufficiently
clean to avoid significant irregularities. Final texturing must be done with spring-
steel tines that produce grooves parallel to the centerline. Grooves not straight and
parallel to the centerline are unacceptable. Grooves are to be constructed over the
entire pavement width with the exception of within 3 inches of pavement edges
and longitudinal joints. Ensure that the cross section of the steel tines complies
with specifications. Inspect the pavement surface to ensure that grooves meet the
specified depth.
• Before and after the application of curing seal, ensure that the contractor keeps the
pavement surface moist as specified.

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4-40.8 Concrete Pavement
• Ensure the contractor uses either the waterproof membrane method or curing
compound method specified in Section 90-1.03B, “Curing Concrete,” of the
Standard Specifications. During observations, also note the following:
1. Waterproof membrane:
a. Ensure the contractor sprays the concrete with a mist of water until the
concrete has set before placing the membrane. Ensure water does not flow
over or wash the concrete surface.
b. Examine the waterproof membrane to see that it meets specifications. For
assistance, consult the district materials engineer.
c. Ensure that membrane material is placed and secured and that any
damaged sheeting is repaired as the specifications require.
d. If polyethylene sheeting is used, monitor maximum concrete temperatures
during curing, ensuring the maximum allowable is not exceeded.
e. Make sure that the contractor adheres to the specified curing period.
2. Curing compound:
a. Ensure that the contractor applies the curing compound uniformly after
tining. See that sawed cuts or other disturbed areas receive additional
curing compound. Your inspection should ensure the following attributes
for the compound:
(1) It is not contaminated, diluted, or altered before application.
(2) It is mixed thoroughly before application.
(3) It is applied when concrete surfaces are still visibly moist.
(4) The curing film remains unbroken for the specified duration of
curing.
b. Perform measurements and calculations for the curing seal’s application
rate. To determine the rate, you may use California Test 535,
“Determining the Application Rates of Concrete Curing Compounds in
the Field.” Record the measurements in the daily report.
• Ensure concrete pavement joints are constructed in conformance with Section
40-1.03B, “Joints” of the Standard Specifications; the contractor's quality control
plan; and the contractor's early age crack mitigation system for jointed plain
concrete pavements. Longitudinal and transverse contraction joints must be sawed
before cracking occurs and after the concrete is hard enough to saw without
spalling, raveling, or tearing. The contractor is responsible for determining the
exact time of sawing. Ensure that concrete debris, water residue, and paste are
immediately removed during saw cutting operations and that slurry from the
sawing operation is immediately washed from the joint and removed. Where
spalling, raveling, and tearing are observed, ensure the contractor performs repairs
in conformance with Section 40-1.03N(2), “Spall and Ravel Repair,” of the
Standard Specifications.
• Ensure concrete pavement temperature is maintained above 40 degrees Fahrenheit
during the initial 72 hours after placement.

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Concrete Pavement 4-40.9
 4-4003D Post-Paving
• Identify where core locations are to be taken by the contractor. Obtain core
submittals throughout pavement operations for determining pavement thickness
and air entrainment (required where contractor’s quality control air entrainment
test results are not verified by Caltrans testing). For jointed plain concrete
pavements, obtain cores for evaluating dowel and tie bar placement and concrete
consolidation in these areas. Verify specified placement tolerances have not been
exceeded relative to constructed contraction joints and orientation of pavement
edges.
• For jointed plain concrete pavements, visually examine concrete pavement
surfaces once the cure period is complete. If necessary, order the contractor to
obtain concrete cores to further evaluate. Ensure partial depth cracks are treated
with a high molecular weight methacrylate resin in accordance with Section 40-
1.03N(3), “Crack Repair,” and Section 41-3, “Crack Treatment,” of the Standard
Specifications. Ensure working cracks within 0.5 foot of either side of a planned
contraction joint and the adjacent unformed contraction joint are treated in
accordance with Section 40-1.03N(3), “Crack Repair,” of the Standard
Specifications. Pavement slabs with full depth cracks other than working cracks
require the removal and replacement of slab or slab portions. Spall or ravel areas
larger than specified allowance must be repaired under Section 41-4, “Spall
Repair,” of the Standard Specifications. Slabs with combined raveled areas greater
than 5 percent of the slab area or with a single area of more than 4 square feet must
be removed and replaced.
• For continuously reinforced concrete pavements (CRCP), examine pavement
surfaces for cracking and raveling. Any full-depth cracking with faulting
exceeding specified limits will require repair in conformance with Section 40-
2.03E(3), “Full-Depth Repair,” of the Standard Specifications. High molecular
weight methacrylate is not to be applied to any cracks in CRCP. Any raveled areas
of specified size must be repaired in conformance with Section 40-2.03E(2),
“Partial Depth Repair,” of the Standard Specifications.
• Ensure the contractor performs inertial profiling on specified areas. Refer to
Section 36-3, “Pavement Smoothness,” of the Standard Specifications and Section
4-36, “Surfacing and Pavements—General,” of this manual for additional
information. Areas requiring correction for smoothness may be ground under
Section 42-3, “Grinding,” of the Standard Specifications, subject to meeting
minimum pavement thickness requirements. Alternatively, these noncompliant
areas may be removed and replaced. Once corrective work has been performed
and the contractor’s corrective inertial profile shows compliance, arrange for
inertial profile acceptance testing for pavement smoothness through the district.
Pavement areas not subject to inertial profiling requirements must meet specified
straightedge requirements.
• Obtain contractor’s inertial profiler information and reports for each day of inertial
profiling of concrete pavement. Refer to Section 36-3, “Pavement Smoothness,” of
the Standard Specifications and Section 4-36, “Surfacing and Pavements—
General,” of this manual for additional information.
• With the district materials engineer, arrange to measure the coefficient of friction
(California Test 342, “Surface Skid Resistance with the California Portable Skid

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4-40.10 Concrete Pavement
 Tester”). Do not open pavement to traffic unless the coefficient of friction has been
obtained.
• Note the following for coefficient of friction:
1. Areas with uniform surface texture require testing only at representative
locations to ensure that the required coefficient of friction has been provided.
Test areas with visibly smoother texture as completely as necessary to ensure
compliance or delineate areas that must be corrected.
2. Tests made at temperatures below 40 degrees Fahrenheit will yield low
results; therefore, do not rely on such tests as indications of failure. However,
you may use values higher than the required minimum to indicate compliance
even if you made measurements below 40 degrees Fahrenheit.
3. To determine if 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 7 days old are not
valid for acceptance. Whenever early tests are performed, advise the
contractor that such areas are subject to retesting. If the contractor has used the
pavement for hauling or conducted an operation that could reduce the friction
factor from the one originally determined, retest such areas before opening
them to public traffic.
4. Areas not meeting coefficient of friction requirements must be corrected by
grooving or grinding in conformance with Section 42, “Groove and Grind
Concrete,” of the Standard Specifications. Retest the corrected sections as
necessary to verify the coefficient of friction value has been met.
• After any required corrective grinding, determine locations where coring for
thickness will be performed by the contractor. Observe coring operations and
obtain drilled corings in properly identified plastic bags from the contractor. Use
cores to determine acceptance of concrete pavement thickness. Do not allow
coring machines on fresh concrete while any danger exists of damaging the
concrete. Wait at least 72 hours.
• Ensure any required rumble strips are ground into the concrete pavement after the
minimum specified time and strength have been obtained. Ensure the completed
rumble strip conforms to the tolerances for alignment, spacing, depth, length, and
width. Ensure equipment noise restrictions are met. Refer to Section 84-8,
“Rumble Strips,” of the Standard Specifications for additional information
concerning rumble strips.
• Obtain contractor’s plan if repair or replacement of noncompliant concrete
pavement is required.
• Use the following procedure for determining pavement thickness and any
applicable deductions:
4-4003E Measurement of Pavement Thickness
Cores taken in each primary unit of pavement at the minimum specified rate and cores
in primary unit areas taken at the contractor’s request are referred to as “primary
cores.”

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Concrete Pavement 4-40.11
 Primary cores do not include cores taken for secondary thickness measurements. These
cores and those taken to determine the limits of secondary units are referred to as
secondary cores.
Before coring begins in primary units, designate areas where coring is excluded. Limit
excluded areas to the following:
• Dig-out spots in the subgrade.
• Thickened slabs at bridge approaches.
• End anchors.
• Local areas where authorized modifications to the planned pavement thickness
have been permitted.
Do not exclude portions of the primary unit where equipment had difficulty or where
unauthorized deviations from planned pavement thickness occurred.
4-4003E (1) Location of Primary Cores
Do the following to locate primary cores:
• For each pavement thickness on each day's paving, determine the net area, in
square yards, of pavement placed, excluding the area of structures and other areas
on which pavement is not placed during that day. The resulting measurement is the
area of the primary unit. Divide the area of the primary unit by 1200 square yards
and take the next highest whole number. The resulting number is the number of
primary cores to be taken, unless the contractor requests additional ones.
• Divide the net length of the primary unit by the number of primary cores to be
taken in that unit. The resulting distance is the primary coring interval.
Locate the first core in any primary unit by starting at either end of the unit (preferably
proceeding in the direction of increasing stations), and select a lane at random. Select
any factor from the longitudinal factors shown in Table 4-40.1, “Calculation Factors to
Locate Cores,” and multiply the factor by the primary coring interval. The result is the
distance from the beginning of the primary unit to the first core. (Any random method
of selecting the longitudinal location of the first core is within the intent of the
specification.) Determine the lateral location of the first core by selecting a value from
the lateral column shown in Table 4-40.1 and measuring that distance from the right-
hand edge (when looking ahead) of the lane selected.

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4-40.12 Concrete Pavement
 Table 4-40.1. Calculation Factors to Locate Cores
Longitudinal (Factor) Lateral (Feet)

0.6 6
0.1 10
0.2 2
0.9 9
0.5 5
0.7 7
0.4 4
0.8 8
0.3 3

• In turn, locate the remaining primary cores in the lanes. Space them uniformly,
from the first core in the unit, at longitudinal intervals equal in length to the
primary coring interval for the unit. Then locate them laterally within each lane as
used for the first core by applying successive values from the lateral factors in
Table 4-40.1. All values in the table are to be used successively for each primary
unit throughout the project after the value for the first core in the unit is selected at
random. The location of each core should be spotted on the pavement within
“pacing accuracy” longitudinally and within about 1 foot laterally.
4-4003E (2) Location of Secondary Cores
To determine the limits of secondary units, locate cores in approximately the center of
each adjacent panel. Note that for continuously reinforced concrete pavements, panel
lengths are defined as 15 feet for this purpose.
4-4003E (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
determined by California Test 531, “Method of Test for Length of Drilled Concrete
Cores.” Record excess thickness by using a plus sign and deficient thickness by using a
minus sign.
4-4003F Calculation of Deductions in Payment to the Contractor for Deficient
Thickness
Take these steps when calculating deductions based on deficient thickness:
4-4003F (1) When None of the Primary Cores are Deficient in Thickness by More
Than 0.05 Foot
When no primary cores are deficient in thickness by more than 0.05 foot, make an
adjustment as follows:
• To determine the average thickness deficiency, if any, for the primary unit, average
the thickness variations of all primary cores. Record this value to the nearest 0.01
foot. If the average thickness deficiency is less than 0.01 foot, make no deficiency
adjustment. If the average thickness deficiency is more than 0.01 foot, continue
with the steps below.

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Concrete Pavement 4-40.13
 • To obtain the deficiency adjustment in dollars per square yard, use the table in
Section 40-1.01D(8)(c)(iv), “Thickness,” of the Standard Specifications. The
average thickness value is to be rounded to the nearest hundredth of a foot for
averages from 0.01 foot to 0.05 foot when using the pay adjustment table.
• To obtain the total amount of payment to deduct for the primary unit, multiply the
deficiency adjustment by the total area of the primary unit in square yards.
4-4003F (2) When One or More of the Primary Cores are Deficient in Thickness by
More Than 0.05 Foot
When one or more cores are deficient in thickness by more than 0.05 foot, determine
the limits of the deficiency by taking a secondary core in adjacent panels. Continue
taking a secondary core in adjacent panels, expanding as necessary, until the deficient
area is bounded by panels with deficient thickness of 0.05 foot or less. The bounded
area is referred to as a secondary unit. Reject the secondary unit area for
noncompliance pursuant to Section 5-1.30, “Noncompliant and Unauthorized Work,”
of the Standard Specifications. Exclude the secondary unit areas from payment and
deduction calculations. In the calculation to determine average thickness of the primary
unit, use the average thickness of all secondary cores outside the secondary unit to
replace the thickness of the initial primary core within that secondary unit.
To determine the primary unit deduction, multiply the primary unit area, excluding any
secondary unit areas, by the appropriate factor (if any) in the table titled “Deduction for
Thickness Deficiency” within Section 40-1.01D(8)(c)(iv), “Thickness,” of the
Standard Specifications.
To determine the total deduction, add the deductions for primary units and the cost of
all secondary cores, including those taken outside secondary unit areas.
Below is an example illustrating the procedure for measuring the pavement for
thickness and calculating deductions for thickness deficiencies. The procedures and the
dollar figures used for deductions from payments to the contractor used in the example
are based on Section 40-1.01D(8)(c)(iv), “Thickness,” of the Standard Specifications.
Assume the following:
The contractor paved two lanes (1 and 4) from Station 10+00 to Station
46+10. An equipment crossing and a bridge within the limits of the day’s run
caused “skips” in the length paved totaling 460 feet (from Station 21+20 to
Station 25+80). The actual length paved was 6300 feet (3150 feet x 2 lanes).
The total area paved on this date was 8400 square yards.
The engineer calculated the number of cores required for thickness
measurements in the primary unit (8400/1200 = 7) and the core interval
(6300/7 = 900). To determine the location of the first core, the engineer chose
the outside lane (4), at random and used the seventh set of numbers at random,
from Table 4-40.1, “Calculation Factors to Locate Cores.” The first core was
taken at a longitudinal distance of 360 feet from the beginning and at a lateral
distance of 4 feet from the right edge of the lane. Subsequent cores were taken
at a core interval of 900 feet, excluding skip areas, proceeding from lane 4 to
lane 1. Figure 4-40.1, “Primary Cores,” illustrates the primary unit and the
locations of all the primary cores.

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4-40.14 Concrete Pavement
 Figure 4-40.1. Primary Cores

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

Equipment
18+10

31+70

40+70
Begin

End
Crossing and
Bridge 900 ft
10 ft Primary Core Interval 9 ft
New Concrete Pavement Lane Lane 1
2 ft

Existing Concrete Pavement Lane Lane 2

Existing Concrete Pavement Lane Lane 3

4 ft New Concrete Pavement Lane 8 ft Lane 4 6 ft

360 ft 900 ft 3 ft
Primary Core Interval
10+00

13+60

21+20

25+80

27+20

36+20

45+20

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

1. Sta. 13+60 Lane 4 4 ft off right edge -0.03 ft

2. Sta. 27+20 Lane 4 8 ft off right edge +0.02 ft
3. Sta. 36+20 Lane 4 3 ft off right edge +0.03 ft (use +0.02 ft)
4. Sta. 45+20 Lane 4 6 ft off right edge -0.03 ft
5. Sta. 18+10 Lane 1 10 ft off right edge -0.04 ft
6. Sta 31+70 Lane 1 2 ft off right edge -0.00 ft
7. Sta 40+70 Lane 1 9 ft off right edge -0.07 ft

Core 3 is more than 0.02 foot greater than the specified thickness, so + 0.02 foot
was used in the calculation to determine thickness deficiency in the primary unit in
accordance with Section 40-1.01D(8)(c)(iv), “Thickness,” of the Standard
Specifications.
Core 7 was deficient by more than 0.05 foot. Because of this deficiency, the next
step was to determine the dimensions of the secondary unit from secondary
thickness measurements.

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Concrete Pavement 4-40.15
 To determine the limits of the secondary unit, the resident engineer ordered secondary
thickness measurements in the panels adjacent to the panel where Core 7 was taken.
Subsequent thickness measurements were in panels adjacent to panels with thickness
deficiencies of more than 0.05 foot. This process continued until the secondary unit
was bounded by panels in which the secondary measurements were deficient in
thickness by 0.05 foot or less. Cores in each of these panels were taken in the center of
the panel.
Figure 4-40.2, “Secondary Cores,” illustrates the thicknesses of the secondary cores
taken.
Figure 4-40.2. Secondary Cores

40+70

14 ft 15 ft 12 ft 13 ft 14 ft 15 ft Slab Length
Lane 1

7a-3 7a-2 7a-1 7 7b-1 7b-2 Core Number

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

Core Number Thickness Variation

7a-1 -0.07 ft
7a-2 -0.06 ft
7a-3 -0.04 ft
7b-1 -0.06 ft
7b-2 -0.05 ft

The panels in the secondary unit area represented by cores 7, 7a-1, 7a-2 and 7b-1 were
measured and found to be 54 feet in length and represent 72 square yards.
The engineer averaged thickness variations of the secondary thickness measurements
outside the secondary unit area. The resulting value was used in the calculation in lieu
of the thickness variation for Core 7 to determine the average thickness deficiency of
the primary unit area. The core thickness variations in the panels surrounding the
secondary unit are tabulated below.

Core Number Thickness Variation

7a-3 -0.4 ft
7b-2 -0.5 ft

The average of the thickness variations in the preceding table is -0.045 feet. This
average was rounded to -0.05 foot, and used for the thickness variation for Core 7 in
the primary unit.

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4-40.16 Concrete Pavement
Using -0.05 foot for the Core 7 thickness deficiency, the engineer calculated the
average thickness deficiency (cores 1 through 7) for the primary area to be -0.016 foot.
This average was rounded to -0.02 foot and used for the thickness deficiency for the
primary unit.
The remaining area of the primary unit, after the area of the secondary unit was
subtracted, was as follows:
8,400 - 72 = 8,328 square yards.
The deduction from payment to the contractor for thickness deficiency in the primary
area in accordance with Section 40-1.01D(8)(c)(iv), “Thickness,” of the Standard
Specifications was calculated as follows:
8,328 square yards x $2.30/square yard = $19,154.40
The secondary unit area was later removed, reworked, and replaced. A single core was
then taken to determine thickness variation and found to be -0.01 foot. A deduction
was then taken on the remedied secondary unit as follows:
72 square yards x $0.90/square yard = $64.80
In addition to the deductions for pavement thickness deficiencies in the primary and
secondary units, a deduction from payment to the contractor was made for the cost of
all secondary thickness measurements. The cost of secondary thickness measurements
was the cost of cores 7a-1 through 7a-3, 7b-1 through 7b-2, and 7c-1 (core taken after
replacement of secondary unit).
4-4003F (3) Contractor’s Requests for Additional Thickness Measurements
If, after the primary coring is performed, the contractor requests additional thickness
measurements in any primary unit, treat the request as a request for doubling the
frequency of coring in the primary unit area. Locate the additional cores in a manner
similar to that used for locating the primary cores. This approach will halve the interval
distance between primary cores. To calculate the deficiency adjustment, do not
separately consider additional cores that are deficient in thickness by no more than 0.05
foot. Instead, include these cores with the original primary cores. If additional cores are
deficient in thickness by more than 0.05 foot, determine the limits of the secondary
areas.
Do not grant permission to a request from the contractor for selective coring. However,
if the contractor requests additional thickness measurements before the performance of
any of the primary coring, you may shorten the length of the coring interval for the
primary unit accordingly. For example, the contractor may request a rate of one core
for each 600 feet of traffic lane rather than one core for each 900 feet. The request will
have the effect of increasing, not necessarily doubling the number of cores.
Deduct from the payment to the contractor the cost of additional thickness
measurements that resulted from the contractor’s request.
If a contractor requests more than one round of additional cores, consult with the
construction field coordinator before granting permission.

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Concrete Pavement 4-40.17
 4-4003G 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) are ultimately
poured at a later date. The net area of such pavement placed in any one day technically
becomes a primary unit area and, as such, is subject to the specifications regarding
thickness measurements. Use judgment regarding which of these areas warrant
thickness coring. In general, any area excluded from final coring should be small, and
you must have other measurements to confirm that the thickness of the pavement is not
deficient.
4-4003H 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.
4-4003I Administration
Notify the contractor in writing of the date and place where coring will be performed.
Follow up orally, if necessary, to be certain the contractor knows when and where
coring will take place.
After measuring and recording pavement thickness, retain the cores until final
agreement is reached on payment for the concrete pavement, usually after the
contractor returns the proposed final estimate.
The personnel who measure core thickness prepare the coring records, which include
information about core location (include sketches) and measured thickness. The
original records and one copy are given to the resident engineer, who retains the
original and forwards the copy to the contractor. Personnel from the district materials
laboratory will keep one copy; another copy goes to METS in Sacramento.
Separate reports should be prepared and identified for secondary area measurements.
These reports will help determine the cost to the contractor for secondary coring and
provide a clear record of secondary areas. Follow the same distribution of copies
described in the previous paragraph for primary unit reports.
Coring for determining acceptance of dowel bars and tie bar placement is to be
conducted in a similar manner as that of thickness, except use revised lot sizes based on
the specified frequencies. If dowel or tie bars are placed outside the specified tolerances
or cores show air voids around the bars, obtain additional cores to determine the limits
of unacceptable work. Determine the areas that will require removal as specified in
Section 40-1.03N, “Correcting Noncompliant Pavement Work,” and Section 40-4.03B,
“Correcting Noncompliant Pavement Work,” of the Standard Specifications.

4-4004 4-4004 Level of Inspection

Level of Inspection Suggested levels of field inspection for typical concrete pavement activities are:
• Benchmark inspection of subgrade for compaction and elevation requirements.
• Benchmark inspection of forms and paving equipment.
• Intermittent inspection of reinforcement, dowel bars, tie bars, dowel bar baskets,
and tie bar baskets.

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4-40.18 Concrete Pavement
• Benchmark inspection of the contractor’s early age crack mitigation system for
jointed plain concrete pavements.
• Continuous inspection of concrete delivery, placement, finishing, curing, and
contraction joint operations.
• Continuous acceptance sampling and testing of fresh concrete.
• Intermittent monitoring of the contractor’s adherence to their quality control plan.
• Benchmark evaluation of pavement for cracking, faulting, spalling, and raveling.
• Benchmark inspection of dowel and tie bar placement through coring.
• Benchmark inspection for coefficient of friction, smoothness, and thickness.
4-4005 Quality Control 4-4005
Guidance for quality control activities included in this section is summarized as Quality Control
follows:
• Review contractor’s quality control plan.
• Ensure the contractor submits a copy of the AASHTO accreditation for the
laboratory performing the mix design.
• Review control charts, verify results for quality characteristics are in compliance,
and ensure that copies of control charts are posted at designated location.
• For jointed plain concrete pavements, ensure that the contractor performs quality
control methods to properly locate contraction joints, dowel bars, and tie bars.
• For jointed plain concrete pavements, review the contractor’s early age crack
mitigation analysis. As necessary, verify contractor’s analysis by performing an
independent simulation using high performance concrete paving software.
4-4006 Payment 4-4006
Using the dimensions shown on the plans, calculate the quantity of concrete pavement Payment
to be paid for. Use curve corrections to make sure that calculations account for curves
in alignment.
Make deductions from contract payments for deficient pavement thickness.

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Concrete Pavement 4-40.19
Chapter 4 Construction Details

Section 41 Existing Concrete Pavement

4-4101 General
4-4102 Before Work Begins
4-4102A General
4-4102B Pavement Subsealing or Jacking
4-4102C Joint Seals
4-4102D Dowel Bar Retrofit
4-4102E Individual Slab Replacement with Rapid Strength Concrete
4-4103 During the Course of Work
4-4103A Pavement Subsealing or Jacking
4-4103B Spall Repair
4-4103C Joint Seals
4-4103D Pavement Transition Taper
4-4103E Dowel Bar Retrofit
4-4103F Individual Slab Replacement With Rapid Strength Concrete
4-4104 Level of Inspection
4-4105 Quality Control
4-4106 Payment

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Existing Concrete Pavement 4-41.i
Chapter 4 Construction Details
Section 41
Section 41 Existing Concrete Pavement Existing Concrete
Pavement
4-4101 General 4-4101
This section provides guidelines for inspecting existing concrete pavement repair for General
work specified under Section 41, “Existing Concrete Pavement,” of the Standard
Specifications.
Multiple strategies are used to repair existing concrete pavements. The following
common types of concrete pavement repair are covered in this section:
• Pavement subsealing consists of filling voids under the pavement without
disturbing the elevation of the finished surface by drilling holes through the
pavement and underlying base, cleaning the holes, injecting grout, and filling holes
with mortar.
• Pavement jacking consists of filling voids under the pavement and raising the
pavement's surface to a desired elevation by drilling holes through the pavement
and underlying base, cleaning the holes, injecting grout, and filling holes with
mortar.
• Spall repair consists of removing unsound or damaged concrete, filling the area
with polyester concrete, and replacing existing joint seals.
• Sealing concrete pavement joints consists of constructing or replacing joint seals at
transverse, longitudinal, or isolation joints with silicone, asphalt rubber, or
preformed compression joint seal.
• Pavement transition taper may consist of grinding, removing, and replacing
existing concrete pavement, or placing temporary hot mix asphalt.
• Dowel bar retrofit consists of placing dowel bars at transverse joints and cracks in
existing concrete pavement.
• Individual slab replacement with rapid strength concrete consists of removing the
existing concrete pavement and replacing it with rapid strength concrete.
Replacing deteriorated underlying base with rapid strength concrete or lean
concrete base rapid setting may be required.
The Bid Item List and plans will specify which concrete pavement repairs are to be
performed.
• Additional background information concerning concrete pavement repairs may be
found in the Concrete Pavement Guide at:
http://www.dot.ca.gov/hq/maint/Pavement/Offices/Pavement_Engineering/Co
ncrete_Pavement_Guide.shtml

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Existing Concrete Pavement 4-41.1
 4-4102 4-4102 Before Work Begins
Before Work Begins
4-4102A General
Include the following steps in the preliminary review and inspections:
• Verify that the water pollution control plan is authorized.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes all
materials to be used. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
• Verify that the materials the contractor plans to use comply with Section 41-1.02,
“Materials,” of the Standard Specifications. Where specified, ensure that the
proposed products are on the current Authorized Material List or laboratory test
data is submitted.
• Require certificates of compliance for fly ash, admixtures, cement, joint sealant,
dowel bars, chemical adhesive, compression seal, backer rods, joint filler materials,
and epoxy powder coating.
• Ensure the contractor follows the manufacturer’s instructions for materials.
• 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. Refer to Sections 4-12, “Temporary Traffic Control,” and 2-2,
“Traffic,” of this manual for a discussion of traffic handling devices and lane
closure procedures.
• Check the existing condition of the pavement, and note areas to receive concrete
repair as needed.
• Check for the presence of traffic loop detectors to prevent damage.
• Verify that the atmospheric and subgrade temperatures are above the specified
minimums and that weather conditions are suitable before beginning concrete
repairs.
4-4102B Pavement Subsealing or Jacking
• Check the plans for the pattern and location of injection holes.
• Check the contractor’s actual layout of injection hole locations to see that it
conforms to the planned pattern.
• Establish vertical control for monitoring pavement grades during subsealing or
jacking operations.
4-4102C Joint Seals
• Confirm that a training class on joint seals placement techniques is attended by
appropriate personnel.

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4-41.2 Existing Concrete Pavement
• Inspect that pavement repairs, grinding, and grooving have been completed by the
contractor before sealing joint work begins.
4-4102D Dowel Bar Retrofit
• Discuss dowel bar retrofit methods at the preconstruction meeting with personnel
who perform the work.
• Ensure that a training class on dowel bar placement techniques is attended by
appropriate personnel or that the contractor has provided written verification of
prior acceptable work experience and training involving dowel bar retrofit of
existing concrete pavement.
• Evaluate dowel bar alignment, placement, and concrete consolidation of the
required test section to ensure conformance with the specification.
• Before slot cutting, survey the existing traffic striping, pavement markings, and
pavement markers and determine where delineation repairs will be required.
4-4102E Individual Slab Replacement with Rapid Strength Concrete
For individual slab replacement with rapid strength concrete, do the following:
• Ensure contractor’s quality control plan, which details the methods the contractor
will use to ensure quality of work, is submitted. Review the quality control plan for
conformance with the Standard Specifications requirements.
• Verify that manufacturer’s instructions for storage and installation of specified
materials are submitted.
• Ensure samples of cement from each proposed lot and proposed admixtures are
submitted.
• Ensure submittal of mix design for rapid strength concrete including opening age,
aggregate gradations, proportions of constituents, maximum time allowance
between batching and placing, range of ambient temperatures over which mix
design is effective, final set time, and any special requirements such as water
temperature. Note that each mix design has a specified maximum ambient
temperature range that may result in multiple mix designs for a single project.
Modulus of rupture development data is required for each mix design and must
include the following minimum age tests: 1 hour before opening age, opening age,
1 hour after opening age; and 24 hours, 3 days, 7 days, and 28 days after
placement.
• Ensure quality control plan and methods of performing each item of the work are
discussed with the specified personnel at the preconstruction meeting. Items to be
discussed include processes for production, transportation, placement, replacing
pavement, protecting the pavement before opening to traffic, contingency plan,
sampling, and testing.
• Ensure the contractor successfully constructs trial slabs for each mix design.
Ensure the contractor is capable of constructing slab replacement in compliance
with the specifications within the specified time periods, including delivery,
placement, finishing, and curing times, and under similar atmospheric and
temperature conditions expected during replacement operations. Additional time
for pavement removal, base removal, base replacement, bond breaker, and dowel
bar installation as required, must be factored into specified time periods. Trial slabs

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Existing Concrete Pavement 4-41.3
 are not to be placed on the roadway or within the project limits. During trial slab
construction, obtain a split sample of aggregate from the contractor for grading,
cleanness value, and sand equivalent testing. Ensure the contractor fabricates test
beams in accordance with specification requirements for determining early age and
3-day modulus of rupture values. Verify the contractor's method for curing beams
for early age testing. Verify the contractor's means to monitor and record internal
temperatures of trial slabs and early age beams. Reject trial slabs not meeting early
age and 3-day modulus of rupture requirements. Require the contractor to dispose
of trial slabs.
• Ensure contingency plan equipment, materials, and personnel for temporary
roadway pavement are at the job site during individual slab replacement
operations.
• For projects with larger individual slab replacement quantities, the special
provisions may include requirements covering just-in-time training, materials,
construction, and payment. Be sure to review these requirements well in advance
of the intended work.

4-4103 4-4103 During the Course of Work

During the Course of During the course of the work, do the following for each type of concrete pavement
Work repair strategy:
4-4103A Pavement Subsealing or Jacking
• Verify that the colloidal mixer operates within the specified revolutions per
minute.
• Verify that the pump can sustain the specified gauge pressure.
• Verify that the washing device contains the specified number of jets and that the
contractor operates it as the specifications require.
• Ensure the contractor performs California Test 541, “Flow of Grout Mixtures
(Flow Cone Method),” to ensure that the efflux time is within the required range
during grouting operations.
• Ensure the contractor performs California Test 551, “Determining Suitability of
Materials for Overlayment and Repair of Portland Cement Concrete Pavements
and Structures,” as specified.
• Monitor the slab for movement during subsealing.
• Monitor the contractor’s string lines during jacking to verify slab has been raised to
the established grade.
• Monitor grout mixing so that grout not used within the specified time is disposed
of properly.
• Ensure grinding of noncompliant pavement surface conforms to Section 42,
“Groove and Grind Concrete,” of the Standard Specifications.
• Ensure that removal and replacement of noncompliant pavement conforms to
Section 41-9, “Individual Slab Replacement With Rapid Strength Concrete,” of the
Standard Specifications.

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4-41.4 Existing Concrete Pavement
4-4103B Spall Repair
• Verify that concrete removal is preceded by sawcutting at the required depth along
the rectangular areas to be removed. Ensure that any contractor-damaged concrete
outside the designated limits of repair is repaired at the contractor’s cost and note
these areas and quantities in the daily reports.
• Verify that exposed concrete surfaces are cleaned with equipment conforming to
specification requirements.
• Prior to spall repair material placement, observe joint form board installation and
ensure any bonding agent is mixed in accordance with manufacturer’s instructions
and applied to concrete surfaces.
• Ensure spall repair material is mixed, placed, cured, and protected in accordance
with specification requirements.
• Ensure removed or damaged joint sealant is repaired at spall locations in
accordance with Section 41-5, “Joint Seals,” of the Standard Specifications.
4-4103C Joint Seals
• Ensure removal of existing joint sealant material does not damage the existing
sealant reservoir or pavement.
• Where joint sealant reservoirs are constructed, ensure concrete residue from
sawing operations is collected, contained, and disposed of properly.
• Prior to backer rod installation, ensure sealant reservoir is free of debris, dried,
sandblasted, air blasted, and vacuumed in accordance with the specifications.
• Ensure backer rod installation does not leave a residue or film on the reservoir
walls that will later receive sealant.
• Ensure sealant is prepared and installed in accordance with manufacturer’s
instructions and specification requirements.
• Prior to opening to traffic, ensure the sealant is tack free and firm enough to
prevent embedding of roadway debris into the sealant.
4-4103D Pavement Transition Taper
• Verify that removal operations do not damage concrete pavement to remain in
place and do not create flying debris.
• Ensure that grinding concrete pavement complies with Section 42-3, “Grinding,”
of the Standard Specifications.
• Ensure that concrete replacement complies with Section 41-9, “Individual Slab
Replacement With Rapid Strength Concrete,” of the Standard Specifications.
If placing temporary hot mix asphalt is required, comply with Section 39-2.07, “Minor
Hot Mix Asphalt,” of the Standard Specifications.
4-4103E Dowel Bar Retrofit
• Ensure polyester concrete and joint sealants are stored and installed in accordance
with manufacturer’s instructions.

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Existing Concrete Pavement 4-41.5
 • Ensure saw cut equipment conforms to requirements in the specifications and that
saw cuts meet specified tolerances. Verify that concrete debris, water residue, and
paste are immediately removed during saw cutting operations.
• Prior to concrete removal operations, verify that the contractor has sufficient
temporary backfill material on hand in accordance with the specifications.
• Ensure concrete removal operations do not damage concrete pavement to remain
in place. Verify that contractor’s removal equipment does not exceed the class
specified.
• Ensure the contractor has scheduled work shifts so removal of concrete for dowel
bar slots, placement of dowel bars, and placement of polyester concrete with
required cure time will occur prior to opening to traffic. Use of temporary backfill
material is a back-up plan if anticipated production is not achieved. Subsequent
work shift operations should be adjusted in consideration of actual production
rates.
• Ensure dowel bar slots are constructed and cleaned in accordance with
specification requirements.
• Verify transverse joints are sealed with caulking filler material meeting
specifications.
• Ensure dowel bars are clean prior to application of dowel bar lubricant. Ensure
proper clearance is provided between the dowel bar and pavement surface and
placement tolerances are maintained. Verify that expansion caps have been placed
on dowel bars and will provide at least the minimum specified joint movement at
each end of the bar.
• To ensure proper performance of the dowel bars, pay particular attention to the
foam core insert, which, when properly installed, helps isolate adjacent slabs.
Leakage or displacement of the foam core insert during placement of polyester
concrete may damage concrete pavement and shorten design life. Likewise, dowel
bar support chairs must securely hold dowel bars during placement and
consolidation of polyester concrete or future problems may arise.
• Ensure polyester concrete is mixed in accordance with manufacturer’s instructions.
Ensure containers and tools are appropriate for mixing polyester concrete.
• Polyester concrete is to be placed while plastic and immediately consolidated with
a small handheld vibrator that thoroughly consolidates the polyester concrete
material. Retempering of polyester concrete is not allowed. Finishing tools should
be dried thoroughly prior to use.
• Verify that the polyester concrete is cured under the manufacturer’s instructions.
• The contractor grinds concrete pavement under Section 42, “Groove and Grind
Concrete,” of the Standard Specifications within 30 days from the initial saw
cutting for the dowel bar slots and at least 12 hours after placing polyester
concrete. Grinding is to be performed prior to any sawing and sealing of joints
within the retrofit lanes. Ensure the contractor complies with pavement
smoothness and finishing requirements.
• The contractor must perform random cores to ensure proper alignment of dowel
bars as specified in Section 41-8.03F, “Placing Dowel Bars,” of the standard
special provisions. If cores indicate dowel bars were installed incorrectly, stop

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4-41.6 Existing Concrete Pavement
 dowel bar retrofit activities until the contractor has demonstrated that the problem
causing the improper positioning has been corrected. Ensure that dowel bars
identified as damaged or misaligned are replaced.
• Ensure that pavement delineation removed or damaged due to dowel bar retrofit is
repaired in accordance with Section 81, “Miscellaneous Traffic Control Devices,”
and Section 84, “Markings,” of the Standard Specifications.
4-4103F Individual Slab Replacement With Rapid Strength Concrete
• Verify that contingency plan equipment, materials, and personnel for temporary
roadway pavement structure are present at the job site.
• Ensure that saw cutting is done no more than 2 days before removing pavement.
Saw cutting is perpendicular to the travelled way, but the contractor is allowed to
saw cut parallel or diagonal to the travelled way if saw cutting and removing
pavement is done during the same work shift.
• Prior to concrete removal, dowel bars and tie bars must be sawn. Ensure the
contractor does not impact the surface within 18 inches of the pavement remaining
in place.
• Verify that removal of the pavement and base does not damage pavement or base
remaining in place. Ensure removed materials are disposed of by the contractor.
• Verify contractor prepares the finished surface of the remaining material in
accordance with the specification requirements and to the established grade. Any
over-excavated areas are to be filled with base replacement material, in the same
operation as the base replacement, at the contractor’s cost.
• Examine base replacement layer to verify it has a smooth surface free of voids,
porous areas, and projections such as mortar ridges.
• Prior to placing bond breaker, ensure any foreign or loose materials are removed
from the base surface. Ensure bond breaker is placed in accordance with
specification requirements.
• Ensure installation of dowel bars at transverse construction joints conforms to
specification requirements and manufacturer’s instructions. Dowel bars must be
supported during the chemical adhesive minimum cure time.
• Where rapid strength concrete will be placed against existing concrete, ensure joint
filler is placed along the existing transverse and longitudinal joint faces and
extending to the full depth, in accordance with the specifications. Depending on
existing transverse joint spacing in adjacent lanes, additional transverse contraction
joints may require construction as specified.
• Coordinate inspection of rapid strength concrete with plant inspection personnel.
Ensure lines of communication are maintained between the plant and the field so
contingencies can be used appropriately. Rapid strength concrete must conform to
Section 90-3, “Rapid Strength Concrete,” of the Standard Specifications.
• Spreading, compacting, shaping, and protecting rapid strength concrete must
conform to specified requirements.
• Ensure the contractor samples and fabricates beam specimens to determine
modulus of rupture at opening age and 3 days, which are used for contract
acceptance and payment determination. The modulus of rupture value is

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Existing Concrete Pavement 4-41.7
 determined under California Test 524, “Flexural Strength of Rapid Strength
Concrete,” by testing three beam specimens for each age. No single test represents
more than that day’s production or 130 cubic yards, whichever is less. Split
samples for Caltrans’ 3 days modulus of rupture testing.
• Ensure that rapid strength concrete surface is finished in accordance with
specification requirements. Inspect final texturing of concrete pavement for
compliance with coefficient of friction requirements. Schedule coefficient of
friction testing on questionable areas. Where friction requirements have not been
met, the contractor must groove or grind the pavement in accordance with Section
42, “Groove and Grind Concrete,” of the Standard Specifications.
• Check concrete pavement smoothness using a 12-foot straightedge placed parallel
with and perpendicular to the centerline in accordance with the specifications.
Ensure the contractor corrects pavement smoothness that is out of compliance.
• When needed, ensure temporary roadway pavement structure is placed,
maintained, removed, and disposed of in accordance with specification
requirements.
4-4104 4-4104 Level of Inspection
Level of Inspection Suggested levels of inspection for typical existing concrete pavement repair work
activities are:
• Benchmark inspection of base.
• Intermittent sampling and testing of concrete pavement repair materials.
• Intermittent review and monitoring of contractor’s quality control program
including quality control test results.
• Continuous inspection of concrete delivery, placement, finishing, curing, and joint
operations.
• Benchmark inspection of pavement smoothness.
• Benchmark inspection of finished surface texture.

4-4105 4-4105 Quality Control

Quality Control Guidance for quality control activities included in this section is summarized as
follows:
• Ensure the contractor is actively performing quality control on concrete pavement
repair materials throughout production operations by reviewing copies of quality
control records, including quality control test results.
• The quality control plan must include, but not be limited to:
o Frequency of quality control sampling and testing that meets or exceeds
specification requirements in “Quality Control Testing,” of the Standard
Specifications, as follows:
- Section 41-2.01D(2), “Quality Control,” for subsealing and jacking
- Section 41-9.01D(2), “Just-in-Time Training,” for individual slab
replacement with rapid strength concrete
o Time and frequency of submitting test results.

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4-41.8 Existing Concrete Pavement
4-4106 Payment 4-4106
For measurement and payment, review the plans and quantity calculations in the Payment
resident engineer’s file to determine if there is sufficient detail and accuracy to be used
in the project records. Deduct for any areas that were repaired due to contractor’s
damage.
For subsealing and jacking, count the number of holes drilled. Verify that the holes to
be paid for are only those holes shown on the plans or those ordered to be drilled.
Count bags of packaged fly ash and cement to determine pay quantities for grout by
dry weight. During counting, ensure that duplication or omission does not occur.
Collect weighmaster certificates for materials delivered in bulk, and remember to
deduct quantities of materials not used or wasted. There are no unit price adjustments
for an increase and decrease in subsealing and jacking quantity.
For spall repair, payment is measured by the authorized saw cut area. There are no unit
price adjustments for an increase and decrease in spall repair quantity.
For sealing concrete pavement joints, measure the actual length of joints installed for
seal/replace concrete pavement joint quantity.
For pavement transition tapers, payment is measured from dimensions shown. No
additional compensation is made when temporary hot mix asphalt is used.
For dowel bar retrofit, quantify the number of dowel bar retrofits performed. Do not
pay extra for replacing noncompliant dowel bars. Payment for grinding pavement is
not included.
For individual slab replacement, payment is based on field measurements. Drill and
bond dowel bars and replacing base are not included in payment for individual slab
replacement. Specified pay factor adjustments are applicable for low modulus of
rupture of rapid strength concrete at 3 days. Rapid strength concrete not meeting the
minimum opening age modulus of rupture is to be replaced at the contractor’s expense.

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Existing Concrete Pavement 4-41.9
Chapter 4 Construction Details

Section 42 Groove and Grind Concrete

4-4201 General
4-4202 Before Work Begins
4-4203 During the Course of Work
4-4203A Grooving and Grinding Operations
4-4203B Grooving
4-4203C Grinding
4-4204 Level of Inspection
4-4205 Quality Control
4-4206 Payment

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Groove and Grind Concrete 4-42.i
Chapter 4 Construction Details
Section 42
Section 42 Groove and Grind Concrete Groove and
Grind Concrete
4-4201 General 4-4201
This section provides guidelines for inspecting groove and grind concrete roadway General
surfaces for work specified under Section 42, “Groove and Grind Concrete,” of the
Standard Specifications.
The Concrete Pavement Guide discusses groove and grind strategies of concrete
pavements and is available at:
http://www.dot.ca.gov/hq/maint/Pavement/Offices/Pavement_Engineering/C
oncrete_Pavement_Guide.shtml
Grooving is usually performed to reduce wet weather accidents on existing concrete
pavements or as friction correction on new concrete pavements.
Grinding is usually performed to improve the ride quality and texture on existing
concrete pavements or for smoothness and friction correction on new concrete
pavements.
4-4202 Before Work Begins 4-4202
Include the following in the preliminary review and inspections: Before Work
Begins
• If the contract specifies inertial profiler measurements, discuss pavement
smoothness requirements with the contractor, including existing smoothness
information, submittals, and any contractual testing dispute resolution processes.
Refer to Section 4-36, “Surfacing and pavements—General,” of this manual for
pavement smoothness procedures. Remind the contractor that failure to achieve
compliance will require corrective action or removal and replacement, refer to
Section 5-1.30, “Noncompliant and Unauthorized Work,” of the Standard
Specifications.
• Discuss traffic handling with the contractor and review the contractor’s plan for
lane closures. For traffic handling devices and lane closure procedures, refer to
Sections 4-12, “Temporary Traffic Control,” and 2-2, “Traffic,” of this manual.
• Ensure the contractor’s equipment meets specified requirements.
• Locate loop detectors to prevent damage to the loop detectors’ sealant. If loop
detectors are not visible, consult with the district Traffic Unit.
• Check local noise ordinances and review specified noise requirements.
• In areas to be grooved and ground, see if the contract requires yellow stripe and
pavement marking removal prior to grooving and grinding. If yellow striping and
marking must be removed prior to grooving and grinding, refer to Section 7-107E,
“Removing Yellow Traffic Stripe and Pavement Markings with Hazardous Waste
Residue,” of this manual.
• Verify the existence of a water pollution control plan.

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Groove and Grind Concrete 4-42.1
 • The contract may show locations for on-site drying of concrete grooving and
grinding residue before disposal. Verify that temporary storage materials for this
purpose conform to WM-8, “Concrete Waste Management,” in the Construction
Site Best Management Practices (BMPs) Manual or Section 13-9.02, “Materials,”
of the Standard Specifications.
• The contract or materials information handout may identify locations within the
right-of-way for final disposal of concrete grinding and grooving residue. The
resident engineer must verify that a Regional Water Quality Control Board permit
or approval is included in the materials information handout or resident engineer
file. If the permit or approval has not been included, contact your environmental-
construction liaison for assistance in obtaining these documents. Refer to the
contract special provisions to obtain information about offsite disposal facilities for
concrete grooving and grinding residue.
• When the contract documents do not allow final disposal of grooving and grinding
residue within the right-of-way, obtain from the contractor the name and location
of the disposal facility that will receive the concrete grooving and grinding
residues, in accordance with Sections 5-1.20B(4), “Contractor-Property Owner
Agreement,” and 13-4.03E(7), “Paving, Sealing, Saw Cutting, Grooving, and
Grinding Activities,” of the Standard Specifications. Obtain a copy of the facility’s
water quality or other applicable agency permit or written approval; or applicable
local, state, or federal agency permits for disposal sites outside of California. Also
ensure the following:
1. The disposal facility is permitted by the California Environmental Protection
Agency (Cal/EPA) to accept concrete residue. Oral confirmation from the
facility operator and documentation in the resident engineer’s daily report are
sufficient verification of the permit status of commercial disposal facilities on
this list.
2. The contractor provides a copy of the Cal/EPA permit for disposal of the
liquid concrete residue if choosing the noncommercial offsite disposal facility.
3. If the disposal site is outside of California, the contractor must provide to the
resident engineer a copy of the permit issued by the state agency having
jurisdiction over the site. The permit must be provided before disposal.
4-4203 4-4203 During the Course of Work
During the Course of During the course of the work, do the following:
Work
4-4203A Grooving and Grinding Operations
The following apply to both grooving and grinding operations:
• Observe the operation to ensure that equipment and noise levels comply with
specifications.
• Ensure that the handling of residue and dust from the operation meets
specifications.
• Ensure that the grooved or ground widths meet specifications.
• Ensure that a vacuum device picks up the concrete residue and that the residue
does not flow across the pavement or enter storm drain inlets.

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4-42.2 Groove and Grind Concrete
• For projects that temporarily store concrete residue in washout facilities, ensure
that the plastic liner seams are installed in accordance with manufacturer
requirements. Regularly inspect the liners during installation and operations to
ensure that they are free of holes, tears, or other defects that will compromise the
impermeability of the liner. Inspect washout facilities to ensure that adequate
holding capacity and minimum freeboard are maintained.
• When the operation is complete, and offsite disposal is specified, obtain from the
contractor, final proof of delivery of the residue to the off-site disposal facility.
4-4203B Grooving
When grooving is specified:
• At the beginning of the work shift, check behind the grooving machine to ensure
that all the blades are cutting grooves to the specified depth.
• Record the locations of omitted grooves. When specified, require the cutting of
omitted grooves.
4-4203C Grinding
When grinding is specified:
• Unless specified otherwise, test for pavement smoothness under Sections 36-3,
“Pavement Smoothness,” and 40, “Concrete Pavement,” of the Standard
Specifications.
• Determine if any abnormally depressed areas must be excluded from testing with
the inertial profiler and the 12-foot straightedge.
• Ensure the inertial profiler uses a minimum 4-inch line laser to obtain profile
measurements for concrete pavements.
• Ensure the contractor submits inertial profile information to
[email protected] under Section 36-3, “Pavement Smoothness,” of the
Standard Specifications.
• Ensure ground areas on structures, approach slabs, and 50 feet of approach
pavement meet the smoothness and cover requirements in Section 51-1.01D(3)(b),
“Testing Concrete Surfaces,” of the Standard Specifications.
• In accordance with California Test 342, “Method of Test for Surface Skid
Resistance with the California Portable Skid Tester,” determine the coefficient of
friction for surfaces that have been ground and do not open lanes to traffic unless
requirements are met.
4-4204 Level of Inspection 4-4204
Suggested levels of inspection for grooving and grinding activities are: Level of Inspection
• Intermittent review of pavement smoothness.
• Benchmark review of coefficient of friction.
4-4205 Quality Control 4-4205
Ensure the contractor is actively performing quality control on pavement smoothness Quality Control
throughout the grinding operations by reviewing inertial profile data.

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Groove and Grind Concrete 4-42.3
 4-4206 4-4206 Payment
Payment For measurement and payment, do the following:
• Review the plans and quantity calculations in the resident engineer’s file to
determine if there is sufficient detail and accuracy to be used in the project records.
• Measure both grooving and grinding by the area grooved or ground. As the work
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.
• Where grinding has begun on an area that is then replaced by concrete pavement,
do not pay for the original grinding area. Instead, measure the area of replaced
concrete pavement and pay under the item for grind existing concrete pavement.
Do not pay for grinding replacement concrete pavement or for additional grinding
to comply with smoothness requirements.

California Department of Transportation  Construction Manual  July 2017

4-42.4 Groove and Grind Concrete
Chapter 4 Construction Details
Section 46
Section 46 Ground Anchors and Soil Nails Ground
Anchors and
Soil Nails
4-4601 General 4-4601
For guidance on Ground Anchors, refer to Appendix K6, “Ground Anchor Wall General
Construction Checklist,” of Structure Construction’s Foundation Manual.
For guidance on Soil Nails, refer to Appendix K7, “Soil Nail Wall Construction
Checklist,” of Structure Construction’s Foundation Manual:
http://www.dot.ca.gov/hq/esc/construction/manuals/
4-4602 Payment 4-4602
Calculate the quantities for soil nails, including verification and test soil nails, from the Payment
lengths shown on the plans or ordered.

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Ground Anchors and Soil Nails 4-46.1
Chapter 4 Construction Details
Section 47
Section 47 Earth Retaining Systems Earth Retaining
Systems
4-4701 General 4-4701
Earth retaining systems include mechanically stabilized embankments, reinforced General
concrete crib walls, Type 6 retaining walls, and alternative earth retaining systems. For
guidance on earth retaining systems, refer to Bridge Construction Records and
Procedures manual. For guidance specific to mechanically stabilized embankments,
refer to Bridge Construction memo 145-8.0, “Mechanically Stabilized Embankment
Wall Construction Checklist,” in Structure Construction’s Bridge Construction
Records and Procedures manual, Vol. 2, available at:
http://www.dot.ca.gov/hq/esc/construction/manuals/
4-4702 Payment 4-4702
For the basis of measurement and payment, refer to the appropriate sections of the Payment
special provisions and Standard Specifications.

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Earth Retaining Systems 4-47.1
Chapter 4 Construction Details
Section 48
Section 48 Temporary Structures Temporary
Structures
4-4801 General 4-4801
Temporary structures includes falsework, temporary supports for existing structures, General
temporary decking for joint or deck reconstruction, and jacking support systems for
lowering bridge superstructure. For guidance on temporary structures, refer to Structure
Construction’s Bridge Construction Records and Procedures manual, Bridge Deck
Construction Manual, and Falsework Manual at:
www.dot.ca.gov/hq/esc/construction/manuals/
For guidance specific to falsework and temporary supports for existing structures, refer
to Bridge Construction memo 120-0.0, “Falsework” in Bridge Construction Records
and Procedures manual, Vol. 2, and the Falsework Manual.
For guidance specific to temporary decking for joint or deck reconstruction, refer to
Bridge Construction memo 135-2.0, “Bridge Deck Expansion Joints and Joint Seals,”
in Bridge Construction Records and Procedures manual, Vol. 2, and the Bridge Deck
Construction Manual.
4-4802 Payment 4-4802
For the basis of measurement and payment, refer to the appropriate sections of the Payment
special provisions and Standard Specifications.

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Temporary Structures 4-48.1
Chapter 4 Construction Details

Section 49 Piling Section 49

Piling
4-4901 General 4-4901
Section 49, “Piling,” of the Standard Specifications includes specifications for cast-in- General
place concrete, steel, timber, and precast prestressed concrete piling. Other materials
for piling may be shown on the plans or required in the special provisions. For detailed
information regarding piling, refer to Section 130, “Foundations,” of Structure
Construction’s Bridge Construction Records and Procedures manual, Vol. 2 and the
Foundation Manual:
http://www.dot.ca.gov/hq/esc/construction/manuals/

4-4902 Before Work Begins 4-4902

Before work begins, do the following: Before Work
Begins
• Review the project plans with the contractor to determine the locations where
piling will be installed adjacent to traffic lanes open to the public. Require the
contractor to submit for authorization a work plan for those locations where the
distance from the pile driving area to the nearest traffic lane open to the public is
less than the length of piles to be handled or installed. Review and authorize the
plan before allowing the contractor to start piling operations adjacent to traffic
lanes open to the public.
• At the start of a project, do a field review of locations where piling is to be
installed, and check for overhead obstructions and underground utilities that the
project plans may not have addressed. Early identification of conflicts can avoid
lengthy and costly project delays.
• Verify that Form CEM-3101, “Notice of Materials to Be Used” includes piling
materials. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
• For instructions on preparing pile records to be kept during piling operations,
review Bridge Construction Memo 3-7.0, “Pile Records,” of Structure
Construction’s Bridge Construction Records and Procedures manual, Vol. 1.
http://www.dot.ca.gov/hq/esc/construction/manuals/

4-4903 During the Course of Work 4-4903

Piling operations are dangerous. The Foundation Manual contains safety information During the
for various types of piling operations. In addition, Structure Construction’s Code of Course of Work
Safe Practices contains guidelines to follow for various piling operations. Before the
contractor’s operations begin, review both sources of information and the contractor’s
work plan, if required, in a tailgate safety meeting.
Record drilling and driving information required in Bridge Construction Memo 3-7.0,
“Pile Records.” At the completion of the piling operation, forward the piling
information to Structure Construction’s headquarters in Sacramento.

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Piling 4-49.1
 4-4904 4-4904 Quality Control
Quality Control Guidance for quality control activities for steel pipe piles is summarized as follows:
• Review and authorize the contractor’s shop drawings.
• Review and authorize the contractor’s welding quality control plan.
• Verify that steel pipe piles are fabricated at a plant on Caltrans’ authorized facility
audit list.
• Ensure nondestructive weld testing is performed and verify that test results comply
with the requirements of Section 49-2.02A(4)(b)(iii), “Nondestructive Testing,” of
the Standard Specifications.
Guidance for quality control activities for cast-in-place concrete piles placed is
summarized as follows:
• Review and authorize the pile installation plan.
• When concrete is to be placed under slurry:
o Verify concrete test batch is produced and transported under the same
conditions anticipated during pile construction.
o Ensure that the contractor does not vibrate or agitate the concrete test batch
during the set period.
o Coordinate slump testing for Caltrans acceptance.
• Review the contractor’s concrete placement log.

4-4905 4-4905 Payment

Payment Furnished and cast-in-place concrete piles are measured by the foot the longest side
from the tip of the pile to the plane of pile cutoff. Driven piles include an added item
for driving each pile. Record information about drilling, driving, and measurements in
accordance with Bridge Construction Memo 3-7.0, “Pile Records,” of Structure
Construction’s Bridge Construction Records and Procedures manual, Vol. 1.

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4-49.2 Piling
Chapter 4 Construction Details
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, refer to
Section 160, “Prestressed Concrete,” of Structure Construction’s Bridge Construction
Records and Procedures manual, Vol. 2 and Prestress Manual:
http://www.dot.ca.gov/hq/esc/construction/manuals/
4-5002 Before Work Begins 4-5002
To comply with Section 5-1.23, “Submittals,” of the Standard Specifications, the Before Work
contractor must submit for authorization the shop drawings of the proposed Begins
prestressing system. The shop drawings are submitted directly to Structure Design’s
Documents Unit, as specified in Section 50, “Prestressing Concrete,” of the Standard
Specifications. The review of the working drawings is a coordinated effort between
Structure Design and Structure Construction. Structure Design has the primary
responsibility for authorizing the shop drawings.
Before work begins, take the following steps:
• Verify the receipt and proper distribution of Form CEM-3101, “Notice of
Materials to Be Used,” and make sure it includes information on prestressing
materials. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
• Review the Prestress Manual for instructions on prestressing records to keep
during prestressing operations.
• Before the contractor’s operations begin, review both sources of information in a
tailgate safety meeting.
4-5003 During the Course of Work 4-5003
Prestressing operations are dangerous. The Prestress Manual contains safety During the Course
information for prestressing operations. Additional safety information can be found in of Work
Structure Construction’s Code of Safe Practices and is available by clicking on the
Safety tab at:
http://des.onramp.dot.ca.gov/structure-construction
After completing the work for each structure, the contractor must electronically submit
corrected as-built drawings to the resident engineer for transmittal to Structure
Design’s Documents Unit. Remind the contractor that final contract acceptance will
not occur until the corrected as-built drawings have been submitted.

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Prestressing Concrete 4-50.1
 4-5004 4-5004 Quality Control
Quality Control Guidance for quality control activities included in this section is summarized as
follows:
• Verify that the contractor is complying with the authorized grouting plan and they
are submitting daily grouting reports.
• Verify that the contractor has calibrated their jacking equipment within a year of
use or after repair.
• Verify that the contractor has pressure tested the ducts for post-tensioned concrete
bridges.
• Verify the qualifications of contractor’s personnel performing post-tensioning.
• Witness the contractor’s demonstration that prestressing steel in ducts is unbonded
or that ducts are unobstructed if prestressing steel has not yet been installed.
• Witness the contractor’s voids investigation of grouted ducts.
4-5005 4-5005 Payment
Payment The contract price for furnishing precast members includes payment for prestressing
precast concrete members. Prestressing cast-in-place concrete is paid for as a lump sum
price. For guidelines for making monthly progress payments for prestressing cast-in-
place concrete, refer to Bridge Construction Memo 6-4.0, “Partial Payments,” of
Structure Construction’s Bridge Construction Records and Procedures manual, Vol. 1:
http://www.dot.ca.gov/hq/esc/construction/manuals/

California Department of Transportation  Construction Manual  July 2017

4-50.2 Prestressing Concrete
Chapter 4 Construction Details

Section 51 Concrete Structures

4-5101 General
4-5102 Before Work Begins
4-5103 During the Course of Work
4-5103A Placing Concrete
4-5103B Concrete Placed Under Water
4-5103C Minor Structures
4-5103D Forms
4-5103E Joints and Bearings
4-5103F Drains in Walls
4-5103G Surface Finishing
4-5104 Quality Control
4-5105 Payment

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Concrete Structures 4-51.i
Chapter 4 Construction Details
Section 51
Section 51 Concrete Structures Concrete
Structures
4-5101 General 4-5101
This section covers items related to constructing concrete structures. Section 51, General
“Concrete Structures,” of the Standard Specifications provides requirements for
constructing concrete structures. Concrete structures include concrete bridges, structure
approach slabs, culverts, headwalls, endwalls, drainage inlets, retaining walls, and other
concrete structures shown on the plans.
Many specified requirements for concrete structures apply only to bridges and other
major structures and are covered in detail in Structure Construction’s Bridge
Construction Records and Procedures manual at:
http://www.dot.ca.gov/hq/esc/construction/manuals/
Additional reference material can be found in the Foundation Manual, the Prestress
Manual, and the Bridge Deck Construction Manual at the website.
Section 3-703, “Public Safety,” of this manual contains guidelines for work that
temporarily impairs horizontal and vertical bridge clearance.
4-5102 Before Work Begins 4-5102
Before work begins, take the following steps: Before Work
Begins
• Review the plans and specifications. Determine the cementitious material content
and compressive strength of the concrete to be used. Review Section 4-90,
“Concrete,” of this manual, which covers the mix design review, authorization,
and production of concrete.
• Review and discuss with the contractor plans for placing concrete in each of a
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 which tests will be performed, and the frequency and location of such
testing, and assign the duties accordingly. For guidelines, refer to Chapter 6,
“Sampling and Testing,” of this manual.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes concrete
structure materials. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
4-5103 During the Course of Work 4-5103
Once work begins, take the steps listed for inspecting the following items: During the
Course of Work
• Placing of concrete

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Concrete Structures 4-51.1
 • Concrete placed under water
• 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 placement order. 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, verify 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. Check for 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
experience with various concrete mixes. In general, subsidence has occurred when
bleed water at the surface has disappeared.
4-5103B Concrete Placed Under Water
Ensure the contractor meets all specifications related to Section 51-1.03D(3),
“Concrete Placed Under Water,” of the Standard Specifications. Unless otherwise
provided for in the special provisions, only concrete designated as “seal course
concrete” is to be placed under water.
4-5103C Minor Structures
Ensure that paving or surfacing has been completed immediately adjacent to a structure
before the structure has been constructed to final grade.
4-5103D Forms
When using concrete forms, do the following:
• Ensure the forms are located properly. To detect any major discrepancy, include
both spot-checking from the control stakes as well as general observation
independent of the stakes.
• For proper dimensions, measure inside the forms.

California Department of Transportation  Construction Manual  July 2017

4-51.2 Concrete Structures
• Ensure forms are mortar tight.
• When specified, ensure the use of form oil.
• Ensure that all materials required to be embedded in concrete, such as
reinforcement and miscellaneous metal, are in place and secured properly. For
details, refer to Section 4-52, “Reinforcement,” and Section 4-75, “Miscellaneous
Metal,” of this manual.
• Decide whether forms are sufficiently rigid to prevent undulations that exceed the
specified values. If corrective measures are necessary, advise the contractor
accordingly, and note the circumstances in the daily report.
• Check the forms for exposed surfaces to ensure the surfaces are faced with form
panels as specified. Where required, ensure the use of triangular fillets.
• Verify that form bolts and fasteners are the types specified.
• Before concrete placement, ensure the removal from the forms of dirt, chips,
sawdust, and other foreign materials. Also, ensure the contractor dewaters the
forms and does any necessary pumping as specified and in accordance with the
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 other major structures, refer to the Bridge Construction
Records and Procedures manual.
Ensure that joints are constructed as specified. 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, and 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. Ensure that expansion joint filler or bond-breaking compound
is placed where required. Note such observations in the daily report.

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Concrete Structures 4-51.3
 • If an emergency makes a construction joint necessary, decide on the construction
details of this joint and direct the contractor during its construction.
• Check the placement of any dowels to ensure the contractor cleans the holes before
grouting or bonding and places the grout or bonding material and dowels as
specified.
• When mortar is used, ensure the contractor proportions, places, and cures the
mortar as specified.
• Ensure water stops are installed as specified and where shown on the plans. During
concrete placement, make sufficient observations to ensure the water stops are not
materially shifted out of position or shape.
4-5103F Drains in Walls
Ensure that drain holes and weep holes are constructed as specified. Examine the
excavation and consider other factors that could contribute to the buildup of hydrostatic
pressure. When necessary, order additional drain holes or weep holes.
4-5103G Surface Finishing
Ensure the various concrete surfaces comply with the specifications. Ensure that the
required finishing work is performed before structures are backfilled and that the
appropriate finish is applied to all surfaces. For additional information, refer to the
Bridge Construction Records and Procedures manual.
4-5104 4-5104 Quality Control
Quality Control Guidance for quality control activities included in this section is summarized as
follows:
• Verify that the contractor’s quality control records are submitted timely and that
results comply with contract requirements.
• If rapid strength concrete (RSC) is used, ensure the contractor prequalifies RSC
before use.
• If test panels are specified, ensure that concrete test panels and slabs are
constructed at authorized locations and that test results comply with contract
requirements before starting work.
• Verify that material and lubricant-adhesive is tested.
• For joint seal assemblies with a movement rating of more than 4 inches, ensure
that a manufacturer technical representative is present during installation.
• For asphaltic plug joint seals, verify binder material is tested.
• Witness the contractor’s proof testing of structural load bearings.
• If using RSC to construct approach slabs, ensure the contractor constructs trial slab
for each concrete mix design. Verify trial slabs are constructed in compliance with
finish, cure, and compressive strength requirements as specified in Section 51-
5.01D(2)(b),“Rapid Strength Concrete,” of the Standard Specifications.
• Ensure that temperature monitoring and data recording is done for mass concrete
elements and verify that recorded temperatures comply with the specified
requirements.

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4-51.4 Concrete Structures
4-5105 Payment 4-5105
Take the following steps: Payment
• In conformance with the dimensions shown on the plans, measure the quantity of
concrete in structures by the cubic yard unless the quantities are designated as final
pay quantities.
• Keep records of rejected concrete loads, and provide the reasons (preferably
including test data) for such actions. Also keep records of any significant amounts
of concrete placed outside of areas or limits for which payment is to be made.

California Department of Transportation  Construction Manual  July 2017

Concrete Structures 4-51.5
Chapter 4 Construction Details

Section 52 Reinforcement Section 52

Reinforcement
4-5201 General 4-5201
Section 52, “Reinforcement,” of the Standard Specifications provides requirements for General
fabricating and placing reinforcement. Items used for reinforcement include bars,
welded wire, and wire. For details about reinforcement, refer to Structure
Construction’s Bridge Construction Records and Procedures manual at:
http://www.dot.ca.gov/hq/esc/construction/manuals/
Refer to the contract specifications, Sections 3-606, “Certificates of Compliance,” and
6-202, “Responsibilities for Acceptance of Manufactured or Fabricated Materials and
Products,” of this manual regarding Buy America requirements. Requirements for
mandatory use of domestic materials are found in Section 6-1.04, “Buy America,” of
the Standard Specifications.
4-5202 Before Work Begins 4-5202
Materials Engineering and Testing Services (METS) is responsible for monitoring Before Work
reinforcement materials at the source of supply. The fabricator will provide a certificate Begins
of compliance with shipments of reinforcement delivered to the job site.
Before work begins, do the following:
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes
reinforcement materials. Refer to Section 6-202, “Responsibilities for Acceptance
of Manufactured or Fabricated Materials and Products,” of this manual for
additional information.
• For each lot of material delivered to the project, require the contractor to conform
to Section 6-2.03C, “Certificates of Compliance,” of the Standard Specifications.
• Inspect hook details to ensure they conform to specifications. Refer to the Bridge
Construction Records and Procedures manual, Vol. 2, Section 165, for hook
details. Also, examine the bars to detect damage from bending, for example, kinks
or cracking of the steel on the surfaces of the hooks.
• Check the steel for general cleanness, ensuring it does not have mortar, oil, dirt,
excessive mill scale, scabby rust, or other harmful coatings. Decide whether such
harmful coatings will destroy or reduce bonding. If cleaning is necessary, advise
the contractor.
• Check some of the ends of larger bars to detect any evidence of “piping.” (Piping
is a cavity in the core of a bar.) Also check for such rolling defects as scabs, seams,
and laminations.
• As specified in Section 52-2.02, “Epoxy-Coated Reinforcement,” of the Standard
Specifications, require repair or replacement of damaged epoxy-coated, bar
reinforcing steel.

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Reinforcement 4-52.1
 • Note the following:
1. The contractor may substitute welded wire reinforcement for bar
reinforcement in certain concrete work as specified in the Standard
Specifications; however, welded wire may not be substituted for epoxy-coated
reinforcement. The Bridge Construction Records and Procedures manual,
Vol. 2, Section 165, contains information that may be used to determine
equivalent areas of the steel.
2. Steel lists are required only if specifically requested by the engineer. It is
Caltrans policy to not request such lists except for specific reasons, as
described in Section 52, “Reinforcement,” of the Standard Specifications.
3. Steel lists are not to be requested for the convenience of assistant resident
engineers in checking items such as sizes, dimensions, locations, clearances,
and coverages. The contract plans and specifications serve this purpose.
4. Before allowing butt welding to splice bar reinforcement, refer to the contract
documents and the Bridge Construction Records and Procedures manual,
Vol. 2, Section 180.
5. Before allowing mechanical splicing of bar reinforcing steel, refer to the
contract documents and the Bridge Construction Records and Procedures
manual, Vol. 2, Section 165.
4-5203 4-5203 During the Course of Work
During the Course of During the course of work, do the following:
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, Vol. 2, Section 165, for information about
identifying marks on American-made bar reinforcing steel.
• Ensure the placing of the reinforcement in the forms conforms to the plans and
specifications.
• Ensure that all reinforcement is securely wired at intersections and securely held in
place and that bundle bars are tied at proper intervals. Also, ensure that the
reinforcement is placed in the forms in a way that will not require the contractor to
add or adjust bars during the placing of concrete.
• On cast-in-place, prestressed, post-tensioned structures, it may be necessary to
adjust or relocate reinforcement to conform to the prestressing system the
contractor selected. It may also be necessary to place additional steel. These details
are shown on contractor drawings that Caltrans reviews and authorizes. Use the
authorized prestressing details to ensure that, when placing concrete, the contractor
provides the required clearances to various items, including the tendons and
anchorages. In particular, ensure the proper placement of grillages at end
anchorages.
• When the contractor uses welded wire 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 harmful
coating that would destroy or reduce bonding.

California Department of Transportation  Construction Manual  July 2017

4-52.2 Reinforcement
• To protect epoxy-coated reinforcing steel against sunlight, salt spray, and weather,
ensure the contractor uses a secure covering. The contractor must repair any visible
damage to the coating as specified, in accordance with the manufacturer’s
recommended patching material.
• Note the following:
1. Vibrators used to consolidate concrete containing epoxy-coated reinforcing
steel must have a resilient covering to prevent damage to the epoxy coating.
2. Epoxy-coated prefabricated reinforcement (purple or gray in color) is cut to
size and bent to shape before the coating is applied. Epoxy-coated
prefabricated reinforcement must not be bent or rebent after coating
application.
3. Epoxy-coated reinforcement (green in color) is more flexible. It is applied to
straight rebar, which is subsequently cut and bent to shape.
• Until the engineer approves the proper submittals, do not permit welding of any
type on reinforcing steel. Refer to the Bridge Construction Records and
Procedures manual, Vol. 2, Section 180, for guidelines.
• Bar reinforcing steel is spliced by lapping bars, by butt welding bars, or by using
mechanical couplers. Welded wire reinforcement, reinforcing wire, or plain bars
are generally spliced by lapping. Inspect all lapped splices to ensure the minimum
lengths of lap and stagger distances conform to the plans and specifications. Note
that the size of a bar and the grade of steel will determine the length of lap
required. Ensure the laps are securely wired to maintain the alignment of the bars.
Lap splices of welded wire reinforcement must be tied securely with wire to
prevent distortion.
• Verify that all mechanical butt splices, butt welds, and lap welds on epoxy-coated
reinforcing steel are protected from corrosion with a corrosion protection system
that is on the METS Authorized Material List for corrosion protection coverings.
The METS Authorized Material List is available at:
http://www.dot.ca.gov/hq/esc/approved_products_list/
• The corrosion protective system must be used in accordance with manufacturer
and Caltrans requirements. Ensure the cover is installed as a continuous piece with
sufficient diameter and length to achieve an adequate seal and bond length. The
cover must be free of dirt, grease, sharp edges, tears, or pinholes. After the cover is
heated as specified, ensure it extends a minimum of 2 inches onto the epoxy-
coated reinforcing steel.
4-5204 Payment 4-5204
Refer to appropriate sections of the special provisions and Standard Specifications for Payment
the basis of measurement and payment. If payment is on a unit basis, you may need to
keep records of reinforcement that is placed in the structure. Also, calculate any
changes that result in increases or decreases in quantities of reinforcement.

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Reinforcement 4-52.3
Chapter 4 Construction Details

Section 53 Shotcrete Section 53

Shotcrete
4-5301 General 4-5301
This section provides guidelines for inspection of shotcrete placement under Section General
53, “Shotcrete,” of the Standard Specifications. Shotcrete is concrete that is
pneumatically projected onto a surface. Shotcrete is used for facing of soil nail walls.
Shotcrete may be used for lining ditches and channels, paving slopes, constructing
warped sections, and structural elements. Shotcrete may also be used for structural
repairs.
4-5302 Before Work Begins 4-5302
Before work begins, do the following: Before Work
Begins
• Review the contract to determine the areas and conditions in which shotcrete could
be used. Determine whether the contractor intends to use shotcrete for structural
elements and that it is provided for in the special provisions or Section 51-1.03B,
“Methods and Equipment” of the Standard Specifications.
• Review and become familiar with Sections 46-3, “Soil Nails”; 53, “Shotcrete”; 72-
5, “Concrete Slope Protection, Gutter Lining, Ditch Lining, and Channel Lining”;
and 72-11, “Slope Paving,” of the Standard Specifications.
• Authorize the contractor’s quality control plan, witness the construction and
demolition of preconstruction test panels, and obtain compressive strength results
for sampled cores.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes cement
and aggregate. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
4-5303 During the Course of Work 4-5303
The following guidelines are for nonstructural and structural applications of shotcrete: During the Course
of Work
• Examine the foundation that will receive the shotcrete and ensure the foundation is
evenly graded and free of high areas that would cause a thinner layer of shotcrete
than required. Also, at the time the shotcrete is placed, ensure the foundation is
firm and moist as specified. Note such observations in the daily report.
• Ensure the reinforcement is placed and firmly held in position as specified. Check
joints, side forms, shooting strips, and where used, the position of ground or
gauging wires.
• Obtain certificates of compliance and samples of cementitious material and
aggregate, and test them for all specified attributes. Ship the samples to the district
Materials Unit for testing at the frequency shown in Section 6-1, “Sample Types
and Frequencies,” of this manual. For testing aggregate, the district establishes the
frequency, which can vary depending on the particular operation. Sufficient tests
are to be run to ensure substantial compliance.

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Shotcrete 4-53.1
 • Ensure the contractor proportions the specified amount of cementitious material
and aggregate.
• Take measurements and keep records to support payment for the work.
• Limit the placing of shotcrete to the specified lifts or layers.
• Periodically check the working pressures of the equipment to ensure they meet
specifications.
• Ensure the contractor uses clean reused rebound material in the specified amount.
• For placing dry-mix shotcrete, ensure the materials are used within 45 minutes of
mixing the cementitious material with the aggregate.
• For placing wet-mix shotcrete, ensure the materials are used within 90 minutes of
mixing.
• Through observation, ensure a reasonably smooth and uniform finished surface for
the type of work involved. Require low spots or depressions to be brought up to
proper grade.
• Ensure the shotcrete is cured by one of the specified methods. When curing
compound is used, ensure the specified application rate.
• Ensure the shotcrete is protected as specified.
Follow these additional instructions for structural shotcrete applications:
• For locations where shotcrete can be used, refer to the special provisions and plans.
• Ensure the proper mix is delivered by checking the mix design number and the
concrete mix design proportions on the concrete batch delivery ticket from the first
truck and by verifying the concrete batch delivery tickets periodically throughout
the day.
• Ensure that the nozzle person and the blowpipe operator work together and that the
nozzle person does not get ahead of the blowpipe operator.
• Ensure the finishers rake away any loose material the blowpipe could not remove.
• Watch vertical surfaces and ensure no slough-off occurs because of mix that is too
wet. Reference any areas that do slough off so they can be carefully inspected to
ensure the integrity and soundness of the concrete after it has hardened. Any wet
mix that does slough off should be removed and then reshot.
• Ensure that the nozzle person provides complete encasement of the reinforcement.
Where there are double mats of reinforcement, the nozzle person needs to place the
nozzle through the front mat of the reinforcement and shoot both sides of large
bars.
• On occasion, rake out areas of congested reinforcement to verify that shotcrete
fully encases the 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 Structure Construction.
• Verify that the surface finish matches the one demonstrated in the preconstruction
test panel.

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4-53.2 Shotcrete
• 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.
4-5304 Quality Control 4-5304
Guidance for quality control activities included in this section is summarized as Quality Control
follows:
• Review and authorize structural concrete quality control plans.
• Ensure the nozzle person’s experience conforms to the requirements for applying
shotcrete in the intended location.
• Witness the construction and demolition of test panels. After demolition, inspect
test panels for laminations and sand pockets, and verify the bar reinforcement and
other obstructions are completely encased. For unreinforced test panels, confirm
coring for compressive strength testing.
• Review concrete compressive strength results and inspect concrete cores.
• During field quality control ensure that the contractor obtains cores at four
locations for every 50 cubic yards of production shotcrete. Select additional
locations when the cores contain bar reinforcing.
• Inspect the cores to see that the concrete is dense and free of laminations and sand
pockets, and confirm compressive strength is acceptable.
• Verify that the cored holes are patched with mortar.
4-5305 Payment 4-5305
Measure shotcrete by the cubic yard, computed from the actual area placed and the Payment
theoretical thickness shown in the plans. The special provisions may allow you to
modify the measurement method. Payment for bar reinforcing steel is not included in
the payment for structural concrete.
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.

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Shotcrete 4-53.3
Chapter 4 Construction Details

Section 54 Waterproofing Section 54

Waterproofing
4-5401 General 4-5401
Waterproofing consists of sealing concrete surfaces to prevent the passage of water. General
Dampproofing consists of treating concrete surfaces to retard the passage or absorption
of water or water vapor. Section 54, “Waterproofing,” of the Standard Specifications,
provides for asphalt membrane waterproofing, dampproofing, preformed membrane
waterproofing, deck seals, and slurry leveling courses. Other types of waterproofing
may be specified in the special provisions.
4-5402 Before Work Begins 4-5402
Before work starts, do the following: Before Work
Begins
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes
waterproofing materials. Refer to Section 6-202, “Responsibilities for Acceptance
of Manufactured or Fabricated Materials and Products” of this manual for
additional information.
• Upon delivery of the waterproofing materials, note whether they are identified by
marks or inspection tags.
• You may accept preformed membrane sheets on the basis of a certificate of
compliance. Complete Form CEM-4102, “Material Inspected and Released on
Job.”
4-5403 During the Course of Work 4-5403
During the course of work, do the following: During the Course
of Work
• Sample waterproofing materials in accordance with Section 6-1, “Sample Types
and Frequencies,” of this manual.
• Ensure the contractor prepares surfaces as specified.
• Ensure weather conditions meet the specifications before applying primer or
asphalt.
• Ensure the temperature of waterproofing asphalt is within the specified range.
• Inspect the operation to ensure the contractor applies materials as specified.
4-5404 Quality Control 4-5404
While specific levels of quality control sampling and testing for waterproofing are not Quality Control
included in Section 54 of the Standard Specifications, the contractor is responsible for
providing quality control under Sections 5-1.01, “General,” and 6-2.02, “Quality
Control,” of the Standard Specifications. Ensure the contractor is actively performing
quality control on materials for waterproofing treatment throughout production
operations by reviewing copies of quality control records, including quality control test
results.
4-5405 Payment 4-5405
Field-measure areas unless the quantities are designated as final pay quantities. Payment

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Waterproofing 4-54.1
Chapter 4 Construction Details

Section 55 Steel Structures Section 55

Steel Structures
4-5501 General 4-5501
Section 55, “Steel Structures,” of the Standard Specifications includes specifications General
for constructing steel structures. For additional information regarding steel structures,
refer to Sections 170, “Structural Steel,” and 180, “Welding,” of Structure
Construction’s Bridge Construction Records and Procedures manual, Vol. 2, available
at:
http://www.dot.ca.gov/hq/esc/construction/manuals/
4-5502 Before Work Begins 4-5502
The contractor must submit for authorization the shop drawings for structural steel in Before Work
accordance with Section 5-1.23, “Submittals,” of the Standard Specifications. The shop Begins
drawings are submitted directly to the Structure Design Documents Unit. The review
of the shop drawings is a coordinated effort between Structure Design, Materials
Engineering and Testing Services (METS), and Structure Construction. Structure
Design has the primary responsibility for authorizing the shop drawings.
If any welding must be performed, the contractor must submit a quality control plan for
the work. For guidelines in authorizing the submittal, refer to Section 180, “Welding,”
of the Bridge Construction Records and Procedures manual, Vol. 2.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes structural
steel materials. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
4-5503 During the Course of Work 4-5503
During the work, take the following steps: During the Course
•
of Work
Verify that METS has inspected and released structural steel and fastener
assemblies by retrieving Form TL-0624, “Inspection Release Tag,” as the
assemblies are delivered to the site and by matching the assemblies to Form
TL-0029, “Report of Inspection of Material.”
• Ensure the contractor performs installation tension tests and rotational capacity
tests on all lots of fastener assemblies before installation. To keep track of the
location of fastener assembly placement and to protect the assemblies from the
weather, ensure the contractor stores the fastener assemblies in their original
containers and out of the elements.
• For guidelines on welded connections, refer to Section 180, “Welding,” of the
Bridge Construction Records and Procedures manual, Vol. 2.
• After the completion of the work for each structure, the contractor must submit
corrected shop drawings to the resident engineer for transmittal to Structure
Design’s Documents Unit. Remind the contractor that final acceptance of the
contract will not occur until the corrected drawings have been submitted.

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Steel Structures 4-55.1
 4-5504 4-5504 Quality Control
Quality Control Guidance for quality control activities included in this section is summarized as
follows:
• Verify that the fabrication facility is authorized in accordance with Section 6-2,
“Quality Assurance” of the Standard Specifications.
• Verify that welding is authorized in accordance with Section 11, “Welding” of the
Standard Specifications.
• Verify that torque wrenches are calibrated.
• Witness the contractor’s verification of minimum tension as required by the
specifications. Record the data in the project files.
• Ensure that the contractor’s quality control records are submitted timely and that
the results comply with contract requirements.

4-5505 4-5505 Payment

Payment Refer to the appropriate sections of the special provisions and Standard Specifications
for the basis of measurement and payment.
Apply administrative deductions to source inspections outside the State of California in
accordance with 6-2.01E “Material Source Inspection and Testing.”

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4-55.2 Steel Structures
Chapter 4 Construction Details

Section 56 Overhead Sign Structures, Standards, and Poles

4-5601 General
4-5602 Before Work Begins
4-5603 During the Course of Work
4-5603A Overhead Sign Structures
4-5603B Standards
4-5604 Quality Control
4-5605 Payment

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Overhead Sign Structures, Standards, and Poles 4-56.i
Chapter 4 Construction Details
Section 56
Section 56 Overhead Sign Structures, Standards, and Poles Overhead Sign
Structures,
Standards, and
Poles
4-5601 General 4-5601
This section provides inspection guidelines for items associated with constructing General
overhead sign structures and fabricating and installing standards and poles. Section 56,
“Overhead Sign Structures, Standards, and Poles,” of the Standard Specifications
provides requirements for doing this work.
Overhead sign structures vary from simple trusses to complicated sign bridges
containing changeable message signs.
The majority of overhead sign structures fit into one of six categories:
1. Truss
2. Lightweight
3. Tubular
4. Lightweight Extinguishable Message Sign (EMS)
5. Changeable Message Sign (CMS)
6. Bridge Mounted Sign (BMS)
Technical and administrative guidance regarding sign structures is covered in detail in
Structure Construction’s Bridge Construction Records and Procedures manual at:
http://www.dot.ca.gov/hq/esc/construction/manuals/
The Overhead Sign Structures Guide provides additional guidance for activities such
as reviewing shop drawings, inspection, and testing. The manual is available at:
http://des.onramp.dot.ca.gov/structure-construction/structure-construction-
technical-manuals
Section 3-703, “Public Safety,” of this manual contains guidelines for work that
temporarily impairs horizontal and vertical bridge clearance.
Refer to the contract specifications, Sections 3-606, “Certificates of Compliance,” and
6-202, “Responsibilities for Acceptance of Manufactured or Fabricated Materials and
Products,” of this manual regarding Buy America requirements. Requirements for
mandatory use of domestic materials are found in Section 6-1.04, “Buy America,” of
the Standard Specifications.
The resident engineer, district construction personnel, and structure construction
personnel must apply the correct inspection to ensure the contractor installs sign
structures, standards, and poles to function properly.
Structure Construction is responsible for reviewing and authorizing all sign structure
shop drawings on contracts administered by Caltrans. The district area construction
manager will contact the local structure construction area manager or senior bridge
engineer before the preconstruction meeting to arrange for the review of the sign

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Overhead Sign Structures, Standards, and Poles 4-56.1
 structure shop drawings submitted by the contractor. Structure construction personnel
review shop drawings for standard sign structures and coordinate, when needed, with
the appropriate structure design engineer for review of shop drawings for nonstandard
sign structures.
The Division of Engineering Services provides technical support to structure
construction personnel upon request. Send a copy of the shop drawings to Structure
Policy and Innovation if technical assistance is needed. Section 168, “Signs,” of the
Bridge Construction Records and Procedures manual, Vol. 2, and the Overhead Sign
Structures Guide provide guidance for reviewing shop drawings.
4-5602 4-5602 Before Work Begins
Before Work Begins Before work begins, do the following:
• Review the project plans, specifications, and standard plan details to determine the
types of sign structures, standards, and poles to be installed and any special
requirements included in the contract. Obtain and review as-built drawings for the
structures to be modified. 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 a pole schedule, it can be useful to indicate foundation sizes, bolt
sizes, and bolt circles.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes
applicable components of sign structures, standards, and poles. Refer to Section 6-
202, “Responsibilities for Acceptance of Manufactured or Fabricated Materials
and Products,” of this manual for additional information.
• If required, before the manufacturers furnish the materials, obtain from Materials
Engineering and Testing Services (METS) an approval of foreign manufacturers.
Refer to Section 6-1.04C, “Steel and Iron Materials,” of the Standard
Specifications, which covers the use of foreign materials.
• Refer to the contract specifications and Section 3-604, “Buy America,” of this
manual regarding provisions of the Buy America requirements.
• Obtain shop drawings including, but not limited to, anchor bolt layouts, shop
details, erection plans, and equipment lists for sign structures as required by the
contract. With the assistance of the structure representative, review these shop
drawings and authorize them if they comply with the contract. After review (and
correction if necessary), return one set of the shop drawings to the contractor with
the following statement: “The plans are authorized pursuant to Section 5-1.23,
“Submittals,” of the Standard Specifications.”
• Do a field review of all sign structure locations, and check for possible conflicts
with other structures, electrical and irrigation lines, and underground and overhead
utilities. Verify that existing structures to be modified agree with as-built drawings.
Ensure adequate horizontal and vertical sight distance. Trees or other landscape
features may need to be trimmed or removed to obtain adequate sight distance.
Advise the contractor of any changes and, if necessary, prepare change orders. In
addition, because relocating signs can impair or nullify their effectiveness, consult
with the district Traffic Unit whenever changes must be made or the effectiveness
of any signage is questionable.

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4-56.2 Overhead Sign Structures, Standards, and Poles
• After control stakes have been placed, ensure the markings have the following:
1. The correct span lengths.
2. The correct elevation of footing pedestals (usually 3 inches above the finished
grade or the top of curbs).
3. The minimum vertical clearance shown on the plans.
4. The required cover over the tops of footings.
• To ensure incorporation into the work during shop fabrication, verify that the
structure representative has given the source inspector any changes that revise
materials, specifications, or structural design. Normally, METS is notified of any
changes through the receipt of a copy of the change order. However, allow
sufficient lead time for the normal distribution of change orders. If changes are
underway based on a “prior authorization,” the resident engineer (through the
structure representative) may need to send the revised specifications or drawings
directly to METS in advance of the approved change order. Resident engineers
should call METS to confirm receipt of the changes.
• Review the contract for any requirements for Department-furnished material.
Resident engineers must ensure that Department-furnished sign materials have
been ordered and will be ready for timely delivery. Make a physical inspection and
inventory to confirm that all Department-furnished sign materials are delivered in
good condition. After delivery, the contractor is responsible for any damage to
Department-furnished materials.
4-5603 During the Course of Work 4-5603
During the work, do the following: During the Course
of Work
• Inspect sign structures, standards, and poles.
• Inspect underground work while it is underway because when the work is
complete an inspection cannot be done without extensive rework. Include in the
inspection the excavation, placement of conduit, and placement of concrete for
signal standards, pole 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.
4-5603A Overhead Sign Structures
For sign structures, do the following:
Sign structures often involve details that are critical to the structure’s permanence.
Maintaining sign structures is expensive. Attention to detail during construction can
mitigate future problems.
The resident engineer has final responsibility for ensuring that 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 Sections 168-1.0, “Bolted Connections for Overhead Sign Structures,” and 170,
“Structural Steel,” of the Bridge Construction Records and Procedures manual, Vol. 2,
will provide the information.

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Overhead Sign Structures, Standards, and Poles 4-56.3
 Construction inspectors should check the following items or perform the following:
• Upon delivery, check the materials’ identification marks or inspection tags using
Form TL-0624, “Inspection Release Tag,” and match these marks and tags against
those listed in Form TL-0029, “Report of Inspection of Material.” Refer to Section
6-2, “Acceptance of Manufactured or Fabricated Materials and Products,” of this
manual for more explanation. METS will check items for compliance with
specifications. These items can also be checked at the source during fabrication.
This check will include determining the adequacy of workmanship for activities
such as welding, painting, and galvanizing and ensuring the use of the proper
materials. For changeable message signs, METS will also ensure that all control
components are connected and operating properly before release to the job site.
• Require the repair of any minor damage to galvanizing or coatings, as specified in
Section 75-1.02B, “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,”
of the Bridge Construction Records and Procedures manual, Vol. 2.
• 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,” of the Bridge Construction Records and
Procedures manual, Vol. 2, 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, check for visible
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 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.
• 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 Structure Design for assistance
with changeable message signs.
• Report any temporary or permanent changes to horizontal and vertical clearances
to the Transportation Permits Branch in accordance with Section 3-703A (2),
“Temporary Clearance and Bridge Permit Rating Changes,” of this manual.

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4-56.4 Overhead Sign Structures, Standards, and Poles
• Ensure adherence to the public safety requirements of the special provisions
regarding permanent obstacles that are temporarily unprotected.
4-5603B Standards
For standards, do the following:
• Where areas behind asphalt concrete dikes are filled with dirt to the level of the top
of the dikes, ensure the contractor also sets standards and pull boxes to the top of
the dikes.
• When standards are laid out, ensure no obstructions will prevent vehicular or
pedestrian traffic from seeing signal faces. Standards with push buttons must be no
more than 5 feet from crosswalks and the push buttons must be on the side of the
standard nearest the crosswalk.
When the standards are set, ensure that washers are used between the bottom and
top, and on both sides of slip-base plates. Before standards are erected, ensure that
all leveling and top nuts are properly torqued. When using slip-base inserts, ensure
that the contractor assembles the top and bottom plates and torques the bolts before
placing the standard on the top plate of the slip-base assembly. For the location of
standards with slip bases or slip-base inserts, refer to Section 9-11.4, “Slip Bases,”
of the Traffic Manual. If the exception areas as listed in Section 9-11.4 apply to a
planned slip-base standard, contact the designer about a change order.
• Ensure electroliers on structures are located with regard to bridge rail plans so that
anchor bolts may be placed where the bridge rail gap will be. Ideally, keep
electrolier bases at least 5 feet from expansion joints. This practice prevents extra
stresses from the electrolier at these critical structural locations.
• A slight rake of the standard about 3 degrees from the roadway prevents the
impression that the standard is leaning toward the highway. If the rake is not
correct, ensure that the contractor rakes the standard by plumbing the side of the
tapered standard from the road.
• Before accepting a project, ensure that the grounding of standards complies with
specified methods.
4-5604 Quality Control 4-5604
Guidance for quality control activities included in this section is summarized as Quality Control
follows:
• Review the contractor’s quality control program submittal for sign structures.
• Verify that the contractor’s quality control records are submitted timely and that
results comply with contract requirements.
• Ensure that the contractor does required nondestructive testing and that you select
the random locations for nondestructive testing when specified.
4-5605 Payment 4-5605
For details of measurement and payment, review contract specifications. Make any Payment
necessary measurements and counts.
Refer to Section 6-2.01E, “Material Source Inspection and Testing,” of the Standard
Specifications, for information about standard deductions taken for Caltrans doing
inspection or testing at material sources.

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Overhead Sign Structures, Standards, and Poles 4-56.5
Chapter 4 Construction Details
Section 57
Section 57 Wood and Plastic Lumber Structures Wood and
Plastic Lumber
Structures
4-5701 General 4-5701
This section provides guidelines for inspecting construction of wood and plastic lumber General
structures for work specified under Section 57, “Wood and Plastic Lumber Structures,”
of the Standard Specifications.
The work covered in this section also includes treating wood materials to prevent decay
from moisture, bacteria, or insects.
4-5702 Before Work Begins 4-5702
Before work begins, do the following: Before Work
Begins
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes lumber
materials. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products” of this manual for additional
information.
• Occasionally, lead times to procure hardware and wood materials requiring
preservative treatment can be longer than a contractor anticipates. Early in the
project, determine when materials will arrive at the job site.
• Upon delivery of treated wood materials, note whether they are identified by
marks or inspection tags. Inspection and release of treated wood materials by
Materials Engineering and Testing Services (METS) will ensure that specified
preservative treatment meets specifications.
• If the wood or plastic lumber structure requires painting, review Sections 4-78,
“Incidental Construction,” and 4-91, “Paint,” of this manual.
• Inspect the material in accordance with Table 6-2.1, “Inspection of Fabricated and
Manufactured Materials,” in Section 6-2, “Acceptance of Manufactured or
Fabricated Materials and Products,” of this manual.
4-5703 During the Course of Work 4-5703
During the work, take the following steps: During the Course
of Work
• To verify that METS has inspected and released the materials to be used, retrieve
their inspection release tags from the materials as they are delivered to the job site,
and match the materials to Form TL-0029, “Report of Inspection of Material.”
• In accordance with Table 6-2.1, “Inspection of Fabricated and Manufactured
Materials,” of this manual, visually inspect the lumber materials.
• Verify that lumber delivered to the job site complies with the grading
specifications.
• Ensure the lumber materials and hardware conform to the plans and specifications.

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Wood and Plastic Lumber Structures 4-57.1
 • Ensure that any damage during handling and installation does not reduce the
preservative treatment’s effectiveness. No further inspection of the treatment is
needed.
4-5704 4-5704 Quality Control
Quality Control Verify that lumber delivered to the job site complies with the grading specifications.
For plastic lumber, ensure that stiffness tests are performed in the presence of the
METS inspector.
4-5705 4-5705 Payment
Payment For the basis of measurement and payment, refer to appropriate sections of the special
provisions and Standard Specifications.
The payment for preservative treatment is included in the contract prices paid for the
various wood materials that are treated.

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4-57.2 Wood and Plastic Lumber Structures
Chapter 4 Construction Details

Section 58 Sound Walls Section 58

Sound Walls
4-5801 General 4-5801
This section provides guidelines for inspecting construction of sound walls for work General
specified under Section 58, “Sound Walls,” of the Standard Specifications. Sound wall
types include masonry block, precast concrete panels, and alternative sound wall
systems.
4-5802 Before Work Begins 4-5802
Before work begins, do the following: Before Work
Begins
• Review the plans and specifications covering sound walls. Ensure that all required
submittals are provided by the contractor and processed as specified. Determine
the compressive strength requirements of materials such as masonry block and
grout.
• Review and discuss with the contractor plans for placing sound wall components.
Also discuss and evaluate project specific conditions for safely placing sound wall
components, such as the handling of public traffic and avoiding conflicts with
utilities.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes sound
wall materials. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
• Verify that aesthetic requirements described in the plans and specifications are
adhered to. For example, concrete masonry units must have a uniform color and
texture, and must be supplied from a single source and a single manufacturer.
Mortar ingredients, such as cement, lime, and aggregate, must have a uniform
quality, including color, and must be supplied from a single source, producer, or
manufacturer. If there are questions regarding proposed materials, colors, patterns,
or designs complying with aesthetic requirements, contact the district landscape
architect.
• Upon delivery of sound wall materials, note whether they are identified by
inspection tags. Inspection and release of sound wall materials by Materials
Engineering and Testing Services will ensure that materials intended for use in the
work meet specifications.
• Inspect the material in accordance with Table 6-2.1, “Inspection of Fabricated and
Manufactured Materials,” in Section 6-2, “Acceptance of Manufactured or
Fabricated Materials and Products,” of this manual.
• Verify and document that planned sound wall width, length, and height are correct
for the field conditions, and that the foundation will be uniform.
• Verify that all environmental permit conditions will be met, and that erosion and
sediment control devices are installed before excavation begins.

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Sound Walls 4-58.1
 4-5803 4-5803 During the Course of Work
During the Course of During the course of work, do the following:
Work
• Before placement of bedding and forms, check foundation and grades for
conformance with the plans and specifications. If the foundation is questionable,
contact the district materials engineer.
• Inspect and document any pile driving or drilling operations. Verify that proper
splicing methods are being used.
• Before placement of concrete, check and document line, grade, elevation,
dimensions, condition of forms, bracing, ties, and location of reinforcement.
Ensure concrete is placed in accordance with the plans and specifications. Ensure
uniform backfill compaction.
• Ensure that construction of sound walls and sound wall barriers conforms to
contract documents and authorized shop drawings.
• Verify and document alignment, height, and spacing of posts and panels. If any
sound wall settlement or misalignment occurs during or after construction, ensure
that the defect is corrected.
4-5804 4-5804 Quality Control
Quality Control Ensure that all specified preconstruction sampling, testing, and inspection are
performed. Verify that preconstruction testing is done at an authorized laboratory
qualified to perform the tests and that material test results comply with the
specifications.
For masonry block sound walls, ensure that the contractor has a certified special
inspector and authorized laboratory to do required sampling, testing, and inspection.
The special inspector must be an International Code Council certified structural
masonry special inspector. The special inspector must prepare daily reports and
perform the inspections required in Section 1705A.4, “Masonry Construction,” of the
2016 California Building Code.
4-5805 4-5805 Payment
Payment Refer to appropriate sections of the special provisions and Standard Specifications for
the basis of measurement and payment. Depending on the unit basis for payment, you
may need to keep records of the installation of sound wall components, such as piles
and reinforcement. Also, calculate any changes that result in increases or decreases in
quantities.

California Department of Transportation  Construction Manual  July 2017

4-58.2 Sound Walls
Chapter 4 Construction Details
Section 59
Section 59 Structural Steel Coatings Structural Steel
Coating
4-5901 General 4-5901
This section provides guidelines for inspecting structural steel coatings for work General
specified under Section 59, “Structural Steel Coatings,” of the Standard Specifications.
For more information regarding painting steel structures, refer to Section 155, “Paint,”
of Structure Construction’s Bridge Construction Records and Procedures manual,
Vol. 2.
http://www.dot.ca.gov/hq/esc/construction/manuals/
4-5902 Before Work Begins 4-5902
Review Sections 4-91, “Paint,” and 6-2, “Acceptance of Manufactured or Fabricated Before Work
Materials and Products,” of this manual. Begins
After the prepainting meeting, obtain and review the contractor’s painting quality work
plan for structural steel painting or paint removal.
4-5903 During the Course of Work 4-5903
Refer to Section 155, “Paint,” of Structure Construction’s Bridge Construction Records During the Course
and Procedures manual for guidelines on inspecting surface preparation, paint of Work
application, thickness of paint film, and protective measures. Included in this section is
a bridge painting checklist that will aid with verification of contract compliance.
Take the following steps:
• Ensure that surfaces have been prepared as the specifications require.
• Allow application of paint only to thoroughly dry surfaces and only during periods
of favorable weather.
4-5904 Quality Control 4-5904
Department acceptance for structural steel painting consists of verification inspection Quality Control
that validates the contractor’s quality control sampling and testing program. This
verification inspection consists of witnessing the contractor’s quality control to ensure
that the contractor measures coating thickness, coating adhesion, and soluble salt levels
at the frequency specified and at locations determined by the resident engineer.
4-5905 Payment 4-5905
For the basis of measurement and payment, refer to the appropriate sections of the Payment
special provisions and Standard Specifications.

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Structural Steel Coatings 4-59.1
Chapter 4 Construction Details

Section 60 Existing Structures

4-6001 General
4-6002 Before Work Begins
4-6003 During the Course of Work
4-6003A Removing Concrete
4-6003B Removing Bridges
4-6003C Polyester Concrete Overlays
4-6004 Quality Control
4-6005 Payment

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Existing Structures 4-60.i
Chapter 4 Construction Details
Section 60
Section 60 Existing Structures Existing
Structures
4-6001 General 4-6001
Section 60, “Existing Structures,” of the Standard Specifications provides requirements General
for structure removal, structure rehabilitation, modifying structures, abandoning
structures, and abandoning pedestrian undercrossings.
For guidance on existing structures, refer to Structure Construction’s Bridge
Construction Records and Procedures manual, Bridge Deck Construction Manual, and
Falsework Manual at:
www.dot.ca.gov/hq/esc/construction/manuals/
For guidance specific to removal or demolition of existing structures, refer to Bridge
Construction memos 124-2, “Demolition Plan Review,” and 124-3, “Demolition Over
and/or Adjacent to Union Pacific Railroad Company Tracks,” in Bridge Construction
Records and Procedures manual, Vol. 2.
For guidance specific to structure joint rehabilitation, refer to Bridge Construction
memo 135-2, “Bridge Deck Expansion Joints and Joint Seals,” in Bridge Construction
Records and Procedures manual, Vol. 2, and the Bridge Deck Construction Manual.
4-6002 Before Work Begins 4-6002
Before work begins, do the following: Before Work
Begins
• Inspect existing structures that are to be removed, rehabilitated, modified, or
abandoned. Document existing conditions with photos or video.
• When structures to be removed belong to a city, county, or other agency, check
with the applicable agency before disturbing the structure.
• The district Maintenance Unit maintains existing highway facilities. Keep the
maintenance area supervisor or area superintendent informed of specific needs or
changes to structures.
• Discuss the requirements to ensure consistent practices of placing and maintaining
a longitudinal temporary joint taper when a transverse joint greater than 0.4 foot
cannot be avoided before opening to traffic. Refer to Section 7-1.03, “Public
Convenience,” of the Standard Specifications for requirements that vary based on
height of taper and length of time the longitudinal temporary joint taper will be in
place.

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Existing Structures 4-60.1
 4-6003 4-6003 During the Course of Work
During the Course of During the work, take the following steps for removing concrete and structures.
Work
4-6003A 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. Record your
observations in the daily report and note that the minimum depth requirements
have been met.
• Disposal into adjacent embankments. Refer to Section 19-6, “Embankment
Construction,” of the Standard Specifications. Verify and note that both lateral and
vertical limitations are met. Include disposal locations on the as-built plans.
• Breakage of floors of concrete basements, pits, and structures to prevent
entrapment of water. Note the inspections in the daily report.
4-6003B Removing Bridges
Do the following for removing bridges:
• The contractor must submit bridge removal work plans. Structure Construction’s
representative on the project has complete responsibility and authority for
reviewing and authorizing bridge removal work plans and overseeing bridge
removal work. On projects that do not have a structure representative, consult with
the structure construction area manager or senior bridge engineer assigned to the
area. Further information on bridge removal oversight is contained in Bridge
Construction Bulletins 124-2, “Demolition Plan Review,” and 124-3, “Demolition
Over and/or Adjacent to Union Pacific Railroad Company Tracks,” in Bridge
Construction Records and Procedures manual, Vol. 2.
• When bridge removal occurs over or adjacent to public traffic or railroad property,
review the contractor’s submittal of bridge removal and handling of traffic around
or through the area. Refer to the requirements in Section 60-2, “Structure
Removal,” of the Standard Specifications and the contract special provisions.
• Verify 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. Verify the contractor has addressed
this requirement in planning the operation.
4-6003C Polyester Concrete Overlays
Ensure that the contractor constructs temporary joint tapers on bridge decks and
approach slabs using polyester concrete under Section 60-3.04B, “Polyester Concrete
Overlays,” of the Standard Specifications. Check the constructed temporary joint taper
surface with a 12-foot straightedge to ensure that the surface is uniform and meets the
straightedge requirements specified.

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4-60.2 Existing Structures
4-6004 Quality Control 4-6004
For bridge removal work, verify the registered engineer that signed the bridge removal Quality Control
work plan does the following in compliance with the specifications:
• Is present at all times during bridge removal activities.
• Prepares a daily inspection report for removal activities that is available at the job
site.
4-6005 Payment 4-6005
Review the payment clauses for removing existing structures. Determine whether Payment
necessary measurements must be taken before or during removal.

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Existing Structures 4-60.3
Chapter 4 Construction Details

Section 61 Drainage Facilities—General

4-6101 General
4-6102 Before Work Begins
4-6102A Culvert and Drainage Pipe Joints
4-6102B Concrete Backfill for Pipe Trenches
4-6102C Temporary Culverts
4-6103 During the Course of Work
4-6103A Culvert and Drainage Pipe Joints
4-6103B Concrete Backfill for Pipe Trenches
4-6104 Quality Control
4-6105 Level of Inspection
4-6106 Payment

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Drainage Facilities—General 4-61.i
Chapter 4 Construction Details
Section 61
Section 61 Drainage Facilities—General Drainage
Facilities—
General
4-6101 General 4-6101
The requirements in Section 61, “General,” of the Standard Specifications include General
general specifications for constructing drainage facilities. These requirements and the
guidance in this section apply to other drainage sections of this manual. This section
provides inspection guidelines for:
• Culvert and Drainage Pipe Joints
• Alternative Culverts
• Alternative Slotted Pipe
• Concrete Backfill for Pipe Trenches
• Temporary Culverts
When the Bid Item List includes items for alternative pipe culvert, the contractor
chooses from the list in Section 61-3, “Alternative Culverts,” of the Standard
Specifications.
Refer to the following sections of this manual for inspection guidelines of the culvert
type selected by the contractor:
• Section 4-51, “Concrete Structures,” for reinforced box culverts.
• Section 4-64, “Plastic Pipe,” for high-density polyethylene or plastic pipe.
• Section 4-65, “Concrete Pipe,” for reinforced concrete pipe.
• Section 4-66, “Corrugated Metal Pipe,” for corrugated steel pipe and pipe arches;
or corrugated aluminum pipe and pipe arches.
• Section 4-67, “Structural Plate Culverts,” for structural steel pipe, arches, and pipe
arches; or aluminum plate pipe, arches, and pipe arches.
When the Bid Item List includes items for alternative slotted pipe, the contractor
chooses from the following types:
• As shown in Section 64-3, “Slotted Plastic Pipe,” of the Standard Specifications,
or equal.
• Slotted corrugated pipe.
For inspection guidelines for slotted plastic pipe, refer to Section 4-64, “Plastic Pipe,”
of this manual. For inspection guidelines for corrugated pipe, refer to Section 4-66,
“Corrugated Metal Pipe,” of this manual.

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Drainage Facilities—General 4-61.1
 4-6102 4-6102 Before Work Begins
Before Work Begins Before work begins, do the following:
• Review the special provisions and contract plans to determine the different types of
culvert that may be used and the locations where alternative culverts may be
installed.
• Review the special provisions and contract plans to determine the different types of
slotted pipe that may be used and the locations where alternative slotted pipe may
be installed. Do not mix different types of slotted pipe.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes all
materials. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
4-6102A Culvert and Drainage Pipe Joints
Ensure the contractor submits test results or a mathematical analysis of the joint
materials for joint systems specified as watertight.
4-6102B Concrete Backfill for Pipe Trenches
Concrete backfill for pipe trenches must comply with specifications for minor concrete,
except the concrete must contain at least 380 pounds of cementitious material per cubic
yard.
When rapid strength concrete is to be used as concrete backfill, ensure that the
contractor submits the mix design and test data at least 10 days before excavation of the
pipe trench. Review the mix design, test data, and cure time required for the concrete
mix to attain 500 psi (pounds per square inch) compressive strength.
4-6102C Temporary Culverts
In consultation with district hydraulics, verify that the type of temporary culvert
proposed by the contractor has acceptable strength to sustain the intended load and has
the intended discharge capacity.
4-6103 4-6103 During the Course of Work
During the Course of Refer to the various sections of this manual for guidance on inspecting the types of
Work culvert, drainage pipe, and slotted pipe to be placed. Ensure that the correct types of
joints or couplers are used.
4-6103A Culvert and Drainage Pipe Joints
Review contract requirements for designated culverts and drainage structures that will
require field leakage testing. Where field leakage testing is shown, ensure the
contractor submits test procedure, leakage calculations for exfiltration and infiltration
tests, and repair procedures for sections that fail testing.
4-6103B Concrete Backfill for Pipe Trenches
• Ensure unsuitable materials are removed as specified when placing plastic pipe.
• Verify concrete is consolidated with high-frequency vibrators.
• Ensure contractor removes foreign material that falls into trench before and during
concrete placement.

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4-61.2 Drainage Facilities—General
• When hot mix asphalt is to be placed on top of concrete backfill, ensure contractor
provides a uniformly rough broom finish to the surface.
• Ensure concrete is cured as specified before placement of next material layer.
4-6104 Quality Control 4-6104
Guidance for managing the contractor’s quality control activities for this section is Quality Control
summarized as follows:
• When joint systems and couplers conforming to the provisions in Section 61-2,
“Culvert and Drainage Pipe Joints,” of the Standard Specifications are selected, the
contractor must provide test results or a mathematical analysis of the joint
materials.
• Verify manufacturer’s watertightness tests of joints.
• Ensure contractor performs field leakage testing.
4-6105 Level of Inspection 4-6105
Suggested levels of inspection for typical stabilization work activities are: Level of Inspection
• Benchmark inspection of field leakage testing for culvert and drainage pipe joints
• Intermittent inspection of concrete backfill for pipe trenches
4-6106 Payment 4-6106
The payment for pipe joints and couplers is normally included in the contract prices Payment
paid for the various types and sizes of culvert and drainage pipe.
Quantities for field leakage testing includes the length of pipe that has passed field
leakage tests and includes elbows, tees, and other fittings.
Concrete collars, concrete tees, and reinforcement for connecting new pipe to existing
pipe or facilities is included in the contract prices paid for the various types and sizes of
alternative culverts.

California Department of Transportation  Construction Manual  July 2017

Drainage Facilities—General 4-61.3
Chapter 4 Construction Details

Section 64 Plastic Pipe

4-6401 General
4-6402 Before Work Begins
4-6402A Plastic Pipe
4-6402B Slotted Plastic Pipe
4-6403 During the Course of Work
4-6403A Plastic Pipe
4-6403B Slotted Plastic Pipe
4-6404 Level of Inspection
4-6405 Quality Control
4-6406 Payment

California Department of Transportation  Construction Manual  July 2017

Plastic Pipe 4-64.i
Chapter 4 Construction Details

Section 64 Plastic Pipe Section 64

Plastic Pipe
4-6401 General 4-6401
This section provides guidelines for inspecting plastic pipe and slotted plastic pipe for General
work specified under Section 64, “Plastic Pipe,” of the Standard Specifications. Plastic
pipe must be either Type C or Type S corrugated polyethylene pipe, or corrugated
polyvinyl chloride (PVC) pipe with smooth interior. Slotted plastic pipe must be
polyethylene.
4-6402 Before Work Begins 4-6402
Before Work
4-6402A Plastic Pipe
Begins
Before work begins, review the plans and specifications and inspect the sites of 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 change order.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes plastic
pipe and plastic slotted pipe. Refer to Section 6-202, “Responsibilities for
Acceptance of Manufactured or Fabricated Materials and Products,” of this
manual for additional information.
• Obtain a certificate of compliance for plastic pipe, including the average pipe
stiffness, resin material cell classification, and date of manufacture. For corrugated
polyethylene pipe, the contractor must also provide a manufacturer’s copy of plant
audits and test results from the National Transportation Product Evaluation
Program for the current cycle of testing for each pipe diameter furnished.
4-6402B Slotted Plastic Pipe
Verify that the manufacturer and model of the contractor-selected slotted plastic pipe is
one of the allowable alternatives listed in the Standard Specifications. If the contractor
proposes an “or equal” alternative, consult with Division of Design Drainage Unit to
evaluate if the proposed slotted plastic pipe system is acceptable.

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Plastic Pipe 4-64.1
 4-6403 4-6403 During the Course of Work
During the Course of During the course of work, do the following:
Work
4-6403A Plastic Pipe
• 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.
• Verify the final acceptability of the pipes following the guidelines in Section 6-2,
“Acceptance of Manufactured or Fabricated Materials and Products,” of this
manual. The following problems with pipe are unacceptable:
1. Pipe walls with cracks, holes, blisters, voids, foreign inclusions, or other
defects affecting the pipe wall integrity or visible to the naked eye.
2. Pipes or fittings with abrasions or scratches deeper than 10 percent of the
wall thickness.
3. Gaskets that are cracked or split.
4. Rough surfaces, ridges, fractures, cracks, or imperfections at joint
surfaces where gaskets will bear.
• During the onsite storage of PVC pipes, verify that pipes are protected from long-
term exposure to sunlight, or brittleness may result. Ensure that pipes are protected
from damage throughout all operations.
• Verify that pipes of the specified size, type, and class are placed in the proper
locations.
• Verify pipe joints are installed as specified.
• Require methods of handling and storage that will not damage the pipes.
• When atmospheric temperature is 40°F or less, ensure PVC installation methods
using mechanical assistance do not damage pipes.
• Ensure that backfill work complies with the details on the contract plans, Standard
Plans, or both. Refer to Section 4-19, “Earthwork,” of this manual for additional
instructions on excavation and backfill.
• Pay particular attention to pipe joint requirements including any specified testing
for watertightness.
• Before construction loads are allowed over culverts, require that culverts meet the
minimum fill conditions as shown on Standard Plan Sheet D88.
Continue to periodically inspect pipes as work progresses. A critical time to inspect is
after the completion of the grading and before the start of base and surfacing. During
the final phases of the project, make another inspection, primarily to find any pipes that
need cleaning.
4-6403B Slotted Plastic Pipe
• Ensure that the contractor covers grate slots during placement of concrete backfill
and paving to prevent material entering the slots.
• Verify sections of pipe are secured to prevent separation.

California Department of Transportation  Construction Manual  July 2017

4-64.2 Plastic Pipe
• Ensure concrete backfill surface is textured and cured as required.
4-6404 Level of Inspection 4-6404
Suggested levels of inspection for typical work activities are: Level of Inspection
• Intermittent inspection of trench excavation
• Benchmark inspection of bedding and pipe installation
• Intermittent inspection of backfill
• Intermittent inspection of sampling and testing of materials, compaction, and
applying curing seal
4-6405 Quality Control 4-6405
While specific levels of quality control sampling and testing for plastic pipe and slotted Quality Control
plastic pipe are not included in Section 64, “Plastic Pipe,” of the Standard
Specifications, the contractor is responsible for providing quality control under
Sections 5-1.01, “General,” and 6-2.02, “Quality Control,” of the Standard
Specifications.
4-6406 Payment 4-6406
Refer to Sections 64-2.04, “Payment,” and 64-3.04, “Payment,” of the Standard Payment
Specifications for payment information for plastic pipe and slotted plastic pipe,
respectively.

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Plastic Pipe 4-64.3
Chapter 4 Construction Details

Section 65 Concrete Pipe

4-6501 General
4-6502 Before Work Begins
4-6503 During the Course of Work
4-6504 Level of Inspection
4-6505 Quality Control
4-6506 Payment
4-6506A Case I
4-6506B Case II
4-6506C Case III

California Department of Transportation  Construction Manual  July 2017

Concrete Pipe 4-65.i
Chapter 4 Construction Details

Section 65 Concrete Pipe Section 65

Concrete Pipe
4-6501 General 4-6501
This section provides guidelines for inspecting concrete pipe for work specified under General
Section 65, “Concrete Pipe,” of the Standard Specifications. Concrete pipe includes
circular reinforced concrete pipe, oval-shaped reinforced concrete pipe, reinforced
concrete pipe arch, and nonreinforced concrete pipe. The contractor selects the class of
pipe and method of backfill shown in Standard Plan A62D unless the Bid Item List
specifies the class or method. 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.
4-6502 Before Work Begins 4-6502
Before work begins, review the plans and specifications and inspect the sites of all Before Work
planned installations. Reviewing these items sufficiently in advance helps prevent Begins
scheduling conflicts and errors in ordering materials. During the preliminary review
and inspections, the resident engineers and assistant resident engineers should also do
the following:
• Review the “Materials Information” from METS and ensure that the special
provisions cover any special requirements.
• Note any unsolved drainage problems, and make any necessary changes by change
order.
• As soon as final locations and lengths are determined, give the contractor a revised
pipe list, including those pipes added or altered by change order.
• Obtain from the contractor the selected class of reinforced concrete pipe and
method of backfill to be used for each length of culvert. Also obtain from the
contractor culverts that are to be manufactured using the direct design method or
nonreinforced pipe where allowed by the specifications and Standard Plans.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes concrete
pipe of the type and class specified. Refer to Section 6-202, “Responsibilities for
Acceptance of Manufactured or Fabricated Materials and Products,” of this
manual for additional information.
4-6503 During the Course of Work 4-6503
During the course of work, do the following: During the Course
of Work
• Once the pipe arrives at the job site, check the identification tags or marks to
ensure a METS inspector has inspected the pipe at the source of origin.
• Determine the final acceptability of the pipe using the guidelines in Section 6-2,
“Acceptance of Manufactured or Fabricated Materials and Products,” of this
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

California Department of Transportation  Construction Manual  July 2017

Concrete Pipe 4-65.1
 not a reason for rejecting the pipe. Small numbers of hairline cracks and minor
chips are not so serious as to require rejecting pipe, either. However, the following
problems are not acceptable: pipe with cracks through the wall; exposed
reinforcing steel; or damaged bells, spigots, or joint grooves.
• For culverts that have been installed and backfilled, cracks should not exceed
1/100 inch in width in severely corrosive environments (that is, environments
consisting of a pH of 5.5 or less, seawater, or water containing vegetal or animal
wastes or chloride concentration greater than 500 ppm). Conversely, for culverts
installed in a noncorrosive environment (that is, environments consisting of a pH
greater than 5.5, water containing animal or vegetal wastes or chlorides
concentration less than 500 ppm), cracks of up to 1/8 inch in width in the installed
pipe are acceptable if they are not excessive in number. Note the requirements in
the specifications for marking pipe. Ensure that pipe of the specified size, type, and
class is installed at the proper locations.
• Before structure excavation, require that embankments be constructed as specified.
Before installing pipe, determine the acceptability of excavations and any required
bedding, as described in the specifications and as shown in the Standard Plans.
Excavation must occur for each bell to avoid shear cracking.
• Require methods of handling that will not damage the pipe.
• At the 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 cement mortar, rubber gaskets, or resilient
materials. Reject gaskets that have cracks or splits.
• Check the aggregate and the proportioning of cement mortar. The mortar must be
used within 30 minutes after the addition of water. Permit the use of admixtures to
improve workability, and determine the amounts to be added.
• Ensure rubber gaskets are stored in a cool place away from sunlight. If lubrication
is required before installation, require the contractor to follow the 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.
• Review backfill details on the contract plans, Standard Plans, or both. Determine
that the class of reinforced concrete pipe and method of backfill selected by the
contractor meet these details. Refer to Section 4-19, “Earthwork,” of this manual
for additional instructions on excavation and backfill.

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4-65.2 Concrete Pipe
• Backfill may be done while the mortar in joints is plastic. However, after the
mortar sets, do not permit backfill until 16 hours after sealing. Further, because
free water may not contact the pipeline until seals containing portland cement have
aged 24 hours, no backfill may be placed during this period if it must be watered in
place. Require backfilling in a manner that will not damage seals, whether by
direct impact or through displacement of joints. Imported structure backfill should
be checked for pH and resistivity levels to verify that the service life of the pipe
will not decrease. The limits of concrete backfill, when required, will be shown on
the plans. Concrete backfill is paid for as a separate item. The contractor may use
slurry cement backfill for backfilling culverts. When either concrete backfill or
slurry cement backfill is used, observe carefully and ensure the pipe is not
displaced or floated by uneven or too rapid placement. For rapid strength concrete
or rapid strength slurry cement backfill, allow only nonchloride admixtures to
accelerate the setting time.
• 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.
4-6504 Level of Inspection 4-6504
Suggested levels of inspection for typical work activities are: Level of Inspection
• Intermittent inspection of trench excavation
• Benchmark inspection of bedding and pipe installation
• Intermittent inspection of backfill
• Intermittent inspection of sampling and testing of materials, compaction, and
applying curing seal
4-6505 Quality Control 4-6505
Witness the specified hydrostatic tests for siphons and low-head conduits. Verify Quality Control
hydrostatic test results and leakage calculations. Refer to Section 65-2.01D(2), “Field
Testing of Siphon and Pressure Pipe,” of the Standard Specifications.
4-6506 Payment 4-6506
The length of pipe to be paid for is the slope length designated by the resident engineer. Payment
This slope length is the length shown on the plans, plus or minus any changes the
resident engineer makes, or the length as determined from the surveyors’ staking notes.
If pipe is cut to fit a structure or a slope, the pay length is the length necessary to be
placed before cutting, rounded up to the nearest 2-foot increment. If the contractor
forms the pipe out from a structure, the formed distance is also part of the length of the
pipe necessary before cutting. If the pipe joins a structure at a skew, the length of pipe
necessary to be placed before cutting is the longer side of the pipe. Pipe bends, wyes,
tees, and other branches must be field measured in accordance with the specifications.
The following are examples for measuring culvert pipe when the length to be paid for
is the slope length designated by the resident engineer.

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Concrete Pipe 4-65.3
 4-6506A Case I

PIPE PLACEMENT CUT OR UNCUT PIPE PAYMENT METHOD

Pipe between two Cut Pay to the nearest 2-foot

structures (inside face increment equal to or longer
to inside face of two than the pipe necessary
drop inlets) before cutting

Example 1:
The length along centerline between the two faces and additional length required
due to skew = 62.33 ft
Individual lengths of pipe placed total 60.08 ft, plus additional length made up in
joints and by forming out from one structure.
Pipe is cut due to skew at the other structure.
Therefore:
Pay for 64 ft
Example 2:
Centerline length between inside faces not on a skew = 60.75 ft
Lengths of pipe placed total 64.25 ft
Therefore:
Pay for 62 ft

4-6506B Case II
PIPE PLACEMENT CUT OR UNCUT PIPE PAYMENT METHOD
Pipe between two
Uncut Pay the designated length.
structures.
Example:
• Slope length along centerline of the pipe between the two inside faces = 145.5 ft
• Individual lengths of pipe placed total 144 ft, plus additional length made up in joints
or forming out from one structure, or both.
Therefore:
Pay for 145.5 ft

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4-65.4 Concrete Pipe
4-6506C Case III
PIPE PLACEMENT CUT OR UNCUT PIPE PAYMENT METHOD
Pipe placed from toe of fill Uncut Pay the slope length the
to toe of fill. engineer designates.
Example:
• Designated length = 145 ft
• Laid pipe = 146 ft, with the additional length due to the gain in joints.
One end is allowed to extend the additional distance beyond the toe of fill.
Therefore:
Pay for 145 ft

Under the following circumstances, you may use field measurements in lieu of
calculations or you may supplement calculations:
1. A pipe runs between two structures. After verifying that the structures are
constructed as shown on the plans, you can determine designated length from
a field measurement along the centerline of the pipe between the two inside
faces. If the pipe is cut, make appropriate adjustments to the field
measurement.
2. After verifying that a pipe is properly staked, you may use field measurements
between stakes referenced to the ends of the pipe to determine the length
designated by the engineer. If you use a field measurement to determine pay
lengths, include on the quantity sheet an explanation of how the field
measurement relates to the length designated by the engineer.

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Concrete Pipe 4-65.5
Chapter 4 Construction Details
Section 66
Section 66 Corrugated Metal Pipe Corrugated
Metal Pipe
4-6601 General 4-6601
This section provides guidelines for inspecting corrugated metal pipe for work General
specified under Section 66, “Corrugated Pipe,” of the Standard Specifications.
Corrugated metal pipe, designated by pipe diameter or dimension, type, and metal
thickness, includes both steel and aluminum pipe. The Standard Plans specify the
requirements and other details for coupling bands.
4-6602 Before Work Begins 4-6602
Before work begins, take the following steps: Before Work
Begins
• Review the plans and specifications and inspect the sites of all planned
installations. Reviewing these items sufficiently in advance helps prevent
scheduling conflicts and errors in ordering materials.
• Modify plans when necessary to fit field conditions. Prepare change orders for
major changes from approved plans; for example, additions, deletions, or changes
in type or size of pipe. When structures are staked, adjustments may be made in
location or length of cross drains or side drains, as necessary without requiring a
change order.
• After determining final locations and lengths, give the contractor a revised pipe
list, including those pipes added or altered by change order.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes all
fabricated materials. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
• METS inspector will inspect and test corrugated pipe and joint material as
necessary before arrival at the job site.
4-6603 During the Course of Work 4-6603
During the work, do the following: During the Course
of Work
• Upon delivery of the pipe, note whether it is identified by marks or inspection tags
(Form TL-0624, “Inspection Release Tag”). Check the pipe for damage that may
have occurred 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 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.

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Corrugated Metal Pipe 4-66.1
 For instructions about inspecting backfill, refer to Section 4-19, “Earthwork,” of
this manual. Corrugated metal pipe can be displaced or damaged during backfill.
Therefore, insist on precautions to prevent damage.
• For slotted corrugated steel pipe, ensure installation does not start until after paving
has been completed on traffic lanes adjacent to the pipe. Ensure materials are
prevented from entering pipe slots during backfilling and paving activities.
• For information about concrete backfill and slurry cement backfill, refer to Section
4-61, “Drainage Facilities—General,” of this manual.
• Be particularly alert to ensure the required type and thickness of pipe at each
location. To avoid galvanic corrosion, do not allow 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.
• 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.
4-6604 4-6604 Level of Inspection
Level of Inspection Suggested levels of inspection for typical work activities are:
• Intermittent inspection of trench excavation
• Benchmark inspection of bedding and pipe installation
• Benchmark inspection of repairs to damaged galvanizing
• Benchmark inspection of end finish requirements for helically corrugated steel
pipe. Refer to Section 66-1.02E(3), “End Finish,” of the Standard Specifications
• Intermittent inspection of backfill
• Intermittent inspection of sampling and testing of materials and compaction
4-6605 4-6605 Quality Control
Quality Control When siphons or watertight joints are installed, witness the required field leakage and
hydrostatic tests.
4-6606 4-6606 Payment
Payment Refer to Section 66-1.04, “Payment,” of the Standard Specifications for payment of
corrugated metal pipe and pipe reducers.

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4-66.2 Corrugated Metal Pipe
Chapter 4 Construction Details

Section 67 Structural Plate Culverts

4-6701 General
4-6702 Before Work Begins
4-6703 During the Course of Work
4-6704 Level of Inspection
4-6704A Structural Metal Plate Pipe
4-6704B Metal Liner Plate Pipe
4-6705 Quality Control
4-6706 Payment

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Structural Plate Culverts 4-67.i
Chapter 4 Construction Details
Section 67
Section 67 Structural Plate Culverts Structural Plate
Culverts

4-6701 General 4-6701

This section provides guidelines for inspecting structural plate culverts for work General
specified under Section 67, “Structural Plate Culverts,” of the Standard Specifications.
This work includes fabricating and constructing structural plate culverts as pipe, arches,
and pipe arches that are assembled in the field from structural steel or structural
aluminum plates. The plans and specifications designate the number and thickness of
plates in each installation.
4-6702 Before Work Begins 4-6702
Before work begins, take the following steps: Before Work
• Sufficiently in advance of the contractor’s start of operations to prevent conflicts in Begins
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 and make necessary changes by change
order.
• As soon as final locations and lengths are determined, furnish the contractor a
revised pipe list.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes all
fabricated materials. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
• Before assembling the structural plates, ensure the receipt of the manufacturer’s
assembly instructions. Ensure the instructions conform to the plans and
specifications.
4-6703 During the Course of Work 4-6703
During the course of work, do the following: During the Course
of Work
• Upon delivery of the structural plate materials, note whether it is identified by
marks or inspection tags (Form TL-0624, “Inspection Release Tag”). Check the
materials for damage that may have occurred after inspection at the source.
• Also, upon delivery, note the condition of the pipe. Require the repair of minor
damage to galvanizing or bituminous coatings. Do not accept repair of serious
damage, such as buckled, bent, cracked, or torn plates. Reject plates with damage
of this extent.
• Double-check to ensure the proper type, size, and thickness of pipe at each
location.

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Structural Plate Culverts 4-67.1
 • If mastic for protective coating will be field applied, ensure an inspector from
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.
• 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 67-2.03, “Construction,” of the Standard Specifications.
During the checking of torque, insist on an adequate working platform and safety
devices to prevent injury in case of the shearing of a bolt or the breaking or
slipping of a torque wrench.
• Refer to the Standard Plans for the design of required strutting and for the
minimum cover for construction loads. Require that minimum fill conditions, as
shown on the plans, are met for construction loads on culverts.
• When bituminous coating is required, determine that all bolts on the outside of the
pipe are coated with mastic before backfill. When coating is field applied, require
the sealing of all joints before backfill.
• Refer to Section 4-19, “Earthwork,” of this manual for instructions on inspecting
backfill. Refer to Section 4-61, “Drainage Facilities—General,” of this manual
regarding slurry cement backfill.
• Throughout the progress of the work, periodically inspect installed pipes and
arches. If any structural deficiencies are discovered, ensure these are corrected
before the start of base or surfacing, where pipes or arches underlie pavements.
• Before recommending acceptance of the contract or making a recommendation to
grant relief from maintenance, require the contractor to clean all pipes and arches if
necessary.

4-6704 4-6704 Level of Inspection

Level of Inspection Suggested levels of inspection for typical structural plate culvert work are:
4-6704A Structural Metal Plate Pipe
• Intermittent inspection of assembly
• Benchmark inspection of strut placement and removal

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4-67.2 Structural Plate Culverts
• Continuous inspection of bolt tightening to specified torque
• Benchmark inspection of repair to damaged galvanizing
• Intermittent inspection of application of protective coating
• Benchmark inspection of repairs to protective coating
• Benchmark inspection of connection to inlet or outlet structures to ensure ends of
pipe are cut flush with the structure face
4-6704B Metal Liner Plate Pipe
• Intermittent inspection of excavation, assembly, and grouting
• Benchmark inspection of repair to coating
• Continuous inspection of bolt tightening to specified torque
4-6705 Quality Control 4-6705
While specific levels of quality control sampling and testing for structural plate culverts Quality Control
are not included in Section 67 of the Standard Specifications, the contractor is
responsible for providing quality control under Sections 5-1.01, “General,” and 6-2.02,
“Quality Control,” of the Standard Specifications.
4-6706 Payment 4-6706
Refer to Sections 67-2.04, “Payment,” and 67-3.04, “Payment,” of the Standard Payment
Specifications for payment information on structural metal plate pipe and metal liner
plate pipe, respectively.

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Structural Plate Culverts 4-67.3
Chapter 4 Construction Details

Section 68 Subsurface Drains

4-6801 General
4-6801A Underdrains
4-6801B Horizontal Drains
4-6801C Edge Drains
4-6801D Geocomposite Drain Systems
4-6802 Before Work Begins
4-6802A Underdrains
4-6802B Horizontal Drains
4-6802C Edge Drains
4-6802D Geocomposite Drain Systems
4-6803 During the Course of Work
4-6803A Underdrains
4-6803B Horizontal Drains
4-6803C Edge Drains
4-6803D Geocomposite Drain Systems
4-6804 Level of Inspection
4-6804A Underdrains and Edge Drains
4-6804B Horizontal Drains
4-6804C Geocomposite Drain Systems
4-6805 Quality Control
4-6806 Payment

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Subsurface Drains 4-68.i
Chapter 4 Construction Details
Section 68
Section 68 Subsurface Drains Subsurface
Drains
4-6801 General 4-6801
This section provides guidelines for inspecting subsurface drains as specified under General
Section 68, “Subsurface Drains,” of the Standard Specifications. Subsurface drains
include underdrains, horizontal drains, edge drains, and geocomposite drain systems.
Subsurface drains remove groundwater from the pavement structure, underlying
foundation materials, or adjacent soil and rock formations. The drains are intended to
intercept groundwater or lower its level before it adversely affects 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 aquifers near
slopes or at the grade.
If problem groundwater is found, it may be necessary to issue a change order to add
subsurface drains.
Request assistance from the district materials engineer or the district geologist for
subsurface investigations.
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.
4-6801B Horizontal Drains
Horizontal drains are made from 1-1/2-inch schedule 80 polyvinyl chloride (PVC)
pipes. Horizontal drains can be slotted, perforated, or plain. They are placed in holes
drilled into aquifers. Normally they are placed in cut slopes or under fills and their
purpose is to reduce the possibility of slides or slipouts.

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Subsurface Drains 4-68.1
 The extent of groundwater may be determined with exploratory, vertical wells. Where
the wells may be kept open, such wells serve as gauges to indicate changes in the
elevation of the water table. However, for most situations, vertical wells may not be
necessary, since it is obvious that groundwater requires drainage by horizontal drains
because of signs of distress or saturation at the surface. Where vertical wells are not
needed, the exploration and installation of drains may occur concurrently. Each newly
installed drain adds information needed to solve the problem. For instance, the extent
of the aquifer may be discovered or the volume of flow will indicate whether more, or
fewer, drains are required.
4-6801C Edge Drains
Edge drains are installed beneath a paved shoulder, just out from the edge of the
concrete pavement. Slotted PVC pipe is placed within asphalt-treated or cement-treated
permeable material that is partially encapsulated in filter fabric. These drains remove
water from the structural section and prevent migration of fine material from the base
or subbase to the area beneath the slab.
4-6801D Geocomposite Drain Systems
Geocomposite drain systems are most commonly used as structure approach drainage
systems, which consist of geocomposite drain, filter fabric, plastic pipe, treated
permeable base, and drainage pads.
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.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes all
fabricated materials. Refer to Section 6-2, “Acceptance of Manufactured or
Fabricated Materials and Products,” of this manual for additional information.
• Ensure the contractor has provided a certificate of compliance for each type of
subsurface drain. The certificate of compliance must cover the pipe, tubing,
fittings, and specified materials to be used. Generally, there will be no Form
TL-0624, “Inspection Release Tag,” for these materials with the exception of
coatings or fasteners used with subsurface drains.
• Ensure that permeable material is of the class required under the contract.
• Double-check to ensure the use of the proper type and size of materials at each
location, and verify the planned quantities for solid and perforated pipe.
4-6802A Underdrains
• Review the locations planned for underdrains to ensure that all areas requiring
underdrains have been identified.
• Review Sheet D102 of the Standard Plans for underdrain details.
4-6802B Horizontal Drains
• 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.

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4-68.2 Subsurface Drains
• Plan the placement of collectors and outlets so they are positioned for public safety
and ease of maintenance operations.
• Verify planned quantities.
4-6802C Edge Drains
• Refer to Section 4-29, “Treated Permeable Bases,” of this manual for guidelines
for the production of treated permeable material.
• Verify planned quantities.
• Review sheets P50, P51, and P52 in the Standard Plans for edge drain details.
4-6802D Geocomposite Drain Systems
• Obtain a certificate of compliance for geocomposite drain and accompanying flow
capability graph with authorized laboratory verification. Geocomposite drain
material must conform to Section 96-1.02C, “Geocomposite Wall Drain,” of the
Standard Specifications unless otherwise specified.
• Review project plan sheets for structure approach drainage details with
geocomposite drain systems. Project plan sheets may also identify “Weep Hole
and Geocomposite Drain” alternatives, which contractors may choose to use.
4-6803 During the Course of Work 4-6803
During the work, take the following steps: During the Course
of Work
• Subsurface drains are hidden from view for the most part, so ensure complete as-
built records are created. Pictures, plans, elevations, and complete descriptions will
enable efficient and more complete maintenance and repair.
• Ensure the contractor conforms to the water pollution control plan in handling any
water discharged from subsurface drains.
4-6803A Underdrains
• Ensure that the contractor places only one type of alternative pipe at an installation.
• Immediately before placing the filter fabric, examine the condition of the trench.
Require the contractor to remove any loose material and any sharp objects that
may damage the filter fabric.
• Observe the placement of the filter fabric, and ensure that any tears or punctures
are repaired as specified.
• Ensure that permeable material is of the class required under the contract.
• In accordance with frequencies shown in Section 6-1, “Sample Types and
Frequencies,” of this manual, test the permeable material for all specified
attributes.
• Initially, more frequent testing may be advisable if any indication exists that
segregation or contamination is occurring during handling and placing.
• Require the contractor to place pipe in the manner specified in Section 68-2.03,
“Construction,” 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.

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Subsurface Drains 4-68.3
 4-6803B Horizontal Drains
• Require the contractor to determine the elevation of drilled holes at specified
intervals. Record these elevations so that they become part of the permanent
records.
• Determine the length of nonperforated pipe to be placed at the drain mouths. Use
the minimum specified length when the aquifer extends to the surface. Require
outlet pipes to be connected to the collector system.
• Require the space between the drilled hole and the pipe to be tightly plugged with
earth, as specified.
• Keep a boring log of material types encountered during drilling; also keep a log of
production rates.
• Each drain must be identified by a brass plate bearing an assigned number or other
label. Collect data about the 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 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.
4-6803C Edge Drains
• Inspect trench excavation for proper location, alignment, and cross-sectional
dimensions. Require the contractor to remove any loose material and 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 allow 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.

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4-68.4 Subsurface Drains
4-6803D Geocomposite Drain Systems
• Ensure that the geocomposite drain is installed with the filter fabric side facing the
embankment and oriented so that corrugations are placed perpendicular to the
drainage collection system.
• Ensure that joints in the geocomposite drain have the required overlaps and
positioning is maintained throughout subsequent operations.
• Ensure that exterior edges are wrapped with filter fabric to prevent soil migration
from these areas.
• Require any tears or punctures in the fabric of the gecomposite drain be replaced
with new fabric or repaired as specified.
4-6804 Level of Inspection 4-6804
Suggested levels of inspection for typical stabilization work activities are: Level of Inspection

4-6804A Underdrains and Edge Drains

• Intermittent inspection of trench excavation
• Benchmark inspection of trench surfaces prior to installation of filter fabric
• Intermittent inspection of filter fabric placement
• Benchmark inspection of repairs to filter fabric and pipe installation
• Intermittent inspection of backfill with permeable material for underdrains, treated
permeable material for edge drains, or with specified material
• Intermittent inspection of sampling and testing of materials
• Intermittent inspection of curing of cement treated permeable material when used
as backfill for edge drains
4-6804B Horizontal Drains
• Continuous inspection during drilling operations
• Intermittent inspection of installation of collector system
• Intermittent inspection of backfill around pipe at end of drilled hole and connection
to collector system
• Benchmark inspection of identification marking at each horizontal drain
4-6804C Geocomposite Drain Systems
• Intermittent inspection of geocomposite drain placement and replacement of
damaged material
• Benchmark inspection of repairs
4-6805 Quality Control 4-6805
• Ensure that the contractor submits a certificate of compliance for geocomposite Quality Control
drain including a flow capability graph for the geocomposite drain.
• While specific levels of quality control sampling and testing for subsurface drains
are not included in Section 68, “Subsurface Drains,” of the Standard
Specifications, the contractor is responsible for providing quality control under
Sections 5-1.01, “General,” and 6-2.02, “Quality Control,” of the Standard

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Subsurface Drains 4-68.5
 Specifications. Ensure the contractor is actively performing quality control on
subsurface drain materials throughout production operations by reviewing copies
of quality control records, including quality control test results.
4-6806 4-6806 Payment
Payment Measurement and payment must conform to the special provisions, Standard
Specifications, or both.
Underdrains, horizontal drains, edge drains, and geocomposite drains each have
different measurement and payment clauses.
For underdrains and edge drains, refer to Section 4-65, “Concrete Pipe,” in this manual
for a discussion of slope length designated by the engineer. Note that in Sections 68-2,
“Underdrains,” and 68-4, “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. Pay for exploratory work, furnishing, and installing
collector systems as change order work.
Payment for geocomposite drains is included in related items of work unless
specifically excluded.

California Department of Transportation  Construction Manual  July 2017

4-68.6 Subsurface Drains
Chapter 4 Construction Details

Section 69 Overside Drains Section 69

Overside Drains
4-6901 General 4-6901
This section provides guidelines for inspecting overside drain work specified under General
Section 69, “Overside Drains,” of the Standard Specifications. Overside drains consist
of various pipes, flumes, and lined ditches installed to remove surface water from
highways or from benches in cut or fill slopes.
4-6902 Before Work Begins 4-6902
During this preliminary inspection, take the following steps: Before Work
Begins
• Review the project with the maintenance superintendent to assess any problem
drainage areas.
• Review sheets D87A, D87B, D87C, and D87D in the Standard Plans for
information on downdrains and overside drains.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes all
fabricated materials. Refer to Section 6-2, “Acceptance of Manufactured or
Fabricated Materials and Products,” of this manual for additional information.
• Ensure the contractor has provided a certificate of compliance for steel, aluminum,
and plastic materials used in overside drains. Generally, there will be no Form
TL-0624, “Inspection Release Tag,” for these materials with the exception of
coatings used with overside drains.
• Check the condition of the materials for damage that may have occurred during
shipping and handling. Require the repair of minor damage to coatings or
galvanizing. Refer to Sections 66-1.02C, “Protective Coatings, Linings, and
Paving,” and 75-1.02B, “Galvanizing,” of the Standard Specifications. If
satisfactory repair cannot be achieved, require unacceptable materials to be
removed from the project.
• Inspectors from Materials Engineering and Testing Services (METS) will inspect
and test any coating materials.
• Review any planned installations of metal beam guardrail. If overside drains are in
a metal beam guardrail area, consider using long span nested guard rail. Refer to
the Traffic Manual, Chapter 7-03.6, “Guardrail Design Considerations” and Figure
7.9, “Long Span Nested Guardrail.”
• Review plans and planned overside drain locations by verifying design with field
surveys. Make any necessary changes and give the contractor a revised list of
lengths.
• A suggested method to determine the location of overside drains in an area where
the grade is flat, is to have a water truck dump part of its load in the gutter and cut
the dike where the water ponds.

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Overside Drains 4-69.1
 4-6903 4-6903 During the Course of Work
During the Course of During work, take the following steps:
Work • Where alternative pipe downdrains are allowed, ensure that the contractor places
only one type of alternative pipe downdrain.
• Where plastic pipe downdrain is allowed, ensure that the pipe is from the same
manufacturer.
• To avoid galvanic corrosion, do not allow the combination of steel and aluminum
in any installation.
• Determine that pipe sections have watertight joints and are properly installed.
• As specified in Section 19, “Earthwork,” 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.

4-6904 4-6904 Level of Inspection

Level of Inspection Suggested level of inspection for overside drain work activities is intermittent
inspection.

4-6905 4-6905 Quality Control

Quality Control While specific levels of quality control sampling and testing for overside drains are not
included in Section 69, “Overside Drains,” of the Standard Specifications, the
contractor is responsible for providing quality control under Sections 5-1.01,
“General,” and 6-2.02, “Quality Control,” of the Standard Specifications. Ensure the
contractor is actively performing quality control on overside drain materials throughout
production operations by reviewing copies of quality control records, including quality
control test results.

4-6906 4-6906 Payment

Payment Count entrance tapers, tapered inlets, reducers, slip joints, and anchor assemblies. 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 deems necessary to meet field conditions. In the lengths of pipe and
flume downdrains to be paid for, do not include lengths of tapered inlets and entrance
tapers (including tail pipe and slip joints).
For additional information, refer to the discussion on measuring pipe in Section 4-65,
“Concrete Pipe,” of this manual.

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4-69.2 Overside Drains
Chapter 4 Construction Details
Section 70
Section 70 Miscellaneous Drainage Facilities Miscellaneous
Drainage
Facilities
4-7001 General 4-7001
This section provides guidelines for inspecting items in miscellaneous drainage General
facilities for work specified under Section 70, “Miscellaneous Drainage Facilities,” of
the Standard Specifications. Items covered under this section are related to water
drainage facilities and water transmission pipelines.
For information about casings for bridges, refer to Structure Construction’s Bridge
Construction Records and Procedures manuals, Vol. 1 and 2:
http://www.dot.ca.gov/hq/esc/construction/manuals/
4-7002 Before Work Begins 4-7002
Before work begins, take the following steps: Before Work
Begins
• When the Bid Item List includes items for alternative drainage components, the
contractor can choose from components shown in the contract documents. Do not
mix different types of the same component. Alternative flared end sections must be
the same material as the drainage facility to which it is attached.
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes drainage
facilities and appurtenances. Refer to Section 6-202, “Responsibilities for
Acceptance of Manufactured or Fabricated Materials and Products,” of this
manual for additional information.
• Before the contractor places orders, notify the contractor of any changes affecting
quantities of miscellaneous drainage facilities.
• For welded steel pipe drainage facilities, determine the finish color from the color
options provided by the contractor.
• Allow use of metal flared end sections as an alternative to precast concrete or
plastic flared end sections.
4-7003 During the Course of Work 4-7003
Once work begins, take the following steps: During the Course
of Work
• Check all items as they are delivered to the job site to ensure that Materials
Engineering and Testing Services has released the materials for shipment. Also,
inspect the materials in accordance with Section 6-2, “Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual. Pay
particular attention to precast concrete facilities and linings and coatings.
• Require the repair of minor damage to coatings. If breaks in the coating exceed the
allowable area for repair, reject the pipe section. Ensure repairs are made under
Section 66-1.02C, “Protective Coatings, Linings, and Paving,” of the Standard
Specifications.

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Miscellaneous Drainage Facilities 4-70.1
 • Ensure electrically insulated connections are provided if welded steel pipe is
connected to public utility lines or other metal pipe.
• Ensure sand shield is installed if backfill material for welded steel pipe contains
rock or highly expansive clay soils.
• 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.
• Before allowing the construction of pipe manholes or inlets to the final grade,
require that new pavement or surfacing be completed immediately adjacent to the
structure.
• For concrete inlet depressions near concrete pavement, oversee placement of
concrete pavement before constructing concrete inlet depressions.
• Ensure installation of grated line drains and joints comply with the manufacturer’s
instructions.
4-7004 4-7004 Level of Inspection
Level of Inspection Suggested levels of inspection for typical work activities are:
• Intermediate inspection of excavation and backfill for installation of welded steel
pipe
• Benchmark inspection of installed precast concrete pipe drainage facilities
• Benchmark inspection of installed drainage appurtenances except inlet depressions
• Benchmark inspection and testing of underlying base for inlet depressions
• Intermediate inspection of inlet depression construction including broom finish and
curing of concrete inlet depressions
• Intermediate inspection of excavation and backfill for installation of grated line
drains
4-7005 4-7005 Quality Control
Quality Control Ensure the contractor performs pressure testing of welded steel pipe. Observe and
record the results.
4-7006 4-7006 Payment
Payment No adjustment in length is made when pipe is cut to fit a structure.
To properly measure and pay for the various items covered in this section, carefully
read the payment clauses in the Standard Specifications. Payment for excavation and
backfill is included in the payment for the type of miscellaneous drainage facility work
involved.

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4-70.2 Miscellaneous Drainage Facilities
Chapter 4 Construction Details

Section 71 Existing Drainage Facilities

4-7101 General
4-7101A Rehabilitating Drainage Facilities
4-7102 Before Work Begins
4-7102A Rehabilitating Drainage Facilities
4-7103 During the Course of Work
4-7103A Removing Drainage Facilities
4-7103B Rehabilitating Drainage Facilities
4-7103C Modifying Drainage Structures
4-7103D Adjusting Drainage Facilities
4-7103E Abandoning Drainage Facilities
4-7104 Level of Inspection
4-7105 Quality Control
4-7106 Measurement and Payment

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Existing Drainage Facilities 4-71.i
Chapter 4 Construction Details
Section 71
Section 71 Existing Drainage Facilities Existing
Drainage
Facilities
4-7101 General 4-7101
This section provides guidelines for inspecting existing drainage facilities for work General
specified under Section 71, “Existing Drainage Facilities,” of the Standard
Specifications.
4-7101A Rehabilitating Drainage Facilities
Culvert rehabilitation is the practice of extending or restoring the service life of a
culvert without removal of the existing culvert and typically involves placement of a
smaller diameter pipe (liner) into a larger diameter host pipe. The liner may be a culvert
or a product specifically manufactured for culvert rehabilitation. The annular space
between the new pipe and the host pipe is grouted.
When the Bid Item List includes items for alternative drainage rehabilitation
components, the contractor chooses from the type shown in the project plans or
specified in the special provisions.
4-7102 Before Work Begins 4-7102
Before work begins, do the following: Before Work
Begins
• Inspect existing drainage facilities that are to be removed, rehabilitated, repaired,
modified, adjusted, or abandoned. Document existing conditions with photos or
video.
• When drainage structures to be removed belong to a city, county, or other agency,
check with the applicable agency before disturbing the drainage facility.
• The district Maintenance Unit maintains existing highway facilities. Keep the
maintenance area supervisor or area superintendent informed of specific needs or
changes to drainage structures.
4-7102A Rehabilitating Drainage Facilities
• Hold preconstruction meetings (prerehabilitation and pregrouting) to discuss the
contractor’s quality control program and method for performing each element of
work including the contractor’s sampling and testing of materials and inspection of
the work. Remind the contractor to notify you before the start of each step
identified under Section 71-3.01C(1) “General,” of the Standard Specifications.
• Verify that machine spiral wound polyvinyl chloride (PVC) pipeliners are marked
as required under Section 71-3.09A(2), “Materials,” of the Standard
Specifications.

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Existing Drainage Facilities 4-71.1
 4-7103 4-7103 During the Course of Work
During the Course of During the work, do the following:
Work
Ensure contractor backfills trenches, holes, depressions, and pits resulting from work
on existing drainage facilities. Backfill in surfaced areas should match the thickness
and quality of the roadway section.
4-7103A Removing Drainage Facilities
Require removal to the specified minimum depth below finished grade. Record your
observations in the daily report and note that the minimum depth requirements have
been met.
4-7103B Rehabilitating Drainage Facilities
• Verify culvert is cleaned before the start of culvert inspection.
• Ensure contractor performs prerehabilitation inspections.
• Ensure culvert structural repair or concrete invert paving, where shown or ordered,
is placed and concrete has attained a compressive strength of 2,500 pounds per
square inch (psi) before start of grouting.
• Ensure contractor restores the lateral pipe and all openings and drainage
connections within 72 hours of installing a pipeliner.
• Ensure contractor performs postrehabilitation inspections.
• Ensure installation of machine spiral wound PVC pipeliners comply with the
appropriate American Society for Testing and Materials International (ASTM)
specification. Refer to Section 6-305, “Test Methods,” of this manual for
information on how to obtain these ASTM standards. Ensure markings are visible
from the inside of the completed pipeliner.
4-7103C Modifying Drainage Structures
• For existing headwalls or end walls to be removed or moved, ensure that pipe is
cut so that the pipe edges are smooth.
• Verify capping of inlets, manholes, and risers with minor concrete that contains at
least 590 pounds of cementitious material per cubic yard.
4-7103D Adjusting Drainage Structures
• Ensure contractor lowers frames, covers, grates, and manholes before cold planing
and raising after paving is completed to finish grade.
• For adjusting manholes, ensure that the contractor removes the existing manhole to
a depth of at least 3.5 feet.
• For unstable manholes under traffic, review and authorize the material to be used
to adjust the manhole cover seat.
• Verify inlets are adjusted with minor concrete that contains at least 590 pounds of
cementitious material per cubic yard. Ensure contractor protects grate of adjusted
inlets during paving operations as required.

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4-71.2 Existing Drainage Facilities
4-7103E Abandoning Drainage Structures
Ensure bases of manholes or drainage facilities are broken to prevent water from
collecting in the abandoned structure. Ensure pipes entering the abandoned facility are
plugged as specified.
4-7104 Level of Inspection 4-7104
Suggested levels of inspection for typical work activities are: Level of Inspection
• Intermediate inspection where concrete placement is required.
• Benchmark inspection to remove, modify, adjust, abandon, and salvage work
before start of backfill.
• Intermediate inspection during backfill.
• Benchmark inspection of cleaning and preparation of host culvert.
• Intermediate inspection of structural repairs or invert paving.
• Continuous inspection of sampling and field testing of grout materials for start of
grouting work that can be reduced to intermittent inspection if test results
consistently meet specified requirements and the grouting operation is uniform.
4-7105 Quality Control 4-7105
Witness contractor sampling and testing of grout density and viscosity. Verify results Quality Control
meet the required density and strength values.
Verify that the contractor is monitoring grout pump pressure gauge recorder printout to
ensure grout pump pressure compliance with manufacturer’s instructions.
Ensure the contractor performs culvert inspection by closed-circuit video recording or
photography and that the quality of those records is appropriate to confirm compliance
with cleaning of host culvert and installation of pipeliner.
Review the contractor’s inspection and evaluation report. Prepare change order for
ordered repairs.
Witness the contractor’s deflection testing of pipeliner where required. Reject pipeliner
that exceeds the specified deflection requirement.
4-7106 Payment 4-7106
Payment for removing and reusing frames, grates, and covers is included in the Payment
payment of the various items of work.
Pipeliner is measured along the flow line of the existing culvert. No payment is made
for culvert rehabilitation reinspection due to low quality recordings and cleaning.
Prepare a change order where repair work or concrete invert paving for culvert
rehabilitation is ordered. Deduct 20 percent of the bid amount for pipeliner 8 percent or
less of the nominal pipeliner dimension that is over-deflected and is not replaced.
Deduct quantity of slurry cement backfill that is wasted, or disposed of or otherwise not
used in the work.

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Existing Drainage Facilities 4-71.3
Chapter 4 Construction Details

Section 72 Slope Protection

4-7201 General
4-7202 Before Work Begins
4-7203 During the Course of Work
4-7203A Rock Slope Protection
4-7203B Concreted-Rock Slope Protection
4-7203C Small-Rock Slope Protection
4-7203D Concrete Slope Protection
4-7203E Broken-Concrete Slope Protection
4-7203F Slope Paving
4-7203G Gabions
4-7204 Level of Inspection
4-7205 Quality Control
4-7206 Payment

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Slope Protection 4-72.i
Chapter 4 Construction Details

Section 72 Slope Protection Section 72

Slope Protection
4-7201 General 4-7201
This section provides guidelines for inspecting slope protection for work specified General
under Section 72, “Slope Protection,” of the Standard Specifications. The following
common types of slope protection are covered in this section:
• Rock slope protection
• Concreted-rock slope protection
• Small-rock slope protection
• Concrete slope protection
• Broken-concrete slope protection
• Slope paving
• Gabions
Other protective devices are used in conjunction with highway construction, and when
used, they are included in the contract’s special provisions. The Bid Item List and plans
will specify which type of slope protection is to be performed.
If extensive slope protection problems are anticipated or encountered during
construction, refer these to the design engineer and the project manager, who may in
turn obtain the advice of the “Caltrans Bank and Shore Protection Committee.”
Resident engineers should be familiar with the material contained in the publication,
California Bank and Shore Rock Slope Protection Design, and Chapter 870, “Bank
Protection—Erosion Control,” of the Highway Design Manual.
4-7202 Before Work Begins 4-7202
Before construction of any type of slope protection, review the plans, Standard Before Work
Specifications, special provisions, any pertinent preliminary test data, and the location Begins
of the installation. Note any changes that may have occurred between the preliminary
design studies and the start of construction. Decide whether modifications are
necessary as a result of changed conditions. In making such a decision, observe the
following:
• High water elevations
• Direction of flow and angle of impingement at various water stages
• Capability of adjacent soil types to resist erosion from wash and eddy currents
• Type and security of trees or brush
Any springs or water courses that might affect the stability of the design. Take pictures
to document existing conditions and verify that Form CEM-3101, “Notice of Materials
to Be Used,” includes the materials for slope protection. Refer to Section 6-202,
“Responsibilities for Acceptance of Manufactured or Fabricated Materials and

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Slope Protection 4-72.1
 Products,” of this manual for additional information. Obtain initial samples and have
them tested for the specified attributes.

4-7203 4-7203 During the Course of Work

During the Course of Take the following steps when inspecting the work and materials for slope protection:
Work
• Obtain rock samples for acceptance tests. The samples will be crushed in the
laboratory to sizes needed to perform tests. Testing must follow the frequencies
shown in Section 6-1, “Sample Types and Frequencies,” of this manual.
• Where applicable, inspect the footing areas and foundations for evidence of
instability or areas where hydrostatic pressures may develop. Order corrective
work when necessary. The plans indicate the minimum depths of foundations.
When evidence exists that the foundation depth is inadequate, obtain both the
design and hydraulics engineers’ concurrence with a change order to deepen the
foundation. Of the various types of instability problems, foundation failures are the
most serious and most common.
• Check to ensure that slopes and foundation areas are graded and compacted to
specified tolerances.
• When changes are made, maintain records of details, depths, heights, and other
dimensions, and enter these on the as-built plans.
• Ensure that rocks of the specified sizes and shapes are being used. You may check
the size of rock by roughly measuring the size and converting the volume to mass.
To better control the contractor’s selection of rocks for placing, ensure the
contractor paints tonnage on large rocks used in foundation construction.
• Verify the types of measurements and records necessary to support payment for
the work. Keep records up to date.
• Ensure existing shrubs and trees are protected so that they continue to anchor the
surrounding soil. Erosion control is an important element of successful slope
protection.
In addition to the general functions discussed above, the following items apply to
specific types of slope protection.
4-7203A Rock Slope Protection
The Standard Specifications provide two methods of placement for this type of
protection: Method A and Method B. The contract will identify the designated method.
Method A is used where the stability of the rock slope protection is considerably
dependent on the manner in which the individual rocks are placed. To ensure the
success of Method A, ensure that the bearing of rocks from one to the other follows
specifications and that the use of “chinking” rocks is limited to filling voids. When
placing rocks, the contractor should ensure each placed rock is stable and not
dependent on the one on top to hold it in place. Otherwise, placement could result in
what is known as “rockers” or unstable rocks. Also, ensure the contractor does not drop
rock into place; otherwise, cracking or breaking may occur.
Method B is not restrictive with respect to the placement of individual rocks.
When rock slope protection fabric is required for either method, ensure the contractor
places the fabric before placing the rock slope protection. Refer to Section 4-96,

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4-72.2 Slope Protection
“Geosynthetics,” of this manual for guidelines for inspecting and accepting rock slope
protection fabric. Close observation is required during rock placement to detect any
damage to the fabric.
4-7203B Concreted-Rock Slope Protection
The concreted-rock slope protection method is used where large rock is not
economically available in large quantities, yet a heavy, service type of protection is
required. Protection involves constructing a heavy mass of smaller rocks bound
together by concrete.
To provide the desired cleanliness, the contractor may need to sluice the rock or facing.
If the rock contains an excess of fines or inadequate voids, the desired results may be
impossible to obtain.
The finish surface must be roughened by brushing to expose rocks. If excess concrete
remains on the surface, the finished product, when used in streams, will be too smooth
and, along the protection, velocities will increase beyond those intended during design.
To compensate for the lack of flexibility in the completed structure, ensure an adequate
foundation lies below this type of protection.
At the terminals of protection, ensure the contractor is particularly careful to avoid
erosion and undercutting. The contractor must also ensure the construction of adequate
“returns” and “keys” at the ends.
For details about concrete production, review Section 4-90, “Concrete,” of this manual.
The method for placing rock will either be Method A or Method B, whichever the
contract designates, as discussed under Section 4-7203A, “Rock Slope Protection,”
earlier in this section.
Inspect the rock to ensure it has been cleaned of any adhering dirt and clay and is
moistened before concrete placement.
Ensure concrete is cured by one of the specified methods.
4-7203C Small-Rock Slope Protection
The small-rock slope protection method consists of excavating and backfilling the
footing trench, placing rock slope protection fabric as shown, and placing small rocks
on the slope.
There are three material gradation requirements based on required rock layer
thicknesses. The contract plans will designate the required rock layer thickness for each
location.
Ensure that the contractor places the fabric before placing the rock slope protection.
Refer to Section 4-96, “Geosynthetics,” of this manual for guidelines on inspecting and
accepting rock slope protection fabric. Observe closely during rock placement to detect
any damage to the fabric.
Ensure the equipment used during spreading does not crack the rock.
4-7203D Concrete Slope Protection
The concrete slope protection method consists of paving the embankment with
portland cement concrete. The method is particularly adaptable to locations where
high-velocity flow is not detrimental, but desirable, and the hydraulic efficiency of
smooth surfaces is important.

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Slope Protection 4-72.3
 Review Section 4-90, “Concrete,” of this manual for details about concrete production.
When shotcrete is to be used, review Section 4-53, “Shotcrete,” of this manual.
Check the area to be protected to ensure that the required expansion joints are in place.
Review the plans for the location and number of weep holes. Decide whether an
adequate number has been provided for the particular installation. If necessary, order
additional weep holes.
Ensure that the contractor performs concrete finishing as specified and that the slope
paving is cured by one of the specified methods.
4-7203E Broken-Concrete Slope Protection
Broken-concrete slope protection consists of placing broken concrete from job site
locations identified within the contract.
Before placement of the broken concrete, inspect the material and be sure the
reinforcement has been removed flush to the surface of concrete.
The method for placing rock will either be Method A or Method B, whichever the
contract designates, as discussed in Section 4-7203A, “Rock Slope Protection,” of this
manual.
4-7203F Slope Paving
Slope paving is a broader term that covers a variety of methods for paving slopes,
including colored slope paving, exposed aggregate slope paving, and slope paving with
concrete pavers. The plans will designate which type applies at each location.
Test panels may be specified in the special provisions.
For details about concrete production, review Section 4-90, “Concrete,” of this manual.
When shotcrete is to be used, review Section 4-53, “Shotcrete,” of this manual.
When specified, ensure coloring is added to the concrete.
Ensure the timber spacers are of the required material and spaced as planned.
Observe construction to ensure the contractor does the placing, finishing, and curing as
specified.
When exposed aggregate slope paving is specified, ensure any concrete set retarders
are used in accordance with manufacturer instructions.
When slope paving with concrete pavers is specified, ensure the special provision
requirements are met.
4-7203G Gabions
The gabion method consists of placing wire mesh box-shaped baskets filled onsite with
hard, durable rocks. The gabions are placed on filter fabric as detailed in the plans and
specifications.
At the start of gabion placement, require the contractor to verify the minimum unit
weight of the gabions to ensure it meets specifications. If you have any questions about
the consistency of the gabions, you may also order the unit weight to be verified during
the course of the work.

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4-72.4 Slope Protection
4-7204 Level of Inspection 4-7204
Suggested levels of inspection for slope protection activities are: Level of Inspection
• Benchmark inspection of sampling and testing of rocks.
• Intermittent inspection of placement of slope protection, slope paving, and fabric
operations.
4-7205 Quality Control 4-7205
Ensure the contractor is actively performing quality control on placing slope protection Quality Control
and slope paving throughout the operations.
Review contractor’s verification of unit weight of rock-filled gabions.
4-7206 Payment 4-7206
For measurement and payment, do the following: Payment
• When slope protection is paid by weight, refer to the discussion of weighing and
metering procedures in Section 3-902E, “Weighing Equipment and Procedures,”
of this manual.
• When slope protection is paid by volume, review the plans and quantity
calculations in the resident engineer’s file to determine if there is sufficient detail
and accuracy to be used in the project records.
• For measuring concrete or shotcrete, refer to Sections 4-90, “Concrete,” or 4-53,
“Shotcrete,” of this manual.

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Slope Protection 4-72.5
Chapter 4 Construction Details
Section 73
Section 73 Concrete Curbs and Sidewalks Concrete Curbs
and Sidewalks

4-7301 General 4-7301

This section provides guidelines for inspecting concrete curbs, sidewalks, and their General
appurtenances, such as gutter depressions, island paving, curb ramps, and driveways.
For specifications about the construction of concrete curbs and sidewalks, refer to
Section 73, “Concrete Curbs and Sidewalks,” of the Standard Specifications.
For information on the production and transportation of concrete, refer to Section 4-90,
“Concrete,” of this manual.
4-7302 Before Work Begins 4-7302
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 A87A, A88A, and A88B of the Standard Plans.
• Before constructing any curbs, gutters, or sidewalks other than those shown on the
plans, review the Highway Design Manual to determine the policy. Note that
Design Information Bulletin (DIB) 82, “Pedestrian Accessibility Guidelines for
Highway Projects,” includes Americans with Disabilities Act (ADA) design
guidance on these facilities. Ensure curbs, gutters, or sidewalks:
1. Conform to the current policy of replacing existing facilities.
2. Comply with agreements such as Maintenance Agreements.
3. Provide proper drainage.
• During the preconstruction conference, include a discussion on temporary and
permanent pedestrian access facilities such as sidewalks and curb ramps, stressing
contract compliance of these features (such as dimensioning, slopes) to ensure
conformance with ADA design and legal requirements. Discuss the importance for
contractor quality control on construction operations for these elements during
forming and concrete placement operations to ensure compliance. Note that the
contractor is required to check forms prior to placing concrete to ensure
dimensioning and slope requirements will be met. Remind the contractor that
failure to achieve compliance will require corrective action or removal and
replacement, refer to Section 5-1.30, “Noncompliant and Unauthorized Work,” of
the Standard Specifications.
• Discuss the construction operation with the contractor. Review any project-specific
traffic handling plans. Determine whether the contractor has considered the
public’s convenience, a consideration required by Section 7-1.03, “Public
Convenience,” of the Standard Specifications and by applicable sections of the
special provisions. For information on public convenience, refer to Section 3-

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Concrete Curbs and Sidewalks 4-73.1
 702A, “Convenience of the Public and Public Traffic,” of this manual. Advise the
contractor of any necessary modifications to the operation.
• Discuss survey staking requests with the district Survey Unit, including the
positional accuracy of stakes necessary to construct these facilities and any special
staking needs. Make a general check of the layout as staked, including the location
of gutter depressions, curb ramps, and driveways. Also review the stakes for
accuracy. Ensure grades will accommodate finished slope requirements. If layout
and grades will not meet requirements, process a change order to correct the
problem in consultation with the designer and district ADA engineer as needed to
ensure ADA compliance.
• Where the contract includes a preconstruction and post-construction survey bid
item, ensure the contractor’s licensed preconstruction survey has been completed
and that no conflicts in achieving design dimensioning and slope requirements
have been identified. If layout or grades will not meet requirements, process a
change order to correct the problem in consultation with the designer and district
ADA engineer as needed to ensure ADA compliance.
• Ensure that an approved gradation 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.
2. The foundation has been watered and compacted. When the subgrade is
constructed in a structural layer, the compaction required in such a layer
usually applies. When the subgrade is original ground outside of those areas
where 95 percent compaction is required, no specific compaction value is
required; however, to obtain a stable foundation, a watering and compacting
operation is required. Unless the contractor chooses to allow soft or spongy
areas to dry before placing concrete, order their removal.
3. The subgrade is wet immediately before placing concrete.
• Ensure the contractor has implemented appropriate best management practices for
washing out concrete mixer trucks.

4-7303 4-7303 During the Course of Work

During the Course of Once work begins, take these steps:
Work
• Examine the forms to ensure the following:
1. They are smooth on the side next to the concrete.
2. They have a true, smooth upper edge.
3. They are rigid enough to withstand the pressure of fresh concrete without
distortion. Order the replacement of forms that will not produce an end
product within specified tolerances.

California Department of Transportation  Construction Manual  July 2017

4-73.2 Concrete Curbs and Sidewalks
 4. They are coated with form oil as specified.
5. They have the specified full depth.
6. They are placed to the lines and grades shown on the control stakes. Also,
ensure the adjustment of any unsightly changes in vertical or horizontal
alignment. Adjustment from staked grades is sometimes necessary near joints
with existing curbs or sidewalks provided dimensions and slope requirements
are achieved. In some limited instances, constraints may prevent strict
compliance in the conforming area for example, areas joining new curb ramp
landings to existing sidewalks. In these instances, the conforming area is to
meet ADA requirements to the extent practicable within the scope of the
project.
• Ensure that gutters will drain. When new curbs are to be joined with existing
facilities, check the existing elevations against the planned grades.
• Ensure that curb and sidewalk construction conforms to any construction staging
specified in the contract.
• Finished appearance is important and is noticeable by the public. Existing edges of
pavement and sidewalks or existing pavement surfaces should not be used directly
to establish a grade line for curbs.
• Ensure that all dowels and reinforcements are in place.
• In fixed-form construction, the contractor may choose to use anchor bolts instead
of dowels. When the bolts are equivalent to the dowels, approve the use of the
bolts.
• Ensure joints are sawed as specified.
• For extruded-form construction, the contractor may choose to use an adhesive
instead of dowels. When this option is chosen, ensure the contractor cleans the
pavement as specified and uses the required adhesive. Inspect the slipform
machine to ensure it meets specifications.
• Ensure the contractor does not place concrete on frozen or ice-coated material.
• Inspect the placement of weakened plane and expansion joints to ensure they are
constructed as specified.
• During the placement of minor concrete, check temperatures, mixing time, elapsed
time, number of revolutions, and penetration. Ensure that weighmaster certificates,
with the required information, are delivered with each load of minor concrete.
• Observe concrete as it is placed. In the daily report, record the reasons for rejecting
any concrete and the approximate amount rejected. Ensure the contractor does not
allow concrete to segregate while being placed and being compacted in the forms.
Stop the operation if the concrete requires patching with grout or mortar. Insist the
contractor correct the placing operation.
• Before the forms are removed, ensure the contractor uses the required 10-foot float
to finish the surface.
• Note whether the forms are being removed within the specified time limits. When
corrective measures are necessary, advise the contractor, and note such advice in
the daily report.

California Department of Transportation  Construction Manual  July 2017

Concrete Curbs and Sidewalks 4-73.3
 • Ensure the curing complies with one of the specified methods.
• Ensure the contractor protects the concrete after placement according to the
specifications.
• Ensure detectable warning surfaces are on the Authorized Material List and
comply with required color. Ensure prefabricated detectable warning surfaces are
installed according to manufacturer recommendations and obtain the 5-year
manufacturer warranty of replacement for defects.
• Ensure the finishing meets specifications and measure the finished product to
ensure it conforms to contract requirements for slope and dimensions.
• Ensure the contractor complies with temporary pedestrian facility requirements
under Sections 7-1.02A, “General”; 7-1.04, “Public Safety”; 12, “Temporary
Traffic Control”; and 16-2.02 “Temporary Pedestrian Facilities,” of the Standard
Specifications. Also, refer to Section 2-216D, “Temporary Facilities,” of this
manual for additional guidance.
• For slope checks of pedestrian facilities, use smart levels with a minimum sensor
accuracy of 0.1 degree for measuring slopes parallel and perpendicular to the
pedestrian travelled way. Ensure the smart level is calibrated in accordance with
the manufacturer’s recommendations prior to taking measurements. A 4-foot smart
level should be used on dimensions greater than 4 feet. Use a 2-foot smart level at
other locations. For each slope check, take three readings equally dispersed across
the surface to be measured. Do not average the readings. Record all slope
measurements to the nearest 0.1 percent. Due to smart level accuracies, measured
slopes may exceed maximum slopes by 0.2 percent for acceptance. Note that for
parallel travelled way slope checks on curved ramps, smart levels should not be
used for determining compliance and alternative means must be employed.
• For dimensional checks of pedestrian facilities, use a standard measuring tape. For
each dimensional check, take three readings equally dispersed across the surface to
be measured. Do not average the readings. Record reading to the nearest 1/8 inch.
Due to measuring tape accuracies, measured dimensions may be less than
minimum dimensions by 1/4 inch for acceptance.
• Record slope and dimensional checks of a pedestrian facility on an applicable
compliance inspection report (for example, Form CEM-3673C, “Curb Ramp
[Case A] Americans with Disabilities Act [ADA] Compliance Inspection
Report.”) or the plan’s construction detail.
• Where the contract includes a post-construction survey requirement, ensure the
contractor’s licensed post-construction survey has been completed and shown
dimensional and slope requirements have been achieved for the facility. Spot
check the contractor’s licensed post-construction survey for verification.
• File the completed documentation of pedestrian facilities in Category 46,
“Assistant Resident Engineer’s Daily Reports,” of the project records.
• In the event dimensions and or slopes of the completed pedestrian facilities are
noncompliant with contract requirements, contact the designer and district ADA
engineer to determine if ADA compliance has been achieved. Any noncompliant
work should be corrected or removed and replaced.

California Department of Transportation  Construction Manual  July 2017

4-73.4 Concrete Curbs and Sidewalks
• Payment, acceptance, and certification of completed elements should only occur
after verifying compliance.
• Contact the district ADA engineer in the event any of the project’s planned
pedestrian facilities are being considered for removal from the project’s scope of
work. The district ADA engineer helps manage the district’s ADA transition plan
and tracks delivery of pedestrian facilities.
• Complete your district’s construction ADA certification procedures for pedestrian
facilities prior to construction contract acceptance. Transmit the completed ADA
inspection reports to [email protected].
4-7304 Level of Inspection 4-7304
Suggested levels of inspection for typical concrete curbs and sidewalks work activities Level of
are: Inspection
• Benchmark inspection of layout once survey staking has been placed.
• Benchmark inspection of subgrade compaction and grades beneath the facilities to
be constructed.
• Benchmark inspection of forms for line and grade prior to concrete placement.
• Intermittent inspection of concrete placement operations.
• Intermittent inspection of completed facilities prior to payment and acceptance.
4-7305 Quality Control 4-7305
When the contract includes an item for preconstruction and post-construction surveys Quality Control
of a pedestrian facility such as a curb ramp, ensure the contractor’s surveys are
submitted under seal of a properly licensed individual.
Prior to concrete placement, ensure the contractor verifies that the finished surface of
the subgrade does not project into the concrete section.
Prior to concrete placement for sidewalks, gutter depressions, island paving, curb
ramps, and driveways, ensure the contractor verifies the forms and site constraints will
allow the required dimensioning and slopes shown in the contract documents.
When textured concrete or colored concrete surfaces are specified, ensure the
contractor constructs test panels under Section 51-1.01D(2)(c), “Test Panels,” of the
Standard Specifications.
4-7306 Payment 4-7306
Measure concrete curbs and sidewalks by the cubic yard from the dimensions shown Payment
on the plans or by longitudinal field measurement.
To determine pay quantities for curb when minor concrete is paid for by the cubic yard,
you may use the table for curb quantity factors (cubic yards/foot) in the Standard
Plans.

California Department of Transportation  Construction Manual  July 2017

Concrete Curbs and Sidewalks 4-73.5
Chapter 4 Construction Details
Section 74
Section 74 Pumping Equipment and Controls Pumping
Equipment and
Controls
4-7401 General 4-7401
Section 74, “Pumping Equipment and Controls” of the Standard Specifications General
includes specifications for furnishing and installing drainage pumping equipment and
pumping plant electrical equipment. For additional information regarding pumping
plant equipment, refer to Section 161, “Pumping Plants,” of the Bridge Construction
Records and Procedures manual:
http://www.dot.ca.gov/hq/esc/construction/manuals/
4-7402 Before Work Begins 4-7402
In accordance with Section 5-1.23, “Submittals,” Sections 74-1.01C(2), “Shop Before Work
Drawings,” and 74-1.01C(3), “Product Data,” of the Standard Specifications, the Begins
contractor must submit for review and approval shop drawings and a list of proposed
materials. Confirm that copies of certificates of compliance material specified in
Section 74-2.01C(3), “Certificates of Compliance,” have been submitted to Structure
Design, Documents Unit. Structure Design and Structure Construction have the
primary responsibility for reviewing and approving the shop drawings and materials
list.
4-7403 During the Course of Work 4-7403
During the work, take the following steps: During the Course
of Work
• Verify that the equipment and materials installed by the contractor are the same as
those approved on the materials list.
• Before the final acceptance of the work, the contractor must test the pumping plant
equipment. Notify Electrical, Mechanical, Water, and Wastewater Engineering of
the upcoming tests so representatives from the office may be present to witness the
testing.
• When the work nears completion and just before contract acceptance, coordinate
the transfer of electrical service to Caltrans.
• At the end of the project, deliver the required contractor-submitted maintenance
and operation manual to the district-designated maintenance personnel.
4-7404 Quality Control 4-7404
Ensure drainage pumps and electrical equipment have the specified certification. Quality Control
Witness operational test of the completed pump plant.
Verify compliance with the performance testing work plan during performance testing
and drainage pump final inspection.
Witness booster pump testing.

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Pumping Equipment and Controls 4-74.1
 Verify that field quality control, by a factory-authorized representative, is performed on
the pump controller.
Ensure compliance of training requirements as specified in Section 74-3.01D(5),
“Training,” of the Standard Specifications.
4-7405 4-7405 Payment
Payment For the basis of measurement and payment, refer to the appropriate sections of the
special provisions and Standard Specifications.

California Department of Transportation  Construction Manual  July 2017

4-74.2 Pumping Equipment and Controls
Chapter 4 Construction Details
Section 75
Section 75 Miscellaneous Metal Miscellaneous
Metal
4-7501 General 4-7501
This section provides guidelines for inspecting the installation of miscellaneous metal General
materials on the project. Miscellaneous metal materials include miscellaneous iron and
steel, miscellaneous bridge metal, and metal work for pumping plants.
For information about concrete anchorage devices and high-strength bolts, refer to
Structure Construction’s Bridge Construction Records and Procedures manual, Vol. 2,
in Sections 135, “Miscellaneous Construction Materials, and 170, “Structural Steel,”
respectively:
http://www.dot.ca.gov/hq/esc/construction/manuals/
4-7502 Before Work Begins 4-7502
Before the start of work, review the contract plans and note all the miscellaneous metal Before Work
materials to be installed on the project. Review these items sufficiently in advance to Begins
help prevent scheduling conflicts and errors in ordering materials. During the
preliminary review and inspections, the assistant resident engineer should also do the
following:
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes
miscellaneous metal materials. Refer to Section 6-202, “Responsibilities for
Acceptance of Manufactured or Fabricated Materials and Products” of this manual
for additional information.
• Refer to Section 6-1.04C, “Steel and Iron Materials,” of the Standard
Specifications, and Sections 3-604, “Buy America,” and 6-202, “Responsibilities
for Acceptance of Manufactured or Fabricated Materials and Products,” of this
manual, which cover the use of foreign steel and iron.
4-7503 During the Course of Work 4-7503
During work operations, the assistant resident engineer should do the following: During the Course
of Work
• Ensure that any welding of miscellaneous metal materials conforms to American
Welding Society D 1.1. Refer to Section 4-11, “Welding,” of this manual for
additional information.
• METS inspects miscellaneous iron and steel, and miscellaneous bridge metal at the
fabrication plant. When these miscellaneous metal items arrive at the job site,
verify that they have been inspected and released by METS. Refer to Section 6-2,
“Acceptance of Manufactured or Fabricated Materials and Products,” of this
manual for additional information.
• Ensure that pairs of frames and grates, and pairs of frames and covers, are match
marked.
• Ensure that any minor damage to galvanizing or coatings is repaired as specified in
Section 75-1.02B, “Galvanizing,” of the Standard Specifications.

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Miscellaneous Metal 4-75.1
 • Ensure that deck drains and other grating openings are covered until final cleanup
of the deck.
• Require testing of deck drains as specified.
4-7504 4-7504 Quality Control
Quality Control While specific levels of quality control sampling and testing for miscellaneous metal
are not included in Section 75 of the Standard Specifications, the contractor is
responsible for providing quality control under Section 5-1.01, “General,” and Section
11, “Welding,” of the Standard Specifications; and Section 6-2.02, “Quality Control,”
of the Standard Specifications.

4-7505 4-7505 Payment

Payment Require scale weights for miscellaneous metal materials that are paid by weight unless
quantities are designated as final pay quantities. Make the specified deductions when
materials are inspected or tested at the source, in accordance with Section 6-2.01E,
“Material Source Inspection and Testing,” of the Standard Specifications.

California Department of Transportation  Construction Manual  July 2017

4-75.2 Miscellaneous Metal
Chapter 4 Construction Details

Section 78 Incidental Construction

4-7801 General
4-7802 Before Work Begins
4-7802A Survey Monuments
4-7802B Miscellaneous Coatings
4-7802C Parking Bumpers
4-7802D Resetting and Relocating Mailboxes
4-7802E Obliterating Roads and Detours
4-7803 During the Course of Work
4-7803A Survey Monuments
4-7803B Miscellaneous Coatings
4-7803C Parking Bumpers
4-7803D Resetting and Relocating Mailboxes
4-7803E Obliterating Roads and Detours
4-7804 Level of Inspection
4-7805 Payment
4-7805A Survey Monuments
4-7805B Resetting and Relocating Mailboxes

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Incidental Construction 4-78.i
Chapter 4 Construction Details
Section 78
Section 78 Incidental Construction Incidental
Construction
4-7801 General 4-7801
This section provides guidelines for inspecting incidental bid items that are not closely General
associated with other items of work.
Section 78-4, “Miscellaneous Coatings,” of the Standard Specifications includes
requirements for applying miscellaneous coatings to new and existing installations. For
coating structural steel, refer to Section 59, “Structural Steel Coatings,” of the Standard
Specifications, and Section 4-59, “Structural Steel Coatings,” of this manual. Also refer
to Section 155, “Paint,” of Structure Construction’s Bridge Construction Records and
Procedures manual, Vol. 2, at:
http://www.dot.ca.gov/hq/esc/construction/manuals/
4-7802 Before Work Begins 4-7802
Before work begins, take the following steps: Before Work
Begins
4-7802A Survey Monuments
• Obtain the contractor’s written request for Department-furnished survey marker
disks. Refer to Section 3-602, “Department-Furnished Materials,” of this manual.
Check with the district unit responsible for ordering the disks to ensure they will be
available when the contractor requests them. Obtain a signed receipt from the
contractor when the disks are delivered. Retain a copy of the receipt in the project
file.
• Field inspect and release materials that are acceptable upon delivery of the materials
to the job site. Complete Form CEM-4102, “Material Inspected and Released on
Job.”
4-7802B Miscellaneous Coatings
• Review Sections 4-91, “Paint,” and 6-2, “Acceptance of Manufactured or Fabricated
Materials and Products,” of this manual. Ensure that the contractor submits coating
manufacturer’s product data and application instructions at least 7 days before use.
4-7802C Parking Bumpers
• Obtain product data for parking bumpers from the contractor before the material is
delivered to the job site.
• Visually inspect that the pavement is in good condition before placing the parking
bumpers. If necessary, issue a change order for repairs to the pavement.
4-7802D Resetting and Relocating Mailboxes
• Before starting construction activities, document the existing conditions and
locations of mailboxes and newspaper boxes. Count and record the number of
mailboxes and newspaper boxes to be reset or relocated.

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Incidental Construction 4-78.1
 4-7802E Obliterating Roads and Detours
• If payment for this work is by area, measure the surface area of roads and detours
before obliterating.
4-7803 4-7803 During the Course of Work
During the Course of During the work, do the following:
Work
4-7803A Survey Monuments
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 specifications.
If existing monuments are damaged, contact the district Surveys Unit to perform any
resetting.
4-7803B Miscellaneous Coatings
Verify that Materials Engineering and Testing Services has inspected and released the
paint to be used. Retrieve the “Inspection Release Tag” as the paint is delivered to the
site and match the paint to Form TL-0029, “Report of Inspection of Material.”
Ensure that surfaces have been prepared as the specifications require. If blast cleaning is
required for structural steel, ensure the contractor obtains the surface profiles as required
by Section 59-5.01D(4), “Quality Control,” of the Standard Specifications.
Allow application of paint only to thoroughly dry surfaces and only during periods of
favorable weather.
For structural steel, ensure that each application of paint and each coat of paint are of the
proper thickness. Frequently check difficult-to-reach areas for coverage.
4-7803C Parking Bumpers
Verify that parking bumpers are installed in accordance with the manufacturer’s
instructions.
4-7803D Resetting and Relocating 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.
Ensure the contractor maintains proper position and access to mailboxes.
Following are the procedures for mailboxes encountered on construction projects:
• If the mailbox is outside 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 the mailbox must be removed entirely, it must be turned over to the property
owner.

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4-78.2 Incidental Construction
• Where five or more mailboxes are concentrated at a single point, a stand on which
the property owners may place their mailboxes may be built at Caltrans’ expense.
This stand will prevent the unsightly appearance resulting from a group of posts of
various sizes, heights, and characters. The approach to the stand should be surfaced
sufficiently to make the stand accessible under all weather conditions.
4-7803E Obliterating Roads and Detours
The objective of the Standard Specifications requirements for obliterating roads and
detours is to ensure a well-drained, presentable area. You may allow the contractor the
option of removing oversize material in lieu of breaking it into the required size,
provided the objective is met and no other complications are involved. Update the
water pollution control plan to reflect the new conditions.
4-7804 Level of Inspection 4-7804
Suggested levels of inspection for incidental construction work activities are: Level of
Inspection
• Benchmark inspection for typical survey monument, parking bumper, resetting and
relocating mailboxes, and obliterating roads and detours work.
• Intermittent inspection for miscellaneous coatings work.
4-7805 Payment 4-7805
Be familiar with the payment clauses for incidental construction. Determine whether Payment
measurements must be taken before or during the work.
4-7805A Survey Monuments
Deduct costs for replacing monuments that are lost or damaged by the contractor’s
operations. Refer to Section 3-518, “Property and Facility Preservation,” of this manual.
4-7805B Resetting and Relocating Mailboxes
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 is change order work.

California Department of Transportation  Construction Manual  July 2017

Incidental Construction 4-78.3
Chapter 4 Construction Details

Section 80 Fences Section 80

Fences
4-8001 General 4-8001
This section describes the work for constructing barbed wire fence, wire mesh fence, General
and chain link fence. When a high-visibility temporary fence is specified, refer to
Section 16-2.03, “High-Visibility Fences,” of the Standard Specifications.
4-8002 Before Work Begins 4-8002
Review the plans, special provisions, and right-of-way agreements for any special Before Work
details. If it is necessary to revise, add, or delete fence on a contract, review the Begins
Highway Design Manual for the general policy on such actions and consult with the
project engineer. Also do the following:
• Do not move, add, or delete gates or openings without first consulting the design
project engineer, the maintenance engineer, and other interested parties. If federal
funds are involved, ensure the Federal Highway Administration (FHWA)
approves any changes.
• Be alert to the necessity of constructing fences to prevent livestock escaping from
adjacent properties. Refer to Section 80-15.02, “Reconstruct Fences,” of the
Standard Specifications.
• Compare the planned location with actual field conditions to ensure that fences,
gates, openings, and other fencing items will serve as intended.
• Fences should not obstruct flow in streams or drainage areas.
• Fences may be constructed on top of retaining walls and wing walls. Wherever this
type of construction is necessary, check the location of postholes, and ensure
provision is made for future post installation.
• Upon delivery of the materials to the job site, ensure that for chain link fences
certificates of compliance are submitted for protective coating system, posts, and
braces. All other fencing materials must be field inspected and released by the
engineer. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
• Arrange for necessary control staking when the contractor has submitted the
required survey request.
4-8003 During the Course of Work 4-8003
During work operations, take the following steps: During the Course
of Work
• Ensure that the areas where fence is to be placed have been graded and high points
that may interfere with the placement of wire or mesh have been leveled.
However, do not permit indiscriminate clearing where clearing and grubbing is
restricted to the slope line.

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Fences 4-80.1
 • Observe the placing of fence posts. Also, measure the spacing of posts and
measure the depth of holes to ensure placement to proper depths. Note such
measurements in the daily report. Spacing should not exceed the spacing specified
or shown on the plans.
• Observe the placement of corner posts and pull posts to ensure they are placed at
required locations and according to specified details. Also, ensure that the proper
type and number of brace posts and diagonal wires are used. The configuration of
the brace posts depends on the distance between the corner post and the next
corner, end, or pull post.
• Decide on which side of the posts the contractor should place fabric when the side
is not specified. For barbed wire and wire mesh fence, the barbed wire or wire
mesh is placed on the property 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.
4-8004 4-8004 Level of Inspection
Level of Inspection Suggested levels of inspection for typical fence and gate work activities are:
• Benchmark inspection of graded area prior to placing fence
• Intermittent inspection during placement of fence posts
• Benchmark inspection of alignment according to plans
• Benchmark inspection of completed sections of fence and gate
4-8005 4-8005 Quality Control
Quality Control While specific levels of quality control sampling and testing for fences are not included
in Section 80, “Fences,” of the Standard Specifications, the contractor is responsible
for providing quality control under Sections 5-1.01, “General,” and 6-2.02, “Quality
Control,” of the Standard Specifications.
4-8006 4-8006 Payment
Payment Keep records and make measurements of fence and gate construction sufficient to
support both partial and final payment. Pay only for completed lengths and number of
units, except withhold for incidental work as covered in Section 3-906A, “Bid Items,”
of this manual.
Consider using a tracking system to help prevent duplication or omissions of quantities.

California Department of Transportation  Construction Manual  July 2017

4-80.2 Fences
Chapter 4 Construction Details

Section 81 Miscellaneous Traffic Control Devices

4-8101 General
4-8102 Before Work Begins
4-8102A Delineators
4-8102B Pavement Markers
4-8103 During the Course of Work
4-8103A Delineators
4-8103B Pavement Markers
4-8103B (1) Hot Melt Bituminous Adhesive
4-8103B (2) Epoxy Adhesive
4-8103B (3) Pavement Recesses
4-8103C Existing Pavement Markers and Delineators
4-8104 Level of Inspection
4-8105 Quality Control
4-8106 Payment
4-8106A Delineators
4-8106B Pavement Markers
4-8106C Existing Facilities

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Miscellaneous Traffic Control Devices 4-81.i
Chapter 4 Construction Details
Section 81
Section 81 Miscellaneous Traffic Control Devices Miscellaneous
Traffic Control
Devices

4-8101 General 4-8101

This section describes the work for installing and placing miscellaneous traffic control General
devices, which include delineators and pavement markers.
Delineators are reflective devices installed in a series at the side of the roadway to
indicate the roadway alignment. A delineator consists of a post and two target plates.
Pavement markers may be retroreflective, nonreflective, and retroreflective-recessed.
When allowed, pavement markers may be placed using a moving lane closure to
control traffic.
4-8102 Before Work Begins 4-8102
Before work begins, take the following steps: Before Work
Begins
• Refer to the “Pavement Markers and Traffic Lines, Typical Details” sheets of the
Standard Plans for details about placing pavement markers.
• Refer to Section 95, “Epoxy,” of the Standard Specifications for epoxy adhesive
specifications.
• 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.
• Order and obtain the Department-furnished material identified in the
specifications.
• Verify that delineators, pavement markers, and adhesive material are listed on
Form CEM-3101, “Notice of Materials to Be Used.”
• Refer to Section 6-202, “Responsibilities for Acceptance of Manufactured or
Fabricated Materials and Products,” of this manual for additional information.
4-8102A Delineators
Review the delineator list shown on the plans, and inform the contractor of any
changes, preferably before material is ordered. The California Manual of Uniform
Traffic Control Devices (California MUTCD), Part 3, provides design details for
delineators.
4-8102B Pavement Markers
• 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.

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Miscellaneous Traffic Control Devices 4-81.1
 • 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.
4-8103 4-8103 During the Course of Work
During the Course of During the work, take the steps listed within each of the three areas below.
Work
4-8103A Delineators
• Ensure that the contractor provides and installs delineators at locations shown on
the plans or where directed by you.
• Inspect the materials and method of installation according to the specifications.
• 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 that the contractor follows the method of placement specified.
• During the installation of target plates, check that the contractor has used washers
and installed nuts and rivets properly.
• After installation, check for any damage to the installed material; document any
rejections.
• Check posts for damage during the driving process. If ground conditions are such
that the post cannot be driven without being damaged, ensure the contractor drills
pilot holes.
• After the post is set, verify that any space around it is filled with rock-free earth
and that it holds the post securely in position.
• Before contract acceptance, verify that any exposed areas where the paint is
damaged are spot-painted and that any exposed areas that are soiled are cleaned.
4-8103B Pavement Markers
• Ensure that the contractor furnishes and places pavement markers at locations
shown on the plans or where directed by you.
• Before placement of pavement markers, ensure that pavement has cured for the
specified time.
• Before the contractor applies adhesives, ensure that the pavement is clean and the
surface is dry.
• Check pavement and air temperatures.
• Verify that markers are placed using the correct adhesive.
• Only allow the use of a flexible bituminous adhesive for placement of pavement
markers in pavement recesses.
• Do not allow the use of epoxy adhesive for placement of plastic nonreflective
pavement markers.

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4-81.2 Miscellaneous Traffic Control Devices
• Determine that the contractor meets the time requirements between mixing
adhesive and placing pavement markers.
• Check the contractor’s layout work to ensure correct alignment and spacing.
• Determine that the patterns and types of pavement markers are placed correctly in
accordance with the typical details on the plans. Verify that retroreflective
pavement markers are placed such that each retroreflective face is perpendicular to
a line parallel to the roadway centerline.
• After placement, determine that the pavement markers are not on longitudinal or
transverse joints and that they are fully supported with adhesive.
• 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.
• Determine when the adhesive has set long enough for newly installed pavement
markers to bear traffic.
4-8103B (1) Hot Melt Bituminous Adhesive
• If using hot melt bituminous adhesive for placement of pavement markers on
asphalt concrete or a new seal coat, verify that the surface or seal coat has been
open to traffic for at least 7 days.
• Verify that the application temperature of bituminous adhesive is within the
specified range.
• Ensure that the contractor removes any adhesive from the marker’s exposed lenses
using a soft rag moistened with the manufacturer’s instructed solvent.
4-8103B (2) Epoxy Adhesive
• If epoxy adhesive is used for placement of pavement markers on asphalt concrete
or a new seal coat, verify that the surface or seal coat has been open to public
traffic for at least 14 days and the pavement and ambient air temperatures comply
with the epoxy adhesive manufacturer’s instructions.
• Ensure that the contractor uses automatic mixing equipment for the application of
epoxy adhesive.
• When the contractor uses epoxy adhesive, which comes in two separate
components, check the mixing for specification compliance. Ensure that the
proportions of the two components match the specifications. During the placing of
pavement markers, observe the epoxy adhesive to ensure that 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.
4-8103B (3) Pavement Recesses
• Do not allow construction of recesses on existing structures.
• Ensure that the contractor removes residue with a vacuum before it is blown by
traffic or wind.

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Miscellaneous Traffic Control Devices 4-81.3
 4-8103C Existing Pavement Markers and Delineators
• Ensure that work performed on existing pavement markers and delineators
complies with Section 81-8, “Existing Pavement Markers and Delineators” of the
Standard Specifications.
• 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.
4-8104 4-8104 Level of Inspection
Level of Inspection
Suggested levels of inspection for typical stabilization work activities are:
• Intermittent inspection of epoxy adhesive mixing. At the start of each work shift,
ensure the contractor checks the mixed epoxy adhesive ratio of the two
components in your presence.
• Intermittent inspection of placing delineators and pavement markers.
4-8105 4-8105 Quality Control
Quality Control Verify that delineators and pavement markers listed in Form CEM-3101 are on the
Authorized Material List for signing and delineation at:
http://www.dot.ca.gov/hq/esc/approved_products_list/
Collect the certificates of compliance for the materials and verify that materials are
from the manufacturer listed in the approved Form CEM-3101.
4-8106 4-8106 Payment
Payment
4-8106A Delineators
Count delineators and record the counts to support partial and final payments.
4-8106B Pavement Markers
Measure the pavement markers according to the units specified. Record the
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 marker boxes used. Check this number against the
theoretical number of markers to be placed.
4-8106C Existing Facilities
Familiarize yourself with the measurement and payment clauses for existing facilities
to be removed. Determine whether the necessary measurements must be taken before
or during removal.

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4-81.4 Miscellaneous Traffic Control Devices
Chapter 4 Construction Details

Section 82 Signs and Markers

4-8201 General
4-8202 Before Work Begins
4-8202A Sign Panels
4-8202B Roadside Signs
4-8202C Markers
4-8202D Existing Roadside Signs and Markers
4-8203 During the Course of Work
4-8203A Sign Panels
4-8203B Roadside Signs
4-8203C Markers
4-8203D Existing Roadside Signs and Markers
4-8204 Level of Inspection
4-8205 Quality Control
4-8206 Payment

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Signs and Markers 4-82.i
Chapter 4 Construction Details

Section 82 Signs and Markers Section 82

Signs and Markers
4-8201 General 4-8201
This section describes the work for providing and installing sign panels, roadside signs, General
sign overlays and markers; and work on existing roadside signs and markers at the
locations shown on the plans or as directed by the resident engineer. Markers, except
highway post markers, are used to mark obstructions within or adjacent to the roadbed,
including paved shoulders.
4-8202 Before Work Begins 4-8202
Before work begins, take the following steps: Before Work
•
Begins
Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes markers,
sign panels, roadside sign posts, and sign overlays. Retroreflective sheeting
(including reflectors for markers), and fiberglass-reinforced plastic panel and
markers listed on Form CEM-3101 must be on the Authorized Material List for
signing and delineation materials. Refer to Section 6-202, “Responsibilities for
Acceptance of Manufactured or Fabricated Materials and Products,” of this
manual for additional information.
• Review the contract for any requirements for materials furnished by Caltrans.
Ensure furnished markers and sign materials have been ordered and will be ready
for timely delivery. Inspect and inventory all Department-furnished materials to
confirm they are delivered in good condition. After delivery, the contractor is
responsible for any damage to Department-furnished materials.
4-8202A Sign Panels
Request a certificate of compliance for:
1. Aluminum sheeting.
2. Retroreflective sheeting.
3. Screened-process colors.
4. Nonreflective, opaque, black film.
5. Protective-overlay film.
Obtain and review as-built drawings for the structures requiring modified sign panels.
Inspect signs as they are delivered to the job site. Reject formed panel signs with holes
that are slanted or incorrectly spaced. Reject damaged signs, defective signs, and signs
with spelling errors.
4-8202B Roadside Signs
Review the plans and specifications to determine the types of signs to be installed and
any special requirements included in the contract.

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 4-8202C Markers
Review the marker list shown on the plans, and inform the contractor of any changes,
preferably before material is ordered or information is stenciled on the markers. The
California Manual on Uniform Traffic Control Devices, Chapter 3, provides design
details for markers.
Request a certificate of compliance for:
1. Metal target plates.
2. Enamel coating.
3. Retroreflective sheeting.
Examine markers and retroreflective sheeting to ensure they meet specification. Verify
that they match the materials shown on Form CEM-3101.
If post mile values are not shown on the plans, provide the contractor with a list of post
mile values to be stenciled on highway post markers.
4-8202D Existing Roadside Signs and Markers
Review Section 15 of the Standard Specifications.
Inspect existing roadside signs that are to be reset or relocated. If their condition has
deteriorated sufficiently to prevent planned use, write a change order to provide for
new materials. Inspect existing frames where new sign panels are to be installed.
Document existing conditions with photographs or video.

4-8203 4-8203 During the Course of Work

During the Course of
4-8203A Sign Panels
Work
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.
Inspect sign panels for compliance with specified workmanship. Ensure sign panels are
not chipped or bent.
Inspect signs after placement and notify the contractor to immediately replace sign
panels exhibiting damage or flaws, including sheeting splices or a significant color
difference between daytime and nighttime.
Ensure sign panels over lanes and lane arrows are correctly centered over the
appropriate lanes.
4-8203B Roadside Signs
Review the location of postholes to ensure that the signs have the correct horizontal
clearance and will not be obstructed by other objects or protrude into pedestrian
facilities. Verify holes are excavated to the full depth and backfilled as specified.
Ensure the minimum vertical clearances to the bottom of the sign panels are as required
by the Standard Plans.
Verify that wood posts have breakaway saw cuts and holes.
If posts are cut or drilled in the field, ensure the contractor treats the exposed areas with
a preservative.

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4-82.2 Signs and Markers
Verify the contractor treats wood block spacers with a preservative.
Ensure signs are attached to the posts according to the specifications.
Contact the district Traffic Unit for assistance with field review of sign staking and day
and night observation of completed signage. Document any assistance received and
changes made in the daily report.
4-8203C Markers
Inspect posts for damage during placement.
Ensure target plates and markers are installed after posts are set in place.
Verify letters and numerals on highway post markers are according to the
specifications.
Inspect finished metal target plates for dents or defects. The maximum edge-to-edge
surface deviation from a horizontal plane must not exceed 1/8 inch. Ensure all exposed
areas are clean, and areas where the paint is damaged are spot painted.
4-8203D Existing Roadside Signs and Markers
Ensure the contractor protects all existing facilities that are to remain in place,
temporarily or permanently, whether described in the contract or not. When existing
facilities are damaged as a result of the contractor’s operations, the contractor is
responsible for repair or replacement. Caltrans is responsible for repair or replacement
of existing facilities that are damaged by public traffic.
Ensure existing signs are not removed until the replacement signs are installed or when
the existing signs are no longer needed.
4-8204 Level of Inspection 4-8204
Suggested levels of inspection for signs and markers are: Level of Inspection
• Benchmark inspection of damaged or defective sign panels and markers when
delivered to the job site and after installation.
• Intermittent inspection of installation of sign panels, roadside signs, and markers.
• Intermittent inspection of sign and marker posts.
4-8205 Quality Control 4-8205
Obtain the contractor’s quality control plan for fabricating signs that details the Quality Control
materials and methods that the sign manufacturer will use to ensure the quality of the
work. Coordinate with METS for review of the quality control plan and the
requirement for test samples.
4-8206 Payment 4-8206
For details of measurement and payment, review contract specifications. Make any Payment
necessary measurements and counts.
Refer to Section 6-2.01E, “Material Source Inspection and Testing,” of the Standard
Specifications, for information about standard deductions taken for Caltrans doing
inspection or testing at material sources.

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Signs and Markers 4-82.3
Chapter 4 Construction Details

Section 83 Railings and Barriers

4-8301 General
4-8302 Before Work Begins
4-8302A Metal Beam Guard Railing, Thrie Beam Barrier, and Midwest Guardrail System
4-8302B Concrete Barriers
4-8303 During the Course of Work
4-8303A Metal Beam Guard Railing, Thrie Beam Barrier, and Midwest Guardrail System
4-8303B Guardrail End Terminals Inspection
4-8303C Pipe Handrailing, Steel Bridge Railing, Cable Railing, Metal Railing (Tubular), and
Chain Link Railing
4-8303D Concrete Barriers and Railing
4-8304 Level of Inspection
4-8305 Quality Control
4-8306 Payment

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Railings and Barriers 4-83.i
Chapter 4 Construction Details
Section 83
Section 83 Railings and Barriers Railings and
Barriers
4-8301 General 4-8301
Railings and barriers are used to reduce the severity of run-off-the-road accidents, to General
prevent out-of-control vehicles from crossing the median, and to slow 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:
http://www.dot.ca.gov/trafficops/safety-devices/tm-ch7.html
The following paragraphs discuss some of the details considered during design and
construction. The details center on metal beam guard railing but can be applied to other
types of railings and barriers. The district traffic safety device coordinator should be
consulted if questions arise or changes are needed.
The design of guardrail contains many subtle details, the basis for which may not be
readily apparent. Pay special attention to all connection details.
Guardrail must be anchored at both ends, in the same way a railing of rope would need
to be anchored to function properly. Guardrail is normally anchored with a terminal
system, an end anchor, such as a steel foundation tube or a buried post end anchor, or
anchored to a structure using a transition detail.
Crash testing shows that the specified height of 30 to 32 inches for Midwest Guardrail
System (MGS) is the optimal height to prevent errant vehicles from climbing over the
guardrail. Spacing posts 6 feet 3 inches apart provides resistance to guardrail deflection
on impact and lessens the tendency of the guardrail to form a pocket during impact.
If there is less than 4 feet, but at least 3 feet of clearance from the face of the guardrail
to a fixed object, the strengthened rail section shown in the Standard Plans should be
used. This detail uses a combination of longer, heavier posts and closer post spacing to
stiffen the rail gradually to reduce the deflection of an impact. If there is less than 3 feet
of clearance, concrete guardrail should be considered.
A block attached to the post adds space between the rail element and the post. As a
result, the guardrail is farther from the post and decreases the possibility of a vehicle
snagging on the post. 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 to wood posts prevents this rotation.
Plastic blocks used with steel posts have tabs that don’t allow the block to rotate and
are not nailed.
Do not allow use of washers on the rail face unless otherwise shown. Without washers,
bolts will pull through the rail element if a vehicle strikes, releasing the rail from the
post, and allowing the rail to remain elevated as the post is pushed over.

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Railings and Barriers 4-83.1
 Do not allow holes to be drilled in the rail elements in the field unless shown on the
plans.
The Standard Plans show how to transition from metal beam guardrail to concrete
guardrail or bridge rail, and have a thrie beam element on the nontraffic side of the
transition posts. The metal box spacer on the nontraffic side of the transition is used to
match the width of the barrier to the width of the transition.
Transitions to bridge rail generally have nested thrie beam elements, one thicker 10-
gauge under a thinner 12-gauge element. The difference in thickness can be seen when
side by side or when calipers are used to check the thickness.
Frequently, when guardrail ends within the clear recovery zone, the plans and special
provisions specify use of a proprietary end terminal system. The allowable alternatives
are shown in the project special provisions. When the terminal system is required,
ensure the system is installed in accordance with the manufacturer’s instructions.
Ensure the contractor submits a certificate of compliance.

4-8302 4-8302 Before Work Begins

Before Work Begins Before work begins, take the following steps:
• Carefully review the required details, and ensure that construction conforms to
them. Review the locations in the field and decide whether changes are necessary.
Contact the district traffic safety device coordinator and the design project engineer
to concur with any changes.
• Verify the receipt and proper distribution of form CEM-3101, “Notice of Materials
to be Used,” which lists all fabricated materials. Examine the material as it arrives
on the project to ensure that it meets specifications. Refer to Table 6-2.1,
“Inspection of Fabricated and Manufactured Materials,” of this manual.
• Look for the identification tags or markings that indicate Materials Engineering
and Testing Services (METS) inspected the materials. If the materials are properly
identified as inspected, project personnel do not need the certificates of compliance
or mill test reports. Normally, the METS inspector will have obtained these
documents.
• Ensure that markers and delineators for railings and barriers are the correct type
and are covered by a certificate of compliance in accordance with the section titled
“Prequalified and Tested Signing and Delineation Materials” in the special
provisions. Refer to the Authorized Material List for signing and delineation
materials:
http://www.dot.ca.gov/hq/esc/approved_products_list/
4-8302A Metal Beam Guard Railing, Thrie Beam Barrier, and Midwest Guardrail
System
• If drainage inlets or other underground obstructions conflict with the planned
locations for guardrail posts, consider using long-span MGS to omit as many as
three guardrail posts. This design uses breakaway posts on either side of the
omitted posts to minimize pocketing of the rail. This design should not be used at
fixed objects because it allows greater deflections of the rail. Refer to Chapter 7-
03.6, “Guardrail Design Considerations,” and Figure 7-10a, “Long Span MGS,” of
the Traffic Manual. If using metal beam guard railing, refer to Figure 7-10b, “Long
Span Nested Guardrail,” of the Traffic Manual. Consult with the district traffic

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4-83.2 Railings and Barriers
 engineer for information. If the contract does not provide for long-span MGS or
nested guardrail, a change order will be necessary.
• Review the contractor’s stakes and layout work. Ascertain that offsets and flares
for guardrail will be installed as shown on the plans.
• When connections to structures are required, coordinate with the Structures
representative and Structure Construction for the review of shop plans for metal
railing on structures.
4-8302B Concrete Barriers
• Ensure that all concrete mix designs have been approved before use.
• To avoid possible conflicts, verify scupper, side drain, pull box, and conduit
locations.
4-8303 During the Course of Work 4-8303
Once work begins, take the steps below for each type of railing and barrier. During the Course
of Work
4-8303A Metal Beam Guard Railing, Thrie Beam Barrier, and Midwest Guardrail
System
• Measure all post types at the job site to ensure that they conform to specifications.
• When required, ensure that bolt holes in treated posts are filled with grease. Note
this inspection in the daily report.
• Ensure that the backfilling of postholes conforms to specifications. Posts should be
set to the full depth shown on the plans. When spread footings or other
underground obstructions interfere with placing at full depth, refer to the Traffic
Manual and the district traffic safety device coordinator for alternatives.
• Periodically measure the spacing of posts. The slots manufactured into the rail are
spaced for standard spacing. Do not allow additional holes or slots to be cut in the
rail at the job site. If a post must be moved to a location that does not have a slot,
bolt only the block to the post, not the rail to the block.
• Ensure that wood blocks for metal beam guard railing are toenailed to timber
posts. Wood blocks for steel posts are routered to set into the post to prevent
rotation and do not require nails.
• Ensure that rail elements are lapped so that the exposed ends will not face
approaching traffic. Check bolts for tightness, and check threaded rods for proper
trimming. A light tap on the rail element with a hammer or wrench will reveal
loose bolts, which will rattle or buzz as the rail is tapped.
• Measure the height of the guardrail and barrier above the ground or finished grade
to ensure that the height conforms to the plans.
• Ensure that connections to bridge railings, retaining walls, abutments, or other flat
surfaces comply with specifications. When high-strength bolts are required, check
markings on the bolts to ensure that they match specifications. When necessary,
consult with district laboratory personnel about the proper markings.
• Ensure that anchor assemblies are constructed as specified and the cable clips
installed in the proper direction and tightened to the required torque. When a
sample cable is required for testing, the METS inspector will normally have

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Railings and Barriers 4-83.3
 obtained one with swaged fitting. If cable is properly identified as previously
inspected, there is no need to obtain a sample.
• When posts are installed in loose soil or near embankment edges, longer posts or
some design modifications may be necessary to ensure a barrier with adequate
strength. Refer to Sheet A77N3 in the Standard Plans. If longer posts are not
specified for the project, a change order will be needed.
• 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.
• All anchor cables, including end anchors and terminal systems, must be tight to
function properly. Cables should not be able to deflect more than 1 inch when
pulled on by hand.
• Ensure that the contractor properly disposes of surplus material from excavation.
Refer to Section 3-510B, “Contractor-Property Owner Agreement,” of this
manual. When traffic uses an adjacent lane, prohibit spoil piles or windrows of
material from remaining in front of guardrail or median barriers. Such material
alters the effective height of the railings and barriers. Also be sure that the disposal
of material does not interfere with proper drainage.
• Ensure that asphalt concrete dikes are positioned under the guardrail as shown on
the plans. Only 2-inch dike (Type C) is allowed in front of or 25 feet in advance of
a terminal system.
• Bolts or threaded rods must be long enough so the nuts are completely threaded
onto the bolt. Ensure that no more than 1/2 inch of thread is exposed on the traffic
side of the guardrail as shown on the plans.
• Ensure that the construction of guardrail flares conforms to the plans. Maximum
flare for metal beam guardrail and thrie beam guardrail is 15:1. Concrete guardrail
cannot be flared at greater than 20:1.
• Longer posts may be needed if there is not enough distance from the post to the
hinge point (check Standard Plan A77N3). If posts longer than the standard 6-foot
length are installed, identify their location and record in the project records.
Incorporate this information into the as-built drawings if different from shown.
• Any post not in a terminal or transition can be moved 1 foot in either direction
along the guardrail to avoid an underground obstacle. If a post is moved and there
is not a slot to bolt the rail to the post, do not drill a hole, just bolt the block to the
post without going through the railing.
• There are other options for omitting or moving posts to avoid obstacles, such as
adding posts, as long as the maximum spacing of 6 feet 3 inches is maintained.
Also, two blocks can be used on a post or series of posts to space the post farther
from an obstacle.
• Metal beam guard railing and MGS can use either 8-inch or 12-inch blocks. The
project plans will specify which is to be used.
• When there is a grade break in front of guardrail, measure the height of guardrail
based on the distance from grade break to adjust for trajectory. Extend the
superelevation plane from the grade break to the face of rail and then measure the

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4-83.4 Railings and Barriers
 height to that line if within 2 feet of the grade break. If the height of the rail must
be more than 2 inches above the standard height, rub rail may be required. Contact
your district safety devices coordinator if you have any questions.
• Grading must be completed before guardrail installation begins.
4-8303B Guardrail End Terminals Inspection
Conduct the following steps before and during the installation of in-line and flared end
terminals:
• Prior to the beginning of work, the specifications require the contractor to submit a
certificate of compliance for each type of end terminal to be installed.
• Before installation begins, identify the location shown for the terminal and verify
the grading is adequate for the type of terminal to be installed. Verify that the
layout shown on the plans will fit the actual field conditions. Identify any drainage
features, dikes, or utilities that may interfere with the guardrail, terminal alignment,
or post spacing. Post spacing within a terminal cannot be changed from that shown
in the manufacturer’s manual and drawing. Contact the district traffic safety device
coordinator if changes are needed. The length or alignment of guardrail ahead of
the terminal, the type of terminal, or the amount of flare may need to be adjusted to
fit each location. Communicate any changes as soon as possible to the contractor.
• The flare or offset on most terminals can be varied to fit field conditions.
Typically, an in-line terminal can be flared as much as 2 feet, while a flared
terminal can be flared 2.5 feet to 4 feet. Flare design allows the impact head on an
in-line terminal to be moved away from traffic to minimize nuisance hits. Check
the manufacturer’s manual for amount of allowable flare.
• Before installation begins, the ground where the end terminal will be installed must
be graded and soil must be compacted in accordance with project specifications
and contract plans.
• During installation, use the manufacturer’s checklist to check end terminal
components and details as recommended by the manufacturer. Notify the installer
of any issues that do not conform to the manufacturer’s recommendations.
• At completion of installation, conduct a thorough quality assurance review using
the manufacturer’s checklist and make sure all components are used as required by
the manufacturer’s recommendations.
• File a copy of the completed checklist in Category 46, “Assistant Resident
Engineer’s Daily Reports,” of the project records.
• Photographs of the completed end terminal must be taken and placed in the project
record.
• Information about the type of end terminal installed must be recorded on the
project as-built plans.
4-8303C Pipe Handrailing, Steel Bridge Railing, Cable Railing, Metal Railing
(Tubular), and Chain Link Railing
• Ensure that materials and methods used in anchorage and connections conform to
the specifications and plans.
• Ensure the contractor connects, stretches, and tightens cables, chain link fabric, and
tension wires as required.

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Railings and Barriers 4-83.5
 • Check railings for proper alignment, appearance, and workmanship.
4-8303D Concrete Barriers and Railing
• Prohibit the placement of concrete barriers or railing on new structures until the
falsework is released. Structure Construction will provide height adjustments to
compensate for camber and dead load deflections.
• Review the specifications for closing temporary gaps in barriers during
construction. Determine that the contractor has planned this work before removing
existing barriers or constructing new barriers. Ensure that blunt ends exposed to
traffic are adequately protected. Refer to the “Public Safety” section in the special
provisions.
• Ensure that forms comply with Section 51-1.03C(2), “Forms,” of the Standard
Specifications. For additional guidelines, refer to Section 4-51, “Concrete
Structures,” of this manual.
• When extrusion or slipform machines are used to construct concrete barriers,
inspect the grade on which the machine will ride to determine if the grade is
smooth enough to prevent foreseeable violations of specified tolerances. Check
guide wires for obvious variations or measurable sags between supporting stakes.
• Ensure that the placing of bar reinforcing steel conforms to specified requirements
and the details on the plans. For guidelines, refer to Section 4-52,
“Reinforcement,” of this manual.
• Review applicable specifications for producing, placing, finishing, and curing
portland cement concrete to be used in concrete railing and barriers. For
guidelines, refer to Sections 4-51, “Concrete Structures,” and 4-90, “Concrete,” of
this manual.
• Require stripping the forms from Type 50 and Type 60 series barrier early enough
so the concrete surface may be given a light brush finish without resorting to
tempering with grout.
• During the placing of extruded or slipform barriers, the design of the concrete and
placing method should require no hand finishing other than a light brush finish.
The surface of the traffic side of the concrete median barrier should be as smooth
as possible. Prohibit heavy brooming or other activity that will leave a roughly
textured finish.
• Observe the abrasive blast finish applied to Type 50 and Type 60 series concrete
barriers. The surface should have a uniform appearance without heavy texturing.
4-8304 4-8304 Level of Inspection
Level of Inspection Suggested levels of inspection for typical railing and barrier work activities are:
• Intermittent inspection of railing post depth and post spacing.
• Benchmark inspection of completed railing or concrete barrier for each location or
for a day’s production.
• Benchmark inspection of installed end terminal system using the manufacturer’s
checklist, to make sure there are no deviations from intended product use.
Checklists are available at Traffic Operation’s website:
http://traffic.onramp.dot.ca.gov/safety-devices-approved-products

California Department of Transportation  Construction Manual  July 2017

4-83.6 Railings and Barriers
4-8305 Quality Control 4-8305
While specific levels of quality control sampling and testing for railings and barriers Quality Control
are not included in Section 83, “Railings and Barriers,” of the Standard Specifications,
the contractor is responsible for providing quality control under Sections 5-1.01,
“General,” and 6-2.02, “Quality Control,” of the Standard Specifications. Ensure the
contractor is actively performing quality control on railing and barrier materials
throughout production operations by reviewing copies of quality control records,
including quality control test results.
4-8306 Payment 4-8306
Measure railings, barriers, and terminal systems as specified and, where appropriate, to Payment
the limits shown on the plans. Also, count to determine the number of cable anchor
assemblies and connections to be paid for. Keep adequate records and take sufficient
measurements to support both partial and final payment.

California Department of Transportation  Construction Manual  July 2017

Railings and Barriers 4-83.7
Chapter 4 Construction Details

Section 84 Markings
4-8401 General
4-8402 Before Work Begins
4-8402A Traffic Stripes and Pavement Markings
4-8403 During the Course of Work
4-8403A Traffic Stripes and Pavement Markings
4-8403B Rumble Strips
4-8403C Existing Markings
4-8403C (1) Removal of Traffic Stripes and Pavement Markings
4-8403C (2) Removal of Latent Traffic Stripes and Pavement Markings
4-8404 Level of Inspection
4-8405 Quality Control
4-8406 Payment

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Markings 4-84.i
Chapter 4 Construction Details

Section 84 Markings Section 84

Markings
4-8401 General 4-8401
This section provides guidelines for inspecting markings for work specified under General
Section 84, “Markings,” of the Standard Specifications. The work consists of applying
painted and thermoplastic traffic stripes and pavement markings, constructing rumble
strips, and removing existing markings. The special provisions may also allow the
contractor to substitute traffic striping and pavement marking tape. Review the Bid
Item List, special provisions, and the contract plans to determine where paint or
thermoplastic is required.
4-8402 Before Work Begins 4-8402
Before work begins, discuss the operation with the maintenance striping superintendent Before Work
or supervisor. Ask if there are any particular striping or marking concerns or requests Begins
that should be addressed.
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 operations personnel if
any changes appear to be necessary.
Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes striping tape,
paint, thermoplastic material, and glass beads. All materials listed on Form CEM-3101
must be on the Authorized Material List for signing and delineation materials. Refer to
Section 6-202, “Responsibilities for Acceptance of Manufactured or Fabricated
Materials and Products,” of this manual for additional information.
4-8402A Traffic Stripes and Pavement Markings
Examine the material as it arrives on the project. Look for identification tags indicating
that personnel from Materials Engineering and Testing Services (METS) inspected the
material.
Obtain the certificate of compliance, METS notification letter, and safety data sheet for
each lot or batch of thermoplastic, paint, and glass beads. Ensure that test results for
beads used in drop-on applications include the EPA test method and that it can be
traced to the specific test sample. Verify that the test for arsenic and lead content was
performed by an independent laboratory.
Verify large-gradation glass beads are on the Authorized Material List for two-
component traffic striping paints and large-gradation retroreflective glass beads.
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.

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Markings 4-84.1
 Discuss with the contractor the methods that will be used to remove existing markings
to ensure there will be no “ghost line” left behind.
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.
• Measuring application temperatures of thermoplastic material.
• Measuring maximum temperatures of paint.
Ensure that the contractor’s stencils will produce correctly dimensioned pavement
markings.
4-8403 4-8403 During the Course of Work
During the Course of
4-8403A Traffic Stripes and Pavement Markings
Work
Check the contractor’s layout work. Determine that traffic stripes and pavement
markings will be correctly located. Where necessary, assist the contractor in matching
existing striping cycles.
Ensure employees working around thermoplastic material wear suitable personal safety
equipment, long-sleeved shirts, and eye protection.
Ensure the pavement is dry, clean, and the surface temperature is as specified before
the contractor applies striping or markings.
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 the temperature gauges mounted on heating equipment for
accuracy.
Before the contractor applies thermoplastic material, check and document the
pavement temperature.
Ensure recesses for double traffic stripes are constructed in a single pass, are primed,
and are kept dry and free of debris. Verify the thermoplastic traffic stripes and
pavement markings are applied before the end of the same work shift.
Before the contractor applies paint, check and document the atmospheric temperature
and expected weather conditions. Never allow the contractor to apply paint when rain,
fog, or condensation could damage the freshly painted surface.
Verify that the paint temperatures do not exceed the specified maximums for solvent-
borne or water-borne paints.
Ensure each coat of paint is applied in one pass of the striping machine.
When two coats of paint are required, verify the first coat of paint is dry before the
second coat of paint is applied. The second coat of paint for centerline striping on 2-
lane highways must be applied in the opposite direction of the first coat of paint.
Ensure the contractor uses two layers of glass beads for thermoplastic traffic stripes and
pavement markings with enhanced wet-night visibility. The first layer must be high-
performance glass beads and the second layer must be AASHTO glass beads.

California Department of Transportation  Construction Manual  July 2017

4-84.2 Markings
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. Verify paint and glass beads are
applied in the order specified for two-component painted traffic stripes and pavement
markings. Ensure the striping machine does not travel faster than 10 miles per hour
during the application.
Check thermoplastic markings for workmanship as the markings are applied. Do not
permit bumps resulting from overlaps in extruded materials. Check complete
thermoplastic traffic stripe or thermoplastic pavement marking to ensure it is free of
runs, bubbles, craters, drag marks, stretch marks, and debris.
After application, look for any damage to striping or marking and document any
rejections. Ask the contractor to remove and replace existing retroreflective pavement
markers coated or damaged by work activities.
Conduct and document a nighttime drive-through visual inspection to verify the
retroreflectivity of the installed material. Notify the contractor immediately of any areas
with deficient retroreflectivity. Require the contractor to measure the retroreflectivity of
those areas using a retroreflectometer and correct any deficiencies.
4-8403B Rumble Strips
Ensure rumble strips are not constructed:
• On structures, approach slabs, or concrete weigh-in-motion slabs.
• At intersections.
• Bordering two-way left turn lanes, driveways, or other high-volume turning areas.
• Within 6 inches of any concrete pavement joint.
Verify rumble strips comply with the dimension requirements and are within 2 inches
of the alignment shown. If not compliant, have the contractor replace them.
Ensure rumble strips in concrete pavement are constructed after the specified
requirements for the concrete pavement are met.
Verify rumble strips in asphalt concrete pavement are constructed on the top layer and
a fog seal coat is applied to ground areas.
Ensure residue is removed from the roadbed.
4-8403C Existing Markings
Ensure existing markings are removed:
• Without removing pavement to depth of more than 1/8 inch.
• Such that the old message cannot be identified.
• In rectangular areas if the grinding method is used.

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Markings 4-84.3
 Verify all residue is swept or vacuumed. Yellow marking residue must be handled,
removed, and disposed of according to the lead compliance plan.
Ensure the contractor repairs, at no cost, any damage to the pavement and surfacing
that results from removing traffic stripes and pavement markings, in accordance with
Section 5-1.36, “Property and Facility Preservation,” of the Standard Specifications.
4-8403C (1) Removal of Traffic Stripes and Pavement Markings
Yellow striping generally contains lead, so ensure special handling for removal and
disposal. Usually, if this striping was identified in the contract, the special provisions
would cover removal and disposal. However, if the special provisions do not identify
special handling for removal of yellow striping, 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.
4-8403C (2) Removal of Latent Traffic Stripes and Pavement Markings
In the past, removal of existing traffic stripes and pavement markings was not always
required on projects before placement of new pavement surfacing. Thus, on some
stretches of highway, old traffic stripes and pavement markings exist under layers of
pavement. On pavement rehabilitation projects, underlying latent stripes and markings
may become exposed as the contractor removes layers of pavement by grinding or
during cold planing of the existing surface.
If latent traffic stripes or pavement markings are exposed during removal of the
existing pavement, consider those latent traffic stripes or pavement markings a
differing site condition. Review Section 4-1.06, “Differing Site Conditions (23 CFR
635.109),” of the Standard Specifications.
Ensure the contractor repairs any pavement damage and depressions in the existing
pavement caused by the removal of latent traffic stripes and pavement markings.
Removal of the latent stripes and markings and the repair of the pavement damaged by
their removal will be paid as extra work in accordance with Section 4-1.05, “Changes
and Extra Work,” of the Standard Specifications. When the depressions are smaller
than 0.05 foot and are filled with overlay material during its placement, pay for the
additional material at contract unit price for the overlay material.
4-8404 4-8404 Level of Inspection
Level of Inspection Suggested levels of inspection for pavement markings:
• Benchmark inspection of layouts, temperatures, and equipment during placement
of pavement markings.
• Immediate nighttime visual inspection of pavement marking retroreflectivity.

4-8405 4-8405 Quality Control

Quality Control Guidance for quality control activities included in this section is summarized as
follows:
• Verify the contractor’s testing of glass beads for arsenic and lead.

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4-84.4 Markings
• Require that the contractor measure traffic stripe retroreflectivity for deficient areas
identified during nighttime drive-through.
• Ensure the contractor calibrates the equipment for compliance with application
rates for glass beads and paint.
• Witness the contractor’s test section of two-component paint, 50 foot test stripe,
and verify for homogeneous mixing of the two components, uniform bead
distribution, wet film thickness, and curing time.
4-8406 Payment 4-8406
Measure the striping and markings according to the units and method specified in the Payment
Standard Specifications and the special provisions. Record the measurements in the
daily reports and calculation sheets to support partial and final payments.
Measure the striping along the line of the traffic stripe without deductions for gaps. Use
a measuring wheel or a vehicle-mounted electronic measuring device for these
measurements.
Areas of the standard pavement markings shown in the Standard Plans may be used in
the calculations to determine pay quantities. Make field measurements where the areas
are variable, such as for limit lines of different lengths.
Rumble strips are paid by the length measured by the station along the length of the
rumble strip without deductions for gaps between indentations.
Removal of traffic stripes is paid by the length with deductions for the gaps in broken
traffic stripes and multiplied by a factor in accordance with Section 84-9.04,
“Payment,” of the Standard Specifications.

California Department of Transportation  Construction Manual  July 2017

Markings 4-84.5
Chapter 4 Construction Details

Section 86 Electrical Equipment and Materials

4-8601 General
4-8602 Before Work Begins
4-8603 Quality Assurance
4-8604 Payment

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Electrical Equipment and Materials 4-86.i
Chapter 4 Construction Details
Section 86
Section 86 Electrical Equipment and Materials Electrical Equipment
and Materials
4-8601 General 4-8601
This section provides guidelines for inspection of equipment and materials specified General
under Division X, “Electrical Work,” Section 86, “General,” of the Standard
Specifications. Division X, “Electrical Work,” includes electrical requirements and is
divided into two sections:
1. Section 86, “General,” includes general requirements for submittals and testing of
electrical equipment and materials.
2. Section 87, “Electrical Systems,” includes construction requirements for electrical
systems and requirements for modifying and maintaining existing systems. This
section also includes materials, testing, and construction requirements that apply to
specific systems.
Electrical work requires specialized knowledge. The districts should retain qualified
staff or train sufficient personnel to inspect electrical work.
Electrical work includes:
• Lighting systems.
• Sign illumination systems.
• Signal and lighting systems.
• Ramp metering systems.
• Traffic monitoring station systems.
• Flashing beacon systems.
• Closed circuit television systems.
• Changeable message sign systems.
• Roadway weather information systems.
• Temporary electrical systems.
• Existing electrical systems.
• Other electrical systems.
Electrical systems components continue to evolve and may lead to changes in material
and construction requirements on successive projects. Ensure the contractor is aware of
these changes because even experienced electrical contractors may not be familiar with
all of the requirements in the current specifications.
Pay particular attention to the special provisions and maintain communication with the
project designer, Maintenance, and Traffic Operations.
Transportation electrical engineers should be assigned as resident engineers on projects
where electrical work is predominant. On projects where electrical work is not

California Department of Transportation  Construction Manual  July 2017

Electrical Equipment and Materials 4-86.1
 predominant, qualified personnel with electrical expertise can be made available for
assistance to inspect electrical work.
Smaller districts may use transportation electrical engineers in the district Traffic Unit
and highway electricians in the Electrical Maintenance Unit for consultation.

4-8602 4-8602 Before Work Begins

Before Work Begins Review Part 4, “Highway Traffic Signals,” of the California Manual on Uniform
Traffic Control Devices; California Code of Regulations, Title 8, Division 1, Chapter 4,
Subchapter 5, “Electrical Safety Orders”; and Sections 10-1.02, “Work Sequencing”;
56-3, “Standards and Poles”; 75-1.02B, “Galvanizing”; 86, “General”; and 87,
“Electrical Systems,” of the Standard Specifications and their related standard special
provisions.
Within 15 days after contract approval, obtain from the contractor:
1. A list of proposed equipment and materials to be installed, before the equipment is
shipped to the job site.
2. A schedule of values.
Obtain from the contractor confirmation of the vendor’s acceptance of the order for the
electrical equipment and materials.
Ensure Department-furnished materials have been ordered and will be ready for timely
delivery. Make arrangements with all the necessary parties for pickup and delivery
dates and locations. Inspect and inventory all Department-furnished materials to
confirm they are delivered in good condition. After delivery, the contractor is
responsible for any damage to Department-furnished materials.
Obtain a list of the equipment and materials the contractor proposes to install, as
required by Section 86-1.01C, “Submittals,” of the Standard Specifications. Verify that
manufacturers’ names, make and model numbers, lot and serial numbers, contract
number, and other listings properly identify the materials. Have the Electrical Design
Unit recheck the list of equipment and materials to prevent omissions or irregularities.
Verify the receipt and proper distribution of Form CEM-3101, “Notice of Materials to
Be Used,” which lists electrical materials. Refer to Section 6-202, “Responsibilities for
Acceptance of Manufactured or Fabricated Materials and Products,” of this manual for
additional information.
Review Form TL-0028, “Notice of Material to Be Inspected,” to determine materials
assigned for release at the job site. Ensure the contractor delivers test results and the
necessary certificates of compliance (including compliance with Buy America
requirements) to the site. Release or reject the materials in accordance with Chapter 6,
“Sampling and Testing,” of this manual.
Consult with METS, Structure Design, and Electrical Design when the contractor
submits a written request to make a substitution for a product. Obtain a
recommendation as to the acceptability of the proposed product. Review Section 6-
1.05, “Specific Brand or Trade Name and Substitution,” of the Standard Specifications.
Recommend approval or denial of a substitute for a specified product. Under no
circumstances should the supplier or contractor be allowed to negotiate with others for
proposed substitutes for products on projects under contract. Process substitutes for a
specified product by change order, since it is a change in the specification
requirements.

California Department of Transportation  Construction Manual  July 2017

4-86.2 Electrical Equipment and Materials
Ensure the contractor submits:
• Three sets of schematic wiring diagrams for each cabinet.
• The manufacturer’s equipment maintenance and operations manuals.
• The shop drawings for service equipment enclosures.
Check the condition of electrical materials shown to be salvaged before the contractor
arrives on the job site. Document the material’s condition using photographs. Review
Section 3-904A (4), “Surplus and Salvaged Material,” of this manual.
4-8603 Quality Assurance 4-8603
Obtain the manufacturer’s quality control test data for: Quality Assurance
• LED luminaires.
• Low-pressure sodium luminaires.
• Signal heads.
• LED signal modules.
• Visors.
• LED countdown pedestrian signal face modules.
• Accessible pedestrian signals.
Collect certificates of compliance for:
• Signal heads.
• Visors.
• High mast lighting luminaires.
Request the manufacturer’s installation instructions and the load-rating test reports for
pullboxes.
Verify:
• LED luminaires are on the Authorized Material List for LED luminaires.
• Controller cabinets and battery backup system cabinets are on the Authorized
Material List for traffic signal control equipment.
• LED signal modules are on the Authorized Material List for LED traffic signal
modules.
• Conduit primers are on the Authorized Material List for organic zinc-rich primers.
Coordinate with METS to ensure service equipment enclosures and cabinets have been
inspected and tested at the source.
4-8604 Payment 4-8604
Review the contractor’s schedule of values breakdown for completeness and accuracy. Payment
Section 9-1.16, “Progress Payments,” of the Standard Specifications provides details
for a cost breakdown of lump sum bid items. Require the contractor to correct any
unbalanced unit costs before approving the submittal. You can use this breakdown for
progress payments and as a cost basis for change orders. Approve the cost breakdown
before making partial payments on lump sum electrical items. For progress payment
purposes, keep records of partial payments for each period.

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Electrical Equipment and Materials 4-86.3
 On many projects, electrical systems equipment, and electrical hardware items are
listed as eligible for payment as material on hand. On a monthly basis, check the
contractor’s submittals for materials on hand, and verify that materials incorporated
into the work have been removed from the submittals. Refer to Section 3-906E,
“Materials on Hand,” of this manual for additional information.
Deduct the cost for source inspection of poles for electrical systems according to
Section 6-201E, “Material Source Inspection and Testing” of the Standard
Specifications.

California Department of Transportation  Construction Manual  July 2017

4-86.4 Electrical Equipment and Materials
Chapter 4 Construction Details

Section 87 Electrical Systems

4-8701 General
4-8702 Before Work Begins
4-8703 During the Course of Work
4-8703A General
4-8703A (1) Conduit Installation
4-8703A (1a) Metal Conduit
4-8703A (1b) Plastic Conduit
4-8703A (1c) Conduit Installation on Structures
4-8703A (1d) Conduit Installation Underground
4-8703A (1d) (1) Conduit Installation Under Paved Surfaces
4-8703A (1d) (2) Conduit Installation Methods
4-8703A (2) Installation of Pull Boxes
4-8703A (3) Excavating and Backfilling for Electrical Systems
4-8703A (3a) Trenching
4-8703A (3b) Concrete Pads, Foundations and Pedestals
4-8703A (4) Conductors and Cable Installations
4-8703A (4a) Detector Lead-In Cables
4-8703A (4b) Conductors Signal Cables
4-8703A (4c) Signal Interconnect Cable
4-8703A (4d) Inductive Loop Conductors
4-8703A (5) Equipment Identification Characters
4-8703A (6) Conductor and Cables Splices
4-8703A (7) Connectors and Terminals
4-8703A (8) Standards, Poles, Pedestals, and Posts
4-8703A (9) Utility Service
4-8703A (10) Photoelectric Controls
4-8703A (11) Fused Splice Connectors
4-8703A (12) Grounding Electrodes
4-8703A (13) Service Equipment Enclosures
4-8703A (14) Cabinets
4-8703A (15) Signal Heads
4-8703A (16) Pedestrian Signal Heads
4-8703A (17) Accessible Pedestrian Signals
4-8703A (18) Push Button Assemblies
4-8703A (19) Detectors

California Department of Transportation  Construction Manual  July 2017

Electrical Systems 4-87.i
 4-8703A (20) Sealants
4-8703A (21) Transformers
4-8703B Lighting Systems
4-8703C Sign Illumination Systems
4-8703D Signal and Lighting Systems
4-8703E Ramp Metering Systems
4-8703F Traffic Monitoring Station Systems
4-8703G Flashing Beacon Systems
4-8703H Changeable Message Sign Systems
4-8703I Interconnection Conduit and Cable
4-8703J Temporary Electrical Systems
4-8703K Existing Electrical Systems
4-8704 Level of Inspection
4-8705 Quality Control
4-8706 Payment
Example 4-87.1 Electrical Systems Sample Checklist

California Department of Transportation  Construction Manual  July 2017

4-87.ii Electrical Systems
Chapter 4 Construction Details

Section 87 Electrical Systems Section 87

Electrical Systems
4-8701 General 4-8701
This section includes guidelines for the construction, installation, and inspection of General
electrical systems.
Review Part 4, “Highway Traffic Signals,” of the California Manual on Uniform
Traffic Control Devices; California Code of Regulations, Title 8, Division 1, Chapter 4,
Subchapter 5, “Electrical Safety Orders”; and Sections 10-1.02, “Work Sequencing”;
56-3, “Standards and Poles”; 75-1.02B, “Galvanizing”; 86, “General”; and 87,
“Electrical Systems,” of the Standard Specifications and their related standard special
provisions.
The continuity and insulation resistance tests for each conductor and conductors within
cables are performed with the electrical system completely disconnected from the
electrical utility.
Usually, continuity is checked by attaching an ohmmeter between the two ends of the
conductor. If the conductor ends are too far apart, connect two conductors together at
one end and take the measurement for both conductors at the other end. The ohmmeter
display should read zero ohms or close to zero. If the ohmmeter reads infinity, there is a
break in the conductor. If the ohmmeter has a sound signal, turn on the sound signal
and listen for a beep. The beep means there is continuity, no beep means there is a
break in the conductor. If there is a break in the conductor, direct the contractor to
replace the conductor or cable.
Insulation resistance is measured by attaching a megohmmeter between the conductor
wire and the wire insulation. The megohmmeter is set to 500 volts and the test voltage
is applied to the conductor for 1 minute. After 1 minute, the resistance value is read and
recorded. If the insulation resistance is less than specified, ask the contractor to replace
the conductor or cable.
Contact the district maintenance highway electrician, traffic operations engineers, or
construction electrical engineers if assistance is needed to review the test results.
Verify the contractor performs a 5-business-day continuous operation test for each
completed electrical system.
4-8702 Before Work Begins 4-8702
Record on the plans any unusual items covered in the specifications but not shown on Before Work
the plans. Indicate foundation sizes, bolt sizes, and bolt circles on the plan sheet Begins
containing the pole schedule.
Review the project with the traffic signal maintenance electricians, the Electrical
Design Unit, and the district Traffic Unit, to determine if any changes or revisions are
needed.
Electrical systems work often involves many agreements and requires the coordination
of activities with outside agencies and utilities. Discuss the status of utility agreements

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Electrical Systems 4-87.1
 and relocations with the project engineer. Review the resident engineer’s pending file
and become familiar with the agreements.
Coordinate with utility companies and outside agencies. Notify utility companies and
other agencies in advance so they can coordinate their work. Notices may include a
request for electrical and telephone services. Coordinate with the district utility
coordinator to submit an application and process payment to the utility companies.
Review the project with the contractor to determine where cranes and pile driving or
other equipment will be used. Consult the utility company representatives for any
clearance requirements necessary to accomplish the work. Determine any necessary
relocations or adjustments as early as possible, to avoid project delays. Contact the
district Right of Way Unit if utility facilities must be relocated because of the proposed
work or if overhead wires for temporary electrical systems encroach on private
property.

4-8703 4-8703 During the Course of Work

During the Course of
4-8703A General
Work
To ensure all items are completed and not overlooked when accepting the work,
prepare and print a checklist similar to the one shown at the end of this section.
Ensure adequate warnings and safeguards, such as signs, lights, barricades, and
barriers, are set in place.
Inspect these activities when the work is underway:
• Conduit installations
• Conductor and cable installations
• Foundation excavations
• Concrete placement
• Detector installations
• Field wiring
Verify the contractor locates and field marks existing facilities within 10 feet of any
excavation before performing any work that could damage or interfere with the
existing facility.
If communication cables or utility lines are encountered during an excavation, contact
the utility owner.
Verify that jacking pits, foundation holes, and excavations are covered according to the
specifications, especially next to pedestrian facilities.
Check all metal components for proper bonding and grounding.
Before placing new systems into operation and opening to traffic, ensure all lights,
signs, pavement delineation, and pavement markings are in place and working
properly.
Ensure all necessary forms are completed and placed in the project files, including but
not limited to the following:
• Notification to the appropriate district offices of dates electrical facilities were
placed in or removed from service.

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4-87.2 Electrical Systems
• 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 dates.
Record all changes into the as-built plans. Provide a copy of the as-built plans to the
district electrical maintenance office and the district traffic operations office. Submit
the original as-built plans to the district construction office.
4-8703A (1) Conduit Installation
Ensure conduit is installed using the methods specified in Section 87-1.03B, “Conduit
Installation,” of the Standard Specifications.
Verify the conduit used is the specified type and the same size between pull points. Do
not allow the use of reducing couplings.
To prevent damage to conduit, do not allow placement of materials, or persons to
stand, on top of the conduit during installation.
Ensure conduit of the same material is used when extending existing conduit. Conduits
of different materials must be terminated in a pull box.
Verify that all exposed threads, field cut threads, and damaged surfaces receive a
corrosion protection coat.
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 transformers.
Verify conduit ends are capped until the conductors or cables are to be installed.
Ensure that all conduit terminations (pull boxes, foundations, and so on) are provide
with bushings before installing the conductors or cables.
Ensure conduit to remain empty has a pull tape with at least 2 feet of slack at each end
and the pull tape is attached to the ends of the conduit.
Check all conduit for proper bonding and proper connections.
After installation, ensure the contractor takes precautions to prevent damage to the
conduit when installing pull box markers, sign posts, and guardrail.
4-8703A (1a) Metal Conduit
Ensure that conduit ends are square and field cuts are made with a pipe cutter as
specified.
Check the ends of factory-reamed conduit for burrs, and ensure field cuts are always
reamed.
Prohibit the use of unthreaded connectors for conduit, because they do not have
sufficient mechanical strength.
Verify 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, either the
connection is not tight or the threads are crossed in the coupling. Conduit threads are
not tapered.
Observe the joining of conduit during placement; otherwise, test with a wrench to
ensure the joints are tight, but not overly tight. Over-tightening will cause belling of the
conduit end inside the coupling that may damage the conductors during installation. If

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Electrical Systems 4-87.3
 the conduit is not in a straight line when assembled, the joints will not butt together
even when tightened with a wrench.
Ensure the contractor uses only approved tools to make field bends. Do not allow
bends made on the back of a truck, under a railroad track, or around a tree. A hydraulic
bender is best and ensures 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. Do not allow field bends too close to a coupling, the stress created at the
coupling may cause the conduit to fracture at the threads. This fracture may not be
discernible at the time, but may cause trouble later. Verify the contractor keeps the
number of bends to no more than 360 degrees between pull points.
Verify that installed bushings are insulated.
4-8703A (1b) Plastic Conduit
Verify the contractor thoroughly cleans the ends of plastic conduit and uses the right
amount of solvent cement to obtain a good joint.
Ensure the contractor uses a soft nylon pull rope to pull conductor wire through plastic
conduit.
4-8703A (1c) Conduit Installation on Structures
Ensure Type 1 exposed conduit is painted the same color as the structure.
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.
For new structures verify:
• Conduits leading to soffits, wall-mounted luminaires, other lights and fixtures
located below the pull box grade are sealed and watertight.
• Expansion joints are placed in conduit passing through expansion joints in concrete
structures. Ensure expansion joints are the type specified and are installed
correctly.
• Conduit embedded in concrete structures is plugged flush to prevent breaking or
bending it when forms are removed or when backfilling equipment operates close
to the structure.
• For existing structures, ensure conduit is installed and supported according to the
contract requirements.
4-8703A (1d) Conduit Installation Underground
Ensure conduit is installed at the correct depth.
Verify the contractor places a minimum of 2 inches of sand in the trench before
installing Type 2 or Type 3 conduit and 4 inches over the conduit before backfilling the
trench.
Ensure Type 1 or Type 2 conduit installed within a hazardous location is sealed with
explosion-proof sealing fittings.

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4-87.4 Electrical Systems
4-8703A (1d) 1 Conduit Installation Under Paved Surfaces
Do not allow the trench-in-pavement method for conduit installation under freeway
lanes or freeway-to-freeway connector ramps.
4-8703A (1d) 2 Conduit Installation Methods
When conduit is being placed across existing roadways, take the following into
account:
• Directional boring uses a locator and electronics located in the boring head, which
allows the operator to control the direction and depth of the boring head. This
method makes it possible to place the conduit in a precise location, within a
fraction of an inch of the planned location.
• The air drill and fishtail bit should be used with the minimum amount of water
possible. Too much water saturates the grade and can create voids that may cause
the road surface to collapse and the pipe to drop excessively.
• When the air drill and fishtail bit are used in sandy soil, the water and sand 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. When rotary mud is used, ensure the contractor flushes the
mud from the pipe and then removes all the mud from the drill pit before
backfilling the drill pit. Failure to thoroughly remove the mud results in a spongy
backfill.
• When a hydraulic jack and compressed air are used to push conduit through sand
under the pavement, the smaller diameter pipe carries a jet of air. To prevent
removing too much sand from under the road and leaving large voids, ensure the
contractor restricts the amount of air used to jet out sandy material.
4-8703A (2) Installation of Pull Boxes
Ensure that pull boxes are installed in conduit runs and adjacent to poles, standards,
enclosures, and cabinets. Verify pull boxes are spaced according to the contract
requirements. Do not allow the installation of pull boxes within the boundaries of
concrete pads, curb ramps, or driveways.
Verify pull boxes are placed away from any expansion joint. If pull boxes are
improperly shown on the contract plans, provide an alternate location.
Ensure pull boxes are set over a layer of crushed rock, are grouted, and have a drain
hole. Verify the grout is sloped towards the drain hole.
Ensure the contractor grouts around conduits installed through the sides of the pull box.
Verify that in paved areas, the top of the box is even with the surrounding grade. When
the final grades are not established, it may be necessary for the contractor to set the pull
boxes temporarily low and raise them to final grade as curbs and sidewalks are built.
Ensure that in unpaved areas, the top of the box is 1¼ inches above surrounding grade.
On unpaved slopes, ensure the pull boxes are kept out of depressions so as not to
collect water.
Ensure pull boxes are covered when no work is in progress.
For traffic pull boxes verify:
• Minor concrete is placed around and under a traffic pull box.

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Electrical Systems 4-87.5
 • The steel cover is bolted to the box when no work is in progress.
• The steel cover is bonded to the conduit.
4-8703A (3) Excavating and Backfilling for Electrical Systems
Ensure the contractor provides notification 72 hours before excavating.
Ensure excavations on a street or highway are restricted to 1 lane at a time, unless the
closure charts allow additional lanes to be closed.
Ensure that backfill is properly placed around pull boxes and conduit.
Verify the contractor disposes of surplus excavated material according to the contract
requirements. Refer to Section 3-510B, “Contractor-Property Owner Agreement,” of
this manual.
4-8703A (3a) Trenching
Do not allow excavations to take place until the contractor is ready to install the conduit
or direct burial cable.
Verify that trench backfill is compacted to 90 or 95 percent relative compaction, as
specified.
Ensure the contractor restores the sidewalks, pavement, and landscaping at the
excavation location before excavating at another location.
4-8703A (3b) Concrete Pads, Foundations, and Pedestals
For the foundation requirements for standards, poles, metal pedestals, and posts refer to
Section 56-3, “Standards and Poles,” of the Standard Specifications.
The location of lighting standards is directly related to the gore point on exit ramps and
to the lane width on entrance ramps. If necessary, revise the locations of the lighting
standards accordingly. Review Sheet ES-11, “Electrical Systems (Foundation
Installations),” of the Standard Plans for foundation details and locations.
For lighting standards with breakaway or slip bases, verify the top of the foundation is
no higher than shown on the plans and the conduit end is below the slip plane.
Verify the foundation excavation is the proper size and depth.
When bar reinforcing steel is required, ensure that it is securely fastened and the
required clearances are maintained.
Ensure that anchor bolts are the correct size and securely held in place in the required
bolt pattern.
Verify that the concrete used meets the contract requirements. Ensure the contractor
forms and finishes the exposed part of the foundations as specified. Review the
Standard Plans for any monolithic pour and grout pads requirements.
Ensure foundations and concrete pads are constructed on firm ground.
Verify the top of the foundation and concrete pad are placed according to the contract
requirements.
Ensure an ordinary surface finish is applied and a drain hole is provided, according to
the contract requirements.
Verify that foundations are cured for 7 days before any equipment is installed.

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4-87.6 Electrical Systems
4-8703A (4) Conductors and Cable Installations
Verify conductor and cable insulation is clearly and permanently marked according to
the contract requirements.
Do not allow the painting of conductors or the use of colored tape on the ends of
conductors to obtain the specified insulation colors.
When pulling conductors and cables, a wire trailer is desirable. Ensure the contractor
pulls the conductors and cables from the reels in such a manner that traffic will not run
over the conductors and cables, and pedestrians will not walk on them. Both events can
damage conductors and cables.
Ensure the contractor cleans the conduit before pulling the conductors and cables.
Verify the contractor installs bushings or pulling bells on the conduit ends to prevent
damage to the conductors or the conduit when pulling the conductors and cables.
Ensure conductors and cables are pulled by hand using a pull tape, to prevent damage
to conductors by over-pulling. Do not allow the use of winches, trucks, or other
mechanical aids. If the special provisions permit power pulling of large conductors,
ensure tension measuring devices are used in accordance with the manufacturer’s
recommendations.
Verify the contractor uses an inert lubricant to prevent damage to the conductor and
cable insulation caused by the friction created by pulling or slipping of conductors.
Ensure the contractor feeds the conductors and cables into the conduit as a unit, in a
sequence determined by the length of the runs, to avoid the slipping of one conductor
or cable past another in the conduit.
If additional conductors and cables are being installed in an existing conduit, verify that
all existing conductors are removed, the conduit is cleaned with a mandrel or
cylindrical wire brush, and the old and new conductors are pulled into the conduit as a
unit. Prohibit slipping added conductors past existing ones.
Verify that when conductors from different service points occupy the same conduit or
standard, the conductors from one service point are enclosed in flexible or rigid metal
conduit.
Ensure conductors are identified in accordance with Section 87-1.03F, “Conductors
and Cable Installations,” of the Standard Specifications.
Verify conductors are wrapped and cables are secured to the end of the conduit and the
conduit ends are sealed.
Ensure enough conductor and cable slack is provided in every pull box.
Verify that 3 spare conductors are installed in all conduits used for a ramp metering
system and traffic signal system.
Ensure a separate conductor is installed for each push button and accessible pedestrian
signal.
Prohibit the splicing of a pedestrian push-button neutral conductor into a signal or
lighting neutral conductor.
Verify a Number 8 (minimum), insulated, grounding copper conductor is installed in
conduits and that it is connected to all-metal components.

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Electrical Systems 4-87.7
 4-8703A (4a) Detector Lead-In Cables
Verify the ends of lead-in cables are waterproof before installing the cables in the
conduit.
Do not allow splices in the lead-in cables, except at the pull box adjacent to the loops.
Ensure the loops are tested and operational before the contractor splices the loops to the
lead-in cable.
Verify lead-in cables are identified and tagged with the detector designation at the
cabinet and at the pull box adjacent to the loops.
4-8703A (4b) Conductors Signal Cables
Do not allow splicing of cables, except for 28-conductor cables.
Ensure each cable is identified at every pull box as specified.
Verify cable conductors are connected as specified.
Do not allow intermixing of neutral conductors from different cables, except at the
controller cabinet.
4-8703A (4c) Signal Interconnect Cable
Prohibit splicing of the signal interconnect cable unless allowed by the special
provisions.
4-8703A (4d) Inductive Loop Conductors
Prohibit splicing of inductive loop conductors, except at the pull box.
4-8703A (5) Equipment Identification Characters
If the equipment identification characters are not shown on the plans, contact the
district’s maintenance office and obtain a list of equipment identification characters.
Provide the list to the contractor.
Verify the contractor places the equipment identification characters on a clean surface.
Ensure the contractor removes the existing characters from existing or relocated
equipment, before placing the new characters.
4-8703A (6) Conductor and Cables Splices
Ensure conductor splices are soldered, tight, waterproof, and insulated according to the
contract requirements.
Require the ends of unused conductors to be taped to form a watertight seal.
4-8703A (7) Connectors and Terminals
Ensure the contractor uses crimp-style terminal lugs on stranded conductors.
Verify Number 8 and smaller conductors are soldered to the connectors and terminal
lugs.
4-8703A (8) Standards, Poles, Pedestals, and Posts
Review Section 56-3, “Standards and Poles,” of the Standard Specifications for the
requirements for standards, poles, pedestals, and posts.
Verify the location of standards complies with the Americans with Disabilities Act
requirements.

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4-87.8 Electrical Systems
Ensure standards and pull boxes are set to the top of the dikes in areas behind asphalt
concrete dikes to be filled with dirt to the top of the dikes.
Verify signal standards are placed where the signal faces are not obstructed from the
view of drivers and pedestrians. Standards with push buttons must be no more than 5
feet from crosswalks and the push button face must be parallel to the crosswalk to be
used. Review Section 4E.08, “Pedestrian Detectors,” of the California MUTCD.
For standards with a slip-base assembly, verify:
• Flat washers and heavy hex nuts are installed as shown on sheet ES-6F of the
Standard Plans.
• The clamp bolts, nuts and upper slip base are installed and torqued as specified in
Section 56-3, “Standards and Poles,” of the Standard Specifications, when the
standard is on the ground.
• The leveling and top nuts on the bottom slip base are tightened, after the standard
is erected.
Verify bases for standards on structures are located:
• So that anchor bolts may be placed where the bridge rail gap will be.
• At least 5 feet from expansion joints, to prevent extra stresses at these critical
structural locations.
Ensure the contractor rakes the standard by plumbing the back side of the tapered
standard from the road. A slight rake of the standard about 3 degrees from the roadway
prevents the impression that the standard is leaning toward the highway.
Ensure standards are bonded with a grounding wire and that the grounding wire is
visible after installation according to the contract requirements.
4-8703A (9) Utility Service
Verify the contractor provides the service installations from the service point to the
equipment according to the contract requirements.
Ensure the contractor furnishes all materials and service equipment for service
installations on utility-owned poles.
4-8703A (10) Photoelectric Controls
Verify photoelectric controls are installed according to the contract requirements.
4-8703A (11) Fused Splice Connectors
Verify fused splice connectors, for luminaires mounted on standards, are installed in
the pull box adjacent to the standard.
Ensure the connections are insulated and watertight.
4-8703A (12) Grounding Electrodes
Verify a grounding electrode and grounding conductor are installed at each cabinet,
service equipment enclosure, and transformer.
4-8703A (13) Service Equipment Enclosures
Verify the location of the service equipment enclosure complies with the National
Electric Code, Article 110.26, “Spaces About Electrical Equipment, (600 V, nominal

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Electrical Systems 4-87.9
 or less),” minimum clearance requirements.
Ensure circuit breakers are identified with a description engraved on a phenolic
nameplate.
Verify the contractor bonds and grounds all metal conduits and uses a Number 6 or
larger grounding conductor between the enclosure and the grounding electrode.
4-8703A (14) Cabinets
Ensure the area between the cabinet and the foundation is sealed.
Verify the contractor installs and solders the terminals on the conductors.
Ensure all conductors are neatly arranged and laced or enclosed in a plastic tubing or
raceway.
Verify all the field conductors are connected to the correct terminal blocks in the
cabinet.
Ensure telephone demarcation cabinets are installed with the back toward the nearest
traffic lane.
4-8703A (15) Signal Heads
Ensure signal heads are covered or directed away from traffic until the system is ready
for operation.
Verify all signal faces are the same brand and material at each location.
Ensure backplates are installed on all signal heads.
Verify signal mounting assemblies are arranged symmetrically and plumb or level.
Ensure signal mounting assemblies are oriented to allow maximum horizontal
clearance to the adjacent roadway.
Ensure exposed threads on brackets and bracket areas damaged during installation are
cleaned and painted.
Verify conductors are connected to the terminals.
4-8703A (16) Pedestrian Signal Heads
Verify all pedestrian signal heads are the same brand and material at each location.
Ensure pedestrian signal heads are covered or directed away from traffic until the
system is ready for operation.
Verify signal mounting assemblies are arranged symmetrically and plumb or level.
Ensure exposed threads on brackets and bracket areas damaged during installation are
cleaned and painted.
Verify conductors are connected to the terminals.
4-8703A (17) Accessible Pedestrian Signals
Verify all accessible pedestrian signals are the same brand at each location.
Ensure the accessible pedestrian signals and the R10 series signs are installed on the
crosswalk side of the standard.
Verify the arrow on the accessible pedestrian signal is pointing in the same direction as
the corresponding crosswalk.

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4-87.10 Electrical Systems
Ensure the accessible pedestrian signals are calibrated after installation.
Verify the accessible pedestrian signals are programmed with an audible message or
tone according to the special provisions.
4-8703A (18) Push Button Assemblies
Ensure the push button assemblies and the R10 series signs are installed on the
crosswalk side of the standard.
4-8703A (19) Detectors
Ensure the detectors are centered in the traffic lanes at the marked locations.
Verify the distance between the side of an inductive loop detector and a lead-in saw cut
from an adjacent detector is at least 2 feet.
Ensure the detector conductors are the required type. Do not allow splices in the
detector conductor.
Verify saw cuts are clean and dry before the detectors are installed. Ensure the residue
is vacuumed from the roadway and disposed of away from the project.
Ensure the ends of Type 2 inductive loop conductors are waterproof before installation.
Verify that inductive loop detectors have the required number of turns.
Ensure adjacent inductive loop detectors to be connected on the same sensor unit
channel are wound in opposite directions.
Verify that inductive loop conductors in the lead-in saw cut, between the loop and
adjacent pull box, are twisted a minimum of 2 turns per foot. Do not allow more than 2
twisted pairs of conductors per lead-in saw cut.
Ensure the contractor places the loop conductors in the saw cut with a tool that will not
damage the wire’s insulation and holds the conductors in place at the bottom of the slot
during placement of sealant.
Verify preformed inductive loop detectors are constructed and installed in accordance
with Section 87-1.03V(3), “Preformed Inductive Loop Detectors,” of the Standard
Specifications.
Verify that the contractor tests each loop for continuity, circuit resistance, and
insulation resistance before placing the sealant.
Verify there are 5 feet of conductor slack in the pull box.
Ensure the inductive loop conductors are banded together in pairs at the pull box and
each pair is identified with the detector designation and loop number. Verify the start of
the inductive loop conductor is identified with the letter “S” and the end with the letter
“F”.
Contact the district traffic operations office to test the loops using a reference bicycle if
Type D loops are specified for the limit line detection.
If the work modifies more than 50 percent of the existing detectors, Type D loops are
required for the limit line detection. Process a change order if necessary.
4-8703A (20) Sealants
Ensure sealants are applied as specified and at the required temperature.

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Electrical Systems 4-87.11
 4-8703A (21) Transformers
Ensure transformers are never picked up by the leads.
Verify transformers are wired for the correct voltage and the secondary circuit is
grounded.
4-8703B Lighting Systems
Verify the contractor installs all the lighting system components as shown on the
contract plans.
Ensure standards are set such that the mast arm is perpendicular to the centerline of the
roadway.
Verify luminaires are installed and oriented as shown on the plans.
Ensure that conduit between soffit lights is secured and supported with concrete blocks
to prevent damage to conduit joints.
Verify soffits are reset and securely fastened before concrete is poured to prevent
floating during the pour.
Ensure all field-wired connections are tight and according to the contract plans.
Ensure the system is bonded according to the contract requirements.
Verify the contractor performs the conductor and operational tests for the system.
4-8703C Sign Illumination Systems
Verify the contractor installs all the sign illumination system components as shown on
the contract plans.
Ensure all field-wired connections are tight and according to the contract plans.
Verify the contractor performs the conductor and operational tests for the system.
4-8703D Signal and Lighting Systems
Verify the contractor installs all the signal and lighting system components as shown
on the contract plans.
Ensure signal and lighting systems are only shut down during normal working hours
and that the local traffic enforcement agency is notified before the system is shut down.
Ensure standards are set such that the mast arm is perpendicular to the centerline of the
roadway.
Verify signal and pedestrian signal heads are installed and oriented as shown on the
plans.
Ensure that the number of conductors, their color coding, and size are correct. Each
signal head needs 1 conductor per signal face; additionally, 1 neutral conductor is
required in a pole. If a signal head with R, Y, and Arrow faces is to be installed, then
3 + l, or 4, conductors are needed in the pole. An additional R, Y, G facing at a right
angle to the other head on the same pole requires three more conductors, a total of 7. If
questions arise about conductor color coding, size, or installation method, consult the
district traffic operations office or the electrical maintenance office.
Do not allow splicing of signal conductors; a single conductor must be run to the
controller cabinet. Individual leads are needed for testing even if they are connected to

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4-87.12 Electrical Systems
the same terminal in the controller cabinet. Only the neutral, pedestrian pushbutton, and
lighting conductors can be spliced.
It is often best to attach the mast arm and luminaire to the pole and install the luminaire
conductors inside the pole before erecting the pole, and complete the splicing in the
pull box after erection.
Ensure all field-wired connections are tight and according to the contract plans,
including terminal blocks in the controller cabinet, and signal and pedestrian signal
heads.
Verify the contractor performs the conductor and operational tests for the system.
Notify the district traffic operations, the public information office, the electrical
maintenance office, the local fire department, the police department, and schools, 2
weeks prior to the turn-on of a signal system.
Never allow a completed signal and lighting system to be placed in operation on a
Friday or any day preceding a legal holiday. Before the system is turned on, ensure the
traffic operations engineer verifies the signal timing and turns on the system.
4-8703E Ramp Metering Systems
Verify the contractor installs all the ramp metering system components as shown on
the contract plans.
Verify signal heads are installed and oriented as shown on the plans.
Ensure all field-wired connections are tight and according to the contract plans,
including terminal blocks in the controller cabinet and signal heads.
Verify the contractor performs the conductor and operational tests for the system.
4-8703F Traffic Monitoring Station Systems
Verify the contractor installs all the traffic monitoring station system components as
shown on the contract plans.
Ensure all field-wired connections are tight and according to the contract plans.
Verify the contractor performs the conductor and operational tests for the system.
4-8703G Flashing Beacon Systems
Verify the contractor installs all the flashing beacon system components as shown on
the contract plans.
Ensure all field-wired connections are tight and according to the contract plans.
Verify the contractor performs the conductor and operational tests for the system.
4-8703H Changeable Message Sign Systems
Verify the contractor installs all the changeable message sign system components as
shown on the contract plans.
Ensure all field-wired connections are tight and according to the contract plans,
including the terminal blocks in the controller cabinet and sign assembly.
Verify the contractor performs the conductor and operational tests for the system.

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Electrical Systems 4-87.13
 4-8703I Interconnection Conduit and Cable
Verify the contractor installs all the interconnection conduit and cable system
components as shown on the contract plans.
Ensure all field-wired connections are tight and according to the contract plans,
including the terminal blocks in the controller cabinet.
Verify the contractor performs the conductor test for the system.
4-8703J Temporary Electrical Systems
Review Sections 12-3.33, “Temporary Signal Systems,” and 12-3.34, “Temporary
Flashing Beacon Systems,” of the Standard Specifications for power requirements.
Verify the contractor provides and installs all the temporary electrical system
components as shown on the contract plans.
Verify the temporary electrical system operates according to the contract requirements.
The contractor is responsible for the operation, maintenance, and removal of the
temporary systems.
4-8703K Existing Electrical Systems
Review the contractor’s work activities schedule so you can make arrangements to
maintain existing electrical systems.
Ensure the contractor’s activities do not damage or affect the operation of existing
systems.
Ensure standards to be salvaged are completely disassembled.
If the project includes a bid item for maintaining existing traffic management system
elements during construction, ensure the contractor conducts a preconstruction and
post-construction operational status check of the existing electrical system’s elements.
Review Sections 4-1002A, “Work Sequencing,” and 4-1003A, “Work Sequencing,” of
this manual.
If work on an existing signal and lighting system requires the detectors to be
disconnected or the system to be turned off, notify the electrical maintenance
superintendent in advance. When necessary, a Caltrans electrician will place the system
temporarily on recall. If the signal must be turned off, provide a 24-hour notice to the
appropriate law enforcement agency and arrange for traffic control if necessary.
Verify detectors damaged by the contractor’s activities are replaced within 72 hours.
Otherwise, have the district maintenance office replace the detectors and process a
contract deduction.
Ensure modifications and removal of existing systems are done according to the
contract requirements.

4-8704 4-8704 Level of Inspection

Level of Inspection Suggested levels of inspection for typical work activities are:
• Benchmark inspection of preconstruction operational status check of the existing
systems before starting any work activities.
• Intermittent inspection of conduit material and dimension.
• Intermittent inspection of conductor gauge, insulation, and color.

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4-87.14 Electrical Systems
• Intermittent inspection of cable insulation and number of conductors, and
conductor’s gauge, insulation, and color.
• Intermittent inspection of trench’s width and depth.
• Intermittent inspection of pull boxes installation, grouting, and leveling.
• Intermittent inspection of equipment installation and wiring.
• Benchmark inspection of post-construction operational status check of the existing
systems before contract acceptance.
4-8705 Quality Control 4-8705
Coordinate with METS to ensure the contractor has submitted test samples of: Quality Control
• Accessible pedestrian signals.
• LED countdown pedestrian signal face modules.
• LED signal modules.
• LED luminaires.
The contractor tests each conductor and conductors in cables for continuity and
insulation resistance. Refer to Section 4-8701, “General,” of this manual.
The contractor performs a 5-business-day continuous operation test for each completed
electrical system.
4-8706 Payment 4-8706
Verify all the bid items and review the special provisions as to the method of payment Payment
and the condition of the item payments.
Review the contractor’s schedule of values breakdown for completeness and accuracy.
Section 9-1.16, “Progress Payments,” of the Standard Specifications provides details
for a cost breakdown of lump-sum bid items. Require the contractor to correct any
unbalanced unit costs before approving the submittal. You can use this breakdown for
progress payments and as a cost basis for change orders. Approve the cost breakdown
before making partial payments on lump-sum electrical items.
For progress payment purposes, keep records of partial payments for each period.
On many projects, electrical systems equipment, and electrical hardware items are
listed as eligible for payment as material on hand. On a monthly basis, check the
contractor’s submittals for materials on hand and verify that materials incorporated into
the work have been removed from the submittals. Refer to Section 3-906E, “Materials
on Hand,” of this manual for additional information.
Deduct the cost for source inspection of poles for electrical systems in accordance with
Section 6-2.01E, “Material Source Inspection and Testing” of the Standard
Specifications.
Deduct the cost of any work performed by Caltrans maintenance crews on new or
portions of existing system modified under the contract.

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Electrical Systems 4-87.15
 Example 4-87.1. Electrical Systems Sample Checklist

Check if satisfactory.

1. Pull boxes to grade

2. Pull boxes correctly labeled

3. Ground bushings and connections tight

4. Conductor splices are soldered and water tight.

5. All metal components bonded and grounded

6. Vehicle detectors in proper lane, labeled, and tested

7. Pedestrian Count Down heads

Pedestrian signs correct at Accessible Pedestrian Signals or

8.
push buttons

9. Accessible Pedestrian Signals programmed correctly

10. Signal heads louvered when required

11. Heads correctly positioned and aimed at traffic

12. Pole base bolts checked for tightness

13. Poles checked for proper painting when required

14. Shield of telephone interconnect proper in controller cabinet

15. Lugs in controller cabinet checked for tightness

16. Conductors tested for continuity, resistance, and grounding

17. Operational tests for electrical systems

18.

Inspected by________________________________

Comments:

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4-87.16 Electrical Systems
Chapter 4 Construction Details

Section 90 Concrete
4-9001 General
4-9001A Before Work Begins
4-9001A (1) Materials
4-9001A (1a) Cementitious Materials
4-9001A (1b) Aggregates
4-9001A (1c) Admixtures
4-9001A (2) Check of Mix Design
4-9001A (2a) Checking Proportions
4-9001A (2a) 1 Cementitious Material Content
4-9001A (2a) 2 Water Content
4-9001A (2a) 3 Aggregates
4-9001A (2a) 4 Admixtures
4-9001A (2a) 5 Volume
4-9001A (3) Proportioning
4-9001A (4) Curing Concrete
4-9001A (5) Compressive Strength
4-9001B During the Course of Work
4-9001B (1) Proportioning and Mixing Operations
4-9001B (2) Mixing and Transporting
4-9001B (3) Curing Concrete
4-9001B (4) Protecting Concrete
4-9001C Level of Inspection
4-9001D Payment
4-9002 Minor Concrete
4-9003 Rapid Strength Concrete
4-9003A Before Work Begins
4-9003B During the Course of Work
4-9003C Payment
4-9004 Precast Concrete
4-9004A Before Work Begins
4-9004B During the Course of Work
4-9004C Payment
4-9005 Self-Consolidating Concrete
4-9005A Before Work Begins
4-9005B During the Course of Work
4-9006 Lightweight Concrete
4-9006A Before Work Begins
4-9006B During the Course of Work

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Concrete 4-90.i
Chapter 4 Construction Details

Section 90 Concrete Section 90

Concrete
4-9001 General 4-9001
Section 90, “Concrete,” of the Standard Specifications provides material requirements General
for concrete with the following descriptions:
• General
• Minor concrete
• Rapid strength concrete
• Precast concrete
• Self-consolidating concrete
• Lightweight Concrete
For a complete discussion on various items using concrete, refer to Sections 40,
“Concrete Pavement”; 41, “Existing Concrete Pavement”; 50, “Prestressing Concrete”;
51, “Concrete Structures”; 72, “Slope Protection”; and 73, “Concrete Curbs and
Sidewalks,” among other sections of the Standard Specifications. Also, refer to the
corresponding Sections 4-40, 4-41, 4-50, 4-51, 4-72, and 4­73 of this manual. The
resident engineer should contact Materials Engineering and Testing Services (METS),
and the district materials engineer for additional guidance on specialty concretes.
Additional information on concrete is available in Structure Construction’s Concrete
Technology Manual and the Bridge Construction Records and Procedures manual:
http://www.dot.ca.gov/hq/esc/construction/manuals/
Regardless of the type of concrete to be used, recycled concrete may not be used on
Caltrans contracts unless specifically allowed by the specifications. Recycled concrete
includes use of plastic concrete combined with fresh concrete, use of reclaimed
concrete materials from unhardened concrete, and use of materials from crushed
concrete.
4-9001A Before Work Begins
In general, the Standard Specifications require the contractor to determine the mix
proportions for all concrete. To determine the various types of concrete that will be
required, review the contract provisions. Pay particular attention to concrete
information, such as “cementitious material content,” “compressive strength,” “minor
concrete,” “rapid strength concrete,” “precast concrete,” “self-consolidating concrete,”
or “lightweight concrete.” Also, note the type of cement to be used and any special
requirements for the aggregate and use of admixtures. Projects in corrosive
environments or freeze-thaw areas will contain additional concrete requirements. Make
a list of the various mix designs the contractor will need to submit and a note of the
concrete that needs to be prequalified before use. To avoid potential project delays and
aid in the review process, encourage the contractor to submit the mix designs early in
the project.
Review the mix designs for compliance with the special provisions, Standard
Specifications, and contract plans, or forward the mix designs to the district Materials

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Concrete 4-90.1
 Unit for review. Before the contractor places any concrete, the district Materials Unit
will need an authorized copy of the mix design for the 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 use to avoid delays. Refer to Section 90-
1.01D(5)(b), “Prequalification,” of the Standard Specifications for additional
information. Review the data and results for contract compliance.
Review the current certifications of Caltrans field staff who will perform acceptance
sampling and testing of the concrete. Ensure that staff is certified for sampling and
testing required for items of concrete work included in the project. Following are
common test methods:
• California Test 125, “Methods of Test for Sampling Highway Materials and
Products Used in the Roadway Structural Sections.”
• California Test 504, “Method of Test for Determining Air Content of Freshly
Mixed Concrete by the Pressure Method,” if air entrainment in concrete is
required.
• California Test 518, “Method of Test for Unit Weight of Fresh Concrete.”
• California Test 521, “Method of Test for Compressive Strength of Molded
Concrete Cylinders.”
• California Test 523, “Method of Test for Flexural Strength of Concrete.”
• California Test 524, “Method of Test for Flexural Strength of Rapid Strength
Concrete,” if using rapid strength concrete in pavement applications.
• California Test 533, “Method of Test for Ball Penetration in Fresh Portland
Cement Concrete.”
• ASTM C143, “Standard Test Method for Slump of Hydraulic-Cement Concrete,”
if specified in the applicable concrete application.
• California Test 539, “Method of Test for Sampling Fresh Concrete.”
• California Test 540, “Method of Test for Making, Handling, and Storing Concrete
Compressive Test Specimens in the Field.”
• California Test 556, “Method of Test for Slump of Fresh Portland Cement
Concrete.”
• California Test 557, “Method of Test for Temperature of Freshly Mixed Portland
Cement Concrete.”
Review specifications for specific concrete acceptance sampling and testing
requirements and determine if additional certifications will be required for field staff
performing acceptance sampling and testing. Contact the district materials engineer for
assistance in obtaining any specialty certifications.
4-9001A (1) Materials
Before work begins, verify that Form CEM-3101, “Notice of Materials to Be Used,”
includes concrete materials such as cement, fly ash, and aggregate. Refer to Section 6-
202, “Responsibilities for Acceptance of Manufactured or Fabricated Materials and
Products,” of this manual for additional information.
4-9001A (1a) Cementitious Materials
Cementitious materials are normally accepted based on certificate of compliance, so
initial samples are not taken. Cementitious materials are required to be on the

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4-90.2 Concrete
Authorized Material List at the time of mix design submittal. Refer to:
http://www.dot.ca.gov/hq/esc/approved_products_list/
If special requirements exist for the cementitious materials, initial testing should be
considered. For more details about cementitious materials sampling and testing, refer to
Chapter 6, “Sampling and Testing,” of this manual.
4-9001A (1b) Aggregates
From the contractor, obtain in writing the primary aggregate nominal sizes to be
furnished and their source pit locations. Ensure aggregate material sources comply with
Section 7-103H (2), “Surface Mining and Reclamation Act,” of this manual. Note that
for concrete aggregate to be considered innocuous, both coarse aggregate and fine
aggregate sources must be listed on the Authorized Material List. Refer to:
http://www.dot.ca.gov/hq/esc/approved_products_list/
Aggregate sources not on this list will impact cementitious material calculations as
discussed in Section 4-9001A (2a).1, “Cementitious Material Content.”
• Verify with the district Materials Unit that current tests have been performed on
aggregates as listed in Section 6-1, “Sample Types and Frequencies,” of this
manual.
• You may omit initial sampling and testing if the specified aggregate is currently
being used on another Caltrans contract with acceptable testing results. In the daily
report, record any reasons for not taking initial samples.
• If aggregate test data is not available, obtain initial samples of aggregate to be used
and have them tested for all specified attributes. For reference, refer to the table in
Section 6-1 of this manual. Indicate whether oversized material will be crushed or
if any special blends are contemplated. To prevent unnecessary expense and delay,
send samples that can be evaluated against the specification gradation without
further processing.
When the type or amount of concrete work doesn’t require furnishing the proposed
gradation, advise the contractor and note such a decision in the daily report.
4-9001A (1c) Admixtures
Before work begins, do the following for admixtures:
• Ensure admixtures are a type allowed by the Standard Specifications or special
provisions. Admixtures must be on the Authorized Material List maintained by
METS, available at:
http://www.dot.ca.gov/hq/esc/approved_products_list/
• Accept admixtures by certificate of compliance from the admixture manufacturer.
• If more than one admixture is proposed for use, admixtures must be compatible
with each other.
• Even when a contract specifically allows or requires admixtures, check the
proposed dosage rate for each specific product other than air­entraining agents.
• Refer to “Concrete Admixtures,” in Chapter 2 of Structure Construction’s
Concrete Technology Manual for additional information on admixtures.

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Concrete 4-90.3
 4-9001A (2) Check of Mix Design
Before use of any concrete, the contractor is required to submit in writing a copy of
their mix designs. Likewise, revisions in proportions of a previously authorized mix
design will require a new mix design submittal. An integral part of quality assurance is
the review of the submitted concrete mix designs for compliance with contract
requirements. Attention must be paid to concrete requirements within the plans and
specifications because, on most projects, there will be a need for multiple concrete mix
designs for different uses, locations, and exposures. While it is the contractor's
responsibility to design their concrete mixes using ingredients in compliance with
contract requirements, it is critical that any submitted mix design that does not meet
contract requirements be brought immediately to the contractor's attention. Once the
submitted mix design, including required supporting documentation and qualifications,
has been reviewed and determined to comply with contract requirements, notify the
contractor of mix design authorization for the specific intended use. Ensure a copy of
the authorization letter is filed in the project records.
For concrete in pavement, approach slabs, and bridge decks, or when other concrete
shrinkage limitations are specified, ensure shrinkage test data under AASHTO T 160 is
submitted and reviewed with the mix design.
Concrete mixes should generally be designed with proportions that will produce
concrete with the following qualities:
• The stiffest consistency (lowest penetration) that can be placed efficiently.
• Adequate mortar content to provide the required finish.
• The lowest water demand consistent with the aggregate specified.
4-9001A (2a) Checking Proportions
Structure Construction’s Concrete Technology Manual contains multiple examples of
concrete mix design reviews. The following narrative identifies key elements to
consider during the mix design review process.
4-9001A (2a) 1 Cementitious Material Content
The cementitious material content is limited, and the design must conform to the
specified limited amounts and requirements of Section 90-1.02B, “Cementitious
Materials,” of the Standard Specifications.
Cementitious material content minimums and maximums will generally be found in
the specifications covering that item of work and not in Section 90. For example,
Section 51-1.02B, “Concrete,” of the Standard Specifications contains a table for
general cementitious material content requirements for structures, though special
provision requirements may modify these requirements for particular concrete
structural elements.
Be aware that if the submitted mix design uses an authorized water-reducing admixture
at the authorized dosage, the specified cementitious material content may be reduced
up to 5 percent by weight under Section 90-1.02E(2), “Chemical Admixtures,” of the
Standard Specifications. This provision is not allowed for concrete pavements.
Once the mix design’s cementitious material content has been verified, ensure that
equations 1 and 2 of Section 90-1.02B(3), “Supplementary Cementitious Materials,” of
the Standard Specifications have been met. Note that in evaluating equation 1, for
aggregate to be considered innocuous, all aggregates must be innocuous.

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4-90.4 Concrete
Also, note that concrete in certain exposure areas will have special cementitious
material requirements that need to be verified. Examples of these areas include
concrete in corrosive environments under Section 90-1.02H and concrete in freeze-
thaw areas under Section 90-1.02I of the Standard Specifications. Concrete subject to
these exposure areas will be designated in the contract.
4-9001A (2a) 2 Water Content
Section 90-1.02G(6), “Quantity of Water and Penetration or Slump,” of the Standard
Specifications provides the general requirements for maximum free water allowed in
concrete mix designs. There may be specific provisions concerning water allowance
for the contract item that will govern. When evaluating free water amounts, keep in
mind that free water is defined as the amount of water in the mix excluding the amount
of moisture in aggregates at their saturated surface dry condition. Note that if liquid
admixtures are used in a cumulative amount of more than 1/2 gallon per cubic yard, the
amount of liquid admixture is to be considered free water.
Nominal penetration and or slump requirements must also be considered during the
mix design review. Concrete mixes requiring prequalification under Section 90-
1.01D(5)(b) of the Standard Specifications require either certified test data or trial
batch reports that include penetration or slump information. Use caution when
reviewing and authorizing concrete mix designs that indicate maximum nominal
penetration or slump values or have used the maximum amount of allowable free water
within the mix design. Both cases leave little in the way of adjustment if problems are
encountered and may result in significant delays if new mix designs are required.
Certain concrete or exposure areas may also specify water to cementitious material
ratio requirements on the concrete. These are typically based on the weight of free
water to the weight of cementitious materials in the mix. Ensure any such requirements
are evaluated during the mix design review.
4-9001A (2a) 3 Aggregates
Aggregates for concrete must conform to Section 90-1.02C “Aggregates,” of the
Standard Specifications unless specified otherwise. These requirements include
durability and cleanness testing requirements for coarse aggregates, and organic
impurities and sand equivalent testing requirements for fine aggregates.
There are multiple gradation requirements (coarse aggregate, fine aggregate, and
combined aggregate) that the mix design must be checked against. Note that the
contractor controls a portion of the gradation requirements by proposing the “X” values
within a specified allowable range for certain sieve sizes. These proposed “X” values
complete the individual gradation limit requirements of Sections 90-1.02C(4)(b),
“Coarse Aggregate Gradation,” and 90-1.02C(4)(c), “Fine Aggregate Gradation,” of
the Standard Specifications. Verify that proposed “X” values are within allowable
ranges for each sieve size. Check submitted gradations for coarse and fine aggregates
and verify that gradations are within the specified operating range limits. Check
additional individual gradation requirements at this time, including limitations on
differences between total percentage passing adjacent sieve sizes.
Using a combined analysis of the gradations in the proportions of the mix design,
determine if the combined gradation meets the gradation limits shown in Section
90-1.02C(4)(d), “Combined Aggregate Gradation,” of the Standard Specifications.

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Concrete 4-90.5
 4-9001A (2a) 4 Admixtures
Verify that dosage amounts for each admixture within the mix design are within those
listed on the Authorized Material List.
Where more than one admixture is proposed in the mix design, remind the contractor
that admixtures must be compatible with each other to realize effectiveness of the
admixtures.
When chemical admixtures are used in combination with supplementary cementitious
materials (SCM), the chemical admixture manufacturer’s written instructions must
include a statement of compatibility for the types and quantities of SCM being
proposed.
4-9001A (2a) 5 Volume
Verify that individual mix design constituent volumes total to a cubic yard by using the
weights and specific gravities of the constituents. For aggregates, use the specific
gravity at saturated surface-dry condition.
4-9001A (3) Proportioning
The following is primarily a guide for the Caltrans plant inspector, but anyone who
needs to verify that plant operations are contract compliant can also use this guide:
• Ensure that storage of aggregates conforms to specification requirements. When
various sizes are to be stored separately, require physical separation, either by
space between stockpiles or some type of wall that will provide positive
separation. Pay particular attention to the method used to prevent contamination of
the aggregate. In general, a wood platform or hard surface, as specified in Section
90-1.02F(2), “Storage of Aggregates,” of the Standard Specifications is required
for storage of the aggregate stockpile.
• Determine whether the stockpiled aggregate is similar to material upon which the
mix design was based.
• As a part of the Material Plant Quality Program (MPQP), the district weights and
measures coordinator will have completed a safety inspection of the plant facilities
frequented by the Caltrans plant inspector for the plant in question. Review the
sampling facilities to ensure they will deliver a sample in a safe manner that
accurately represents the material. For sampling requirements, refer to California
Test 125, “Methods of Test for Sampling Highway Materials and Products Used in
the Roadway Structural Sections.”
• Before use for Caltrans projects, the plant scales and meters must have a current
Form CEM-4204, “MPQP Acceptance Sticker.” The district weights and
measures coordinator is responsible for the MPQP acceptance process. 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, refer to Section 3-902E, “Weighing Equipment and
Procedures,” of this manual.
The county sealer of weights and measures tests and seals weighing and metering
devices at commercial plants. During the sealing of these plants, the county sealer
does not test the interlocks. Therefore, even though the county sealer has sealed the
scales and meters, the interlocks must be tested and approved as for

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4-90.6 Concrete
 noncommercial plants in accordance with Chapter 3, Section II, “Testing and
Accepting Weighing and Measuring Devices,” of the MPQP manual.
• Ensure that cementitious materials can be kept separate from the aggregate until
they are discharged into the mixer.
• Ensure the plant or mixer has the specified automatic timing device. When
automatic batching is used, the timing device must be interlocked with the mixer
discharge mechanism as specified.
• Examine mixers to ensure that blades are not worn. See that mixers are free of
accumulations of hard concrete or mortar.
• Ensure truck mixers have the required metal plates containing the specified
information. Also, check truck mixers to ensure they have the specified revolution
counters.
• Ensure the contractor will not use equipment with aluminum or magnesium
components if these components will contact plastic concrete.
• Check the following when the concrete to be produced is for concrete pavement:
1. Ensure that the plant has a moisture meter. Be aware that any moisture
determination is calculated “as a percent of the dry aggregate.” Commonly
used moisture meters measure the total moisture in the material being tested.
However, specifications for moisture content in the fine aggregate and batch
proportion calculations are based on the free moisture rather than the total
moisture content. Therefore, ensure the moisture meter is calibrated for the
absorption of the aggregate upon which it is to be used.
2. Ensure that the system contains the specified proportioning interlocks.
Determine whether the proportioning system is capable of full automatic
operation.
3. Determine whether the equipment is capable of accepting changes in
proportions or sequence of weighing individual sizes without delay.
4-9001A (4) Curing Concrete
Review the various methods of curing concrete contained in Section 90-1.03B,
“Curing Concrete,” in the Standard Specifications, and discuss with the contractor the
proposed methods. Before concrete work begins, ensure the contractor has the required
curing materials and equipment onsite. Such materials include rugs, a water supply, or
acceptable curing compound. Do not allow hand spraying except as allowed under
Section 90-1.03B(3)(d), “Application,” of the Standard Specifications.
The curing compound must be of the type specified by the special provisions, Standard
Specifications, or both. Obtain a certificate of compliance for the curing compound
prior to its use.
4-9001A (5) Compressive Strength
If the 28-day compressive strength described is 3600 pounds per square inch (psi) or
greater, the concrete is designated as compressive strength. When concrete has a
described 28-day compressive strength greater than 3600 psi or a minimum concrete
compressive strength is specified as a prerequisite to applying loads or stresses to a
concrete structure or member or as specified, the contractor must prequalify the
concrete before its use in the work. For additional details, refer to Section 6-305D (2),
“Trial Batches,” of this manual; the Bridge Construction Records and Procedures

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Concrete 4-90.7
 manual; Concrete Technology Manual; and Section 90-1.01D(5), “Compressive
Strength,” of the Standard Specifications.
4-9001B During the Course of Work
During the work, the resident engineer must do the following:
• Sample the concrete within the requirements and frequencies of Section 90,
“Concrete,” and item of work sections of the Standard Specifications, and Chapter
6, “Sampling and Testing,” of this manual.
• Make appropriate arrangements for plant inspection.
• Review placement, protection, curing, and staging.
• Review concrete washout procedures as they apply to the water pollution control
plan.
4-9001B (1) Proportioning and Mixing Operations
This section is primarily a guide for the Caltrans plant inspector, but can be used by
anyone who may need to verify that plant operations comply with the contract. During
proportioning and mixing operations, do the following:
• Obtain and ensure that the certificates of compliance for cementitious materials are
signed as specified.
• Observe the cementitious material storage facilities to ensure cementitious
materials are protected from moisture.
• Obtain samples of the aggregate in accordance with California Test 125, “Methods
of Test for Sampling Highway Materials and Products Used in the Roadway
Structural Sections,” and test them for the specified properties in accordance with
the frequencies shown in Section 6-1, “Sample Types and Frequencies,” of this
manual. For the surface moisture content of fine aggregate, vary the testing
frequency depending on the uniformity of supply. A change of 1 percent in the
moisture content of sand, if not compensated for during batching, may change the
penetration of concrete as much as 3/4 inch and the compressive strength as much
as 300 psi. You can use California Test 223, “Method of Test for Surface Moisture
in Concrete Aggregates by the Displacement Method (Field Method),” or the
oven-dry method, in which case you must consider an adjustment for absorption.
• Compare the test results with the data upon which the design was based, and
ensure the contractor takes any necessary corrective actions. When cementitious
content designates the concrete, ensure the contractor adjusts the design to
compensate for any significant differences within the nominal sizes the contractor
proposed. When the concrete is designated by compressive strength, ensure the
contractor takes immediate corrective action for any significant deviations in
production operations from those used during the production of trial batches.
• Observe the addition of admixtures to ensure they are as shown on the authorized
mix design and are dispensed in the specified manner. Obtain certificates of
compliance for each admixture product.
During proportioning and mixing of materials, ensure the following occur in the
quantities and by the methods specified:
1. At least twice during each shift, ensure scales are balanced at zero load and
inspect them for signs of sluggishness, inaccuracy, or damage. Should an

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4-90.8 Concrete
 apparent problem with the weighing or measurement systems exist, contact
the district weights and measures coordinator for the method of correcting the
problem. Also, check for sticking materials that do not discharge.
2. Batch controllers that have the ability to provide an estimate of returned
concrete for rebatching must have that feature disabled. Check that delivery
trucks are completely empty, including washout water, 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 the MPQP.
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. Where allowed, observe the hand-mixing of concrete to ensure it is being
mixed in the specified manner.
• For concrete used in pavement, or when required for other types of concrete,
ensure that automatic devices perform the proportioning operation as specified.
Require the plant operator to demonstrate the function of interlock devices. Limit
this check of proportioning interlock tolerances to a visual witnessing of the
maximum tolerance settings in the batch computer.
• Perform California Test 518, “Method of Test for Unit Weight of Fresh Concrete,”
to verify the unit weight, volume, and cementitious material content of concrete in
accordance with the frequencies shown in Section 6-1, “Sample Types and
Frequencies,” of this manual. Notify the contractor 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 weighmaster certificate for each delivery load. It is not
sufficiently accurate to use the ordered batch weights.
When the unit weight or cement factor varies considerably for no apparent reason,
check the accuracy of the scales. For a quick method, weigh a loaded and unloaded
truck on platform scales. With this method, you can also detect erratic weighing
because of binding scales.
• When air-entraining agents are used, perform California Test 504, “Method of Test
for Determining Air Content of Freshly Mixed Concrete by the Pressure Method,”
to determine the air content of concrete in accordance with the frequencies shown
in Section 6-1 of this manual.
• To determine the consistency of the concrete, perform California Test 533,
“Method of Test for Ball Penetration in Fresh Portland Cement Concrete,” or
ASTM C143, “Standard Test Method for Slump of Hydraulic Cement Concrete,”
depending on the type of work identified in Section 90-1.02G(6), “Quantity of

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Concrete 4-90.9
 Water and Penetration or Slump,” of the Standard Specifications. When specified
nominal values are exceeded, ensure the contractor makes adjustments. Concrete
exceeding maximum specified values is not to be used in the work.
Use the results of California Test 533, ASTM C143, and California Test 529,
“Method of Test for Proportions of Coarse Aggregate in Fresh Concrete,” to
determine the uniformity of concrete. When differences exceed specified values,
require the contractor to improve the mixing operation.
• Periodically check the recording of data on weighmaster certificates for truck
mixers or agitators to ensure that the required information is being entered, refer to
Section 90-1.01C(7), “Concrete Delivery,” of the Standard Specifications.
• 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. Ensure the contractor complies with their
quality control plan where specified and review quality control information in a
timely manner. When test results indicate, ensure the contractor makes corrections
in the production operation. Where necessary, ensure the contractor revises the mix
design and submits for approval. Revised mix designs must be approved prior to
use.
• Reject (based on penetration or slump) excessively wet batches discharged from
mixers and do not use in the work. Prohibit indiscriminate additions of water to the
mixer solely to increase the flow of already workable concrete.
• 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 including a
cross reference to weighmaster certificate’s load number in the daily report.
4-9001B (2) Mixing and Transporting
During the work, do the following:
• Ensure that concrete is transported in accordance with the applicable
specifications.
• Ensure that the proper mix design is being batched and arrives at the job site. The
concrete must arrive with a weighmaster certificate that contains the specified
information. Ensure certificates of compliance for cementitious materials and
admixtures are provided. The weighmaster certificate must also show the actual
scale weights (pounds) for the ingredients batched. Prohibit theoretical or target
batch weights as substitutes for actual scale weights. Verify the specified
information is actually on the weighmaster certificate. Use caution in authorizing
submittal of this information in electronic media as access to this information is
needed in the field as the material is delivered and placed.
• As the concrete is placed, ensure that it is homogeneous and thoroughly mixed and
that no lumps or evidence of undispersed cementitious material exists.
• Check truck agitators to determine whether they are being operated at the speed
designated by the manufacturer.

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• Ensure that nonagitating hauling equipment does not leak and self­cleans during
discharge.
• Ensure that concrete hauled in open-top vehicles is protected as specified.
• Verify the uniformity of the concrete under Section 90-1.02A, “General,” of the
Standard Specifications through California Test 533, ASTM C143, or California
Test 529 as applicable for the use of concrete. Record the results on the daily
report. If the concrete exceeds the nominal or maximum penetration or slump
allowed under Section 90-1.02G(6), “Quantity of Water and Penetration or
Slump,” of the Standard Specifications, take appropriate action.
• When authorized, water withheld during batching can be added at the delivery
point to truck mixers. Ensure that withheld water is mixed as specified. Do not
allow water to be added after the start of concrete discharge. Also do not allow
adding of water in excess of the amount listed in the approved mix design. Ensure
the proportioning is corrected if constant mixing is necessary at the discharge
point.
• When adverse or difficult conditions affect concrete placement, the contractor may
request that the specified penetration and free-water content limitations be
exceeded under Section 90-1.02G(6), “Quantity of Water and Penetration or
Slump,” of the Standard Specifications. Where such requests are authorized,
ensure that the added water and cementitious materials do not exceed the specified
ratio allowance.
• Measure the temperature of the concrete periodically. You can obtain the
temperature of the fresh concrete from a sample withdrawn from the mixer just
before discharge or from within the forms during or immediately after discharge
from the mixer.
• Temperature requirements for specialty concrete may vary. Refer to the
specifications for these requirements.
• When concrete is being hauled in truck mixers or agitators, ensure the discharge is
completed within 1-1/2 hours or 250 revolutions after introducing the cementitious
material to the aggregates. If the concrete temperature is 85 degrees F or above,
determine the time (less than 1-1/2 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.
• When nonagitating equipment is used, ensure the discharge is completed within 1
hour as specified. If the concrete’s temperature is 85 degrees F 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

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Concrete 4-90.11
 specifications. If, because of the circumstances of long hauls or other reasons, such
a calculation is not possible, you can ask the supplier for the schedule of time the
drum will be operated at mixing speed. At the end of that time, the operator can
reduce drum speed to agitating range. The number of revolutions at mixing speed
is not considered to be as important as the total number of revolutions of mixing.
However, at very low mixer rpm and at the minimum number of revolutions, it is
possible that inadequate mixing will result.
• Sample concrete and fabricate test cylinders in accordance with Section 6-1,
“Sample Types and Frequencies,” of this manual and specification requirements
for acceptance sampling and testing.
• Do not allow trucks to exceed the weight limits, especially for bridges, given in
Section 5-1.37B, “Load Limits,” of the Standard Specifications, for additional
information refer to Section 3-519B, “Load Limits,” of this manual.
4-9001B (3) Curing Concrete
Ensure the contractor applies the proper cure method in accordance with the
specifications. Periodically check that the contractor is maintaining the cure through the
curing period.
4-9001B (4) Protecting Concrete
Anticipate adverse weather conditions and discuss options with the contractor. Require
the contractor to submit a written plan on methods to protect the concrete if adverse
weather sets in or is anticipated.
Concrete needs time to attain sufficient strength to carry loads. Do not allow anyone to
drive or place equipment or loads on the pavement when those loads are greater than
those allowed by the contract.
4-9001C Level of Inspection
Levels of inspection for concrete material operations are highly dependent upon the
concrete element being constructed. Levels of field inspection of concrete elements
should be addressed within the corresponding section of Chapter 4, “Construction
Details,” of this manual. When arranging for concrete plant inspection for these
elements it is important to discuss both relative importance of the element and
associated sampling and testing frequencies with the plant inspector. Levels of plant
inspection may also vary depending on prior performance of the mix, weather
conditions, and uniformity history of constituents.
4-9001D Payment
Measurement and payment must comply with the applicable sections of this manual
and the special provisions, Standard Specifications, and Bridge Construction Records
and Procedures manual.
Review and document the results of acceptance testing in accordance with Chapter 6,
“Sampling and Testing,” of this manual and specification requirements. Take
appropriate remedial action or deductions for failing results on acceptance tests.
4-9002 4-9002 Minor Concrete
Minor Concrete The general provisions of Section 90-1, “General,” of the Standard Specifications
apply to minor concrete unless otherwise specified. Similarly, guidance contained in

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4-90.12 Concrete
Section 4-9001, “General,” of this manual is applicable to minor concrete unless
otherwise stated.
Ensure that the minor concrete mix design contains at least the minimum amount of
cementitious materials specified.
Ensure that mix designs for minor concrete are submitted and authorized prior to use
on the contract. When applicable, ensure compressive strength test results are
submitted with the mix design as specified in Section 90-2.01C, “Submittals,” of the
Standard Specifications.
Ensure that the contractor submits a proposed combined aggregate gradation unless
this requirement is waived by the resident engineer. Note that Section 90-2.02C,
“Aggregate,” of the Standard Specifications includes aggregate requirements for minor
concrete and specifically excludes certain aggregate requirements in Section 90-1,
“General,” of the Standard Specifications.
Note that Section 90-2.02D, “Water,” of the Standard Specifications includes water
requirements for minor concrete and specifically excludes certain water requirements
in Section 90-1, “General,” of the Standard Specifications.
Production requirements for minor concrete are contained in Section 90-2.02E,
“Production,” of the Standard Specifications. Note that these requirements specifically
exclude certain sections of proportioning, mixing, and transporting concrete
requirements in Section 90-1, “General,” of the Standard Specifications.
Ensure that a certificate of compliance is provided for minor concrete and that each
load is accompanied by a weighmaster certificate with the specified information. Refer
to Section 90-2, “Minor Concrete,” of the Standard Specifications for additional
information on minor concrete.
Be sure to review any contract item specifications that require minor concrete as they
may have additional or modified concrete requirements.
4-9003 Rapid Strength Concrete
The general provisions of Section 90-1, “General,” of the Standard Specifications 4-9003
apply to rapid strength concrete (RSC) unless otherwise specified. Similarly, guidance Rapid Strength
contained in Section 4-9001, “General,” of this manual is applicable to RSC unless
Concrete
otherwise stated.
If RSC is proportioned volumetrically, the following additional guidance will apply:
4-9003A Before Work Begins
• Ensure that each volumetric mixer is calibrated prior to beginning production
work.
• Ensure that certificates of compliance are provided for each delivery of aggregate,
cementitious material and admixtures used in calibration tests and that the material
sources are the same as those that will be used for the planned work.
4-9003B During the Course of Work
• Ensure that weighmaster certificates are provided for cement as required in Section
90-3.01C(4), “Weighmaster Certificate,” of the Standard Specifications.
• Ensure that aggregate moisture test results, log of production data and test samples
of freshly mixed concrete for uniformity testing are submitted.

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Concrete 4-90.13
 • Ensure that the contractor measures aggregate moisture under California Test 223,
“Method of Test for Surface Moisture in Concrete Aggregates by the
Displacement Method (Field Method),” every 2 hours during production and that
the information is being submitted at the end of each production shift.
• Ensure that production data is provided at the end of each production shift in the
format specified.
• Ensure that the contractor maintains a witness scale at the production site
throughout the production period. When concerns arise, accuracy checks can be
made using the witness scale. Recalibration of proportioning devices may also be
performed with the witness scales. Contact the district’s weights and measure
coordinator to witness the accuracy checks, recalibrations, and spot calibrations
(cement proportion system only).
• Ensure that volumetric mixers comply and operate with the requirements specified
in Section 90-3.02B(3), “Mixer Requirements,” of the Standard Specifications.
• Check for uniformity by measuring penetration with California Test 533, “Method
of Test for Ball Penetration in Fresh Portland Cement Concrete.” Ensure
penetration comparisons are made on two test samples of mixed concrete from the
same batch or volumetric mixer load. Any difference in readings must be within
the specified tolerance.
• Ensure that RSC is properly cured. If using a cement other than portland cement,
the RSC is to be cured as recommended by the cement manufacturer. The method
of curing must be authorized before starting construction.
4-9003C Payment
Where volumetric mixer calibration is performed more than 100 miles from the project
limits, ensure that the specified deduction amount is taken for each calibration session.

4-9004 4-9004 Precast Concrete

Precast Concrete The general provisions of Section 90-1, “General,” of the Standard Specifications
apply to precast concrete unless otherwise specified. Similarly, guidance contained in
Section 4-9001, “General,” of this manual is applicable to precast concrete unless
otherwise stated.
4-9004A Before Work Begins
• Review precast concrete specification requirements and note any special
requirements including specified exceptions to those of general concrete.
• Identify the tier designations corresponding to the precast concrete members in the
project, refer to Section 90-4.01D(1), “General,” of the Standard Specifications.
The tier designation will invoke specified requirements for those precast concrete
elements.
• For tiers 1 and 2 precast concrete members, ensure the contractor submits a
project-specific quality control plan for authorization prior to performance of any
precast activities. Tier 1 and tier 2 members must be produced at an authorized
facility and the quality control plan must supplement the information from the
authorized facility audit. The structural materials representative (SMR) from the
Office of Structural Materials within METS will assist with review of this quality
control plan, be knowledgeable of the authorized facility audit, arrange any

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4-90.14 Concrete
 inspections at the plant location, and monitor the contractor’s compliance with
their quality control plan. Once the precast quality control plan has been submitted
and prior to production, hold a quality control meeting with the SMR and
contractor to discuss. Refer to Sections 90-2.01C(3), “Precast Concrete Quality
Control Plan,” and 90-4.01D(2), “Quality Control,” of the Standard Specifications
for additional information as they pertain to tiers 1 and 2 precast concrete
members.
• For tiers 3 and 4 precast concrete members, a project-specific quality control plan
is not required.
• Ensure that expansion test data is submitted with the mix design when required
under Section 90-4.02, “Materials,” of the Standard Specifications. Specifications
for shrinkage in Section 90-1.02A, “General,” of the Standard Specifications are
not applicable to precast concrete.
• When reviewing the mix design, ensure that the SCM content requirements for
precast concrete meet those specified in Section 90-4.02, “Materials,” of the
Standard Specifications. Note that the SCM content requirements in Section 90-
1.02B(3), “Supplementary Cementitious Materials,” of the Standard Specifications
do not apply to precast concrete.
• Ensure that a trial batch and prequalification of the materials, mix proportions,
mixing equipment and procedures are performed if precast concrete is not
manufactured at an established precast concrete plant.
• Review specifications and this manual concerning precast concrete items of work
to determine method of acceptance. Pay particular attention to which precast items
will receive source inspection as opposed to those which will be inspected in the
field. If there are questions concerning Caltrans’ acceptance of precast concrete
members, contact the SMR.
4-9004B During the Course of Work
Ensure certificates of compliance, signed by the concrete manufacturer, are submitted
for cementitious materials used in purchased precast concrete products. For tiers 1 and
2 members, the certificate is to be signed by the quality control manager. For tier 3
members, the certificate is to be signed by the quality control inspector. The SMR will
typically verify this information for tiers 1 and 2 members.
4-9004C Payment
Review payment provisions within the specifications based on the contract item
number of the precast concrete element. Associated guidance may be found in this
manual in the corresponding section (for example, Section 4-51, “Concrete Structures,”
of this manual) or Bridge Construction Records and Procedures manual.
4-9005 Self-Consolidating Concrete 4-9005
Self-consolidating concrete (SCC) is defined as flowing concrete that is capable of Self-Consolidating
spreading to a level state without segregation and without the use of internal or external Concrete
vibration.
The general provisions of Section 90-1, “General,” of the Standard Specifications
apply to self-consolidating concrete unless otherwise specified. Similarly, guidance
contained in Section 4-9001, “General,” of this manual is applicable to self-
consolidating concrete unless otherwise stated.

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Concrete 4-90.15
 SCC may only be used where the specifications allow, such as for precast concrete.
4-9005A Before Work Begins
• Ensure that placement procedures are included with the proposed mix design
submittal before placement of SCC. Ensure a trial batch test report is submitted
including test results for the tests specified in Section 90-5.01D(2)(c),
“Prequalification of Mix Design,” of the Standard Specifications.
• Ensure that the aggregate gradations to be used are provided as an informational
submittal.
• Where the contract specifies, ensure that an acceptable mock-up is placed and
evaluated in accordance with Section 90-5.01D(2)(d), “Mock-up,” of the Standard
Specifications prior to placing SCC for production work.
4-9005B During the Course of Work
• Ensure the contractor is performing specified quality control sampling and testing
for the SCC throughout production operations.
• Perform acceptance testing of SCC in conformance with specified requirements.

4-9006 4-9006 Lightweight Concrete

Lightweight Concrete The general provisions of Section 90-1, “General” of the Standard Specifications apply
to lightweight concrete unless otherwise specified. Similarly, guidance contained in
Section 4-9001, “General,” of this manual is applicable to lightweight concrete unless
otherwise stated.
4-9006A Before Work Begins
• Review contract requirements and determine which concrete elements require
lightweight concrete.
• Ensure that prequalification data or reports and proposed mix design are submitted
far in advance of placing lightweight concrete. Discuss these requirements with the
contractor early in the contract.
• Ensure that test samples of lightweight aggregates for each gradation are taken and
evaluated. The mix design submittal needs to include written verification that
arrangements have been made for obtaining test samples of these aggregates.
Coordinate aggregate sampling with the district materials engineer and METS.
4-9006B During the Course of Work
• Ensure that lightweight concrete acceptance sampling and testing are performed
for penetration, air content, and compressive strength.
• Ensure that unit weight testing of lightweight concrete is performed as prescribed
throughout production operations.

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4-90.16 Concrete
Chapter 4 Construction Details

Section 91 Paint Section 91

Paint

4-9101 General 4-9101

Section 91, “Paint,” of the Standard Specifications, covers material requirements for General
paint. Painting requirements and types of paint to be used in specific applications are
included in Standard Specifications sections that require surfaces to be painted.
4-9102 Before Work Begins 4-9102
Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes paint. Refer Before Work
to Section 6-202, “Responsibilities for Acceptance of Manufactured or Fabricated Begins
Materials and Products” of this manual for additional information.
4-9103 During the Course of Work 4-9103
• Ensure Materials Engineering and Testing Services has inspected the paint. During the Course
of Work
• Ensure that the paint is packaged and labeled as required in the specifications.
• Inspect the paint in accordance with Section 6-2, “Acceptance of Manufactured or
Fabricated Materials and Products,” in this manual.
• Take samples of the paint in accordance with the tables in Sections 6-1, “Sample
Types and Frequencies,” and 6-2, “Acceptance of Manufactured or Fabricated
Materials and Products,” of this manual.
4-9104 Payment 4-9104
Payment clauses are included in the various Standard Specification sections or Payment
special provisions that discuss the application of paint.

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Paint 4-91.1
Chapter 4 Construction Details

Section 92 Asphalt Binders

4-9201 General
4-9201A Performance Grade Asphalt
4-9201B Asphalt Rubber Binder
4-9202 Before Work Begins
4-9202A Devices for Measuring Asphalt Volume
4-9202B Tack Coat
4-9203 During the Course of Work
4-9203A Plant Operations
4-9203B Paving Operations
4-9204 Quality Control
4-9204A Acceptance Test Results
4-9204B Stop Production
4-9204C Certificates of Compliance
4-9205 Payment
4-9205A Compensation Adjustments for Price Index Fluctuation

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Asphalt Binders 4-92.i
Chapter 4 Construction Details

Section 92 Asphalt Binders Section 92

Asphalt Binders
4-9201 General 4-9201
Asphalt binder and modified asphalt binder, as defined in Section 92, “Asphalt General
Binders,” of the Standard Specifications, are also referred to as asphalt or paving
asphalt. Modified asphalt binder is asphalt binder that has been modified with
polymers, crumb rubber, or both. Asphalt binder is used in hot mix asphalt, in asphalt-
treated permeable base, as pre-coating for aggregate used in seal coats, and as a tack
coat. Modified asphalt binder is used in rubberized hot mix asphalt. At normal ambient
temperatures, asphalt is a solid and must be heated before it is mixed with aggregates
or is applied as tack coat.
A contract’s special provisions may specify the type of asphalt to be used.
MS-22 Construction of Hot Mix Asphalt Pavements and MS-2 Asphalt Mix Design
Methods, both published by the Asphalt Institute, contain information on the uses of
various types of asphalts and the design and production of hot mix asphalt.
4-9201A Performance Grade Asphalt
Performance-grade asphalts and performance-grade polymer-modified asphalts are
selected to meet expected climatic conditions as well as traffic speed and volume
adjustments. Performance-grade asphalt binders and performance-grade polymer-
modified asphalt binders are tested to meet physical properties directly related to field
performance of the pavement at extreme temperatures. These tests and specifications
are designed to address three specific pavement distress modes: permanent deformation
(rutting), fatigue cracking, and low temperature cracking. An asphalt binder specified
as performance grade PG 64-10 has the physical properties needed for field
performance of pavement at an average 7-day maximum pavement temperature of 64
degrees Celsius and at a minimum pavement temperature of -10 degrees Celsius.
For “special conditions” that need additional attention due to heavy truck and bus
traffic (over 10 million equivalent single axle loads for 20 years), truck and bus
stopping areas, truck and bus climbing and descending lanes, the performance-grade
binder specified for the climate region may be “bumped” a grade in conformance with
the policy for “special conditions” included in Design Information Bulletin 86:
“Selecting Asphalt Binder Type.”
Performance-grade asphalt information including; the Pavement Climate Regions map
and Design Information Bulletin 86 are available on the Office of Pavement
Engineering website:
http://www.dot.ca.gov/hq/maint/Pavement/Offices/Pavement_Engineering/PG_Bi
nder.html

4-9201B Asphalt Rubber Binder

Only two performance-grade asphalt binder grades are used as the base binder for
asphalt rubber binder (ARB). Typically, the ARB base binder chosen for a project will

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Asphalt Binders 4-92.1
 be an asphalt grade less than what is specified for a Caltrans pavement climate region
because of the additional binder stiffness provided by the crumb rubber modifier.

4-9202 4-9202 Before Work Begins

Before Work Begins Section 92, “Asphalt Binders,” of the Standard Specifications requires the contractor to
comply with the Certification Program for Suppliers of Asphalt. Refer to Section 6-
203C (1), “Asphalt,” of this manual for additional information. Perform the following
before work begins:
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes asphalt.
Refer to Section 6-202, “Responsibilities for Acceptance of Manufactured or
Fabricated Materials and Products,” of this manual for additional information.
• Verify that the asphalt binder supplier is on the Caltrans approved supplier list for
the specified binder type. The current list is available at:
http://www.dot.ca.gov/hq/esc/Translab/ormt/fpmcoc.htm
• If the asphalt supplier is not on the Caltrans approved supplier list, notify the
contractor that before use, asphalt binder samples must be taken from each
truckload and tested in accordance with Section Q, “Requirements for Suppliers
Supplying Asphalt Without a Certificate of Compliance,” of the Certification
Program for Suppliers of Asphalt.
4-9202A Devices for Measuring Asphalt Volume
Ensure that the contractor properly equips delivery trucks, storage tanks, and hot mix
asphalt plants with the specified devices for measuring asphalt volumes. Refer to the
Materials Plant Quality Program for detailed requirements.
4-9202B Tack Coat
When asphalt is used for tack coat:
• Review Tack Coat Guidelines for information about application rates and general
information. Tack Coat Guidelines are available at:
http://www.dot.ca.gov/hq/construc/publicationlist.htm
• Ensure that the contractor will use a distributor truck that meets the requirements
of Section 37-1.03B, “Equipment,” of the Standard Specifications.
• When tack coat is a contract item, inform the contractor at the prepaving
conference that measurement will be made by scale weights or, if the engineer
allows, by volumetric measurement.
• Review the contract’s measurement and payment clauses, and determine whether
tack coat is included in other contract bid items or is paid separately
4-9203 4-9203 During the Course of Work
During the Course of Sample and test asphalt, for the applicable type of work, at the frequencies shown in
Work the tables under Section 6-1, “Sample Type and Frequencies,” of this manual. Note that
asphalt is included in several of the tables with differing sampling and testing
frequencies. For asphalt acceptance sampling, the plant inspector and the hot mix
asphalt paving inspector must be qualified on Appendix D, “Bituminous Materials,” of
California Test 125, “Method for Sampling Highway Materials and Products Used in
the Roadway Structural Sections.” Refer to the Independent Assurance Manual:

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4-92.2 Asphalt Binders
Procedures for Accreditation of Laboratories and Qualification of Testers for
California Test 125 qualification.
Ship samples to Materials and Engineering Testing Services (METS) for acceptance
testing, as shown in Section 6-1, and store the remaining samples in case additional
acceptance testing is necessary.
The contractor may request that the engineer split acceptance samples. If requested,
witness the contractor splitting samples into four parts. Test one, provide one to the
contractor, and store two for dispute resolution.
Section 39-2.01A(4)(i)(iv), “Dispute Resolution,” of the Standard Specifications
contains a dispute resolution process for hot mix asphalt. The dispute resolution
process allows the contractor to dispute any acceptance test result within 5 days of
receiving the result. It is important to split sample materials and for Caltrans to take
possession of and store the split samples. If a dispute occurs, the independent third
party laboratory uses split samples of disputed material for evaluation. To be used by
the independent third party, split samples must be in the possession of and stored by
Caltrans. Stored split samples may be discarded 5 days after the contractor has received
the associated acceptance test result.
4-9203A Plant Operations
The plant inspector takes the following steps related to asphalt used in hot mix asphalt:
• Ensures that the asphalt binder supplier is on the Caltrans approved supplier list or
that asphalt binder samples have been taken from each truckload and tested in
accordance with Section Q, “Requirements For Suppliers Supplying Asphalt
Without A Certificate of Compliance,” of the Certification Program for Suppliers
of Asphalt.
Notifies the contractor and engineer immediately if asphalt binder testing has not
been completed for a supplier not on the approved suppliers list.
Unless the resident engineer approves, does not allow use of asphalt from a
nonapproved supplier before receiving Caltrans test results.
• Ensures that certificates of compliance are received with each truckload of asphalt
binder delivered to the plant. Confirms that the source of asphalt is the same source
as shown on Form CEM-3101, “Notice of Materials to Be Used,” and for hot mix
asphalt that the same source is shown on Form CEM-3511 “Contractor Job Mix
Formula Proposal.”
• Notifies the resident engineer immediately if there appears to be a change in the
source of asphalt binder.
• Witnesses the contractor obtaining split samples of asphalt binder.
• Ensures that the contractor samples in accordance with California Test 125,
“Methods for Sampling Highway Materials and Products Used in the Roadway
Structural Sections.”
• Ensures the contractor samples asphalt at the frequency shown in Section 6-1,
“Sample Type and Frequencies,” of this manual in the presence of the engineer
and ensures that the sample is in the possession of and stored by Caltrans for
proper chain-of-custody control.

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Asphalt Binders 4-92.3
 • Completes Form TL-0101, “Sample Identification Card,” for each sample of
asphalt binder taken, following the directions for this form and as directed in
Section 6-2, “Acceptance of Manufactured or Fabricated Materials and Products,”
of this manual. Ships the random samples to METS for testing as detailed in the
section.
4-9203B Paving Operations
The paving inspector takes the following steps related to asphalt used as tack coat:
• Ensures that the asphalt supplier is on the Caltrans approved supplier list or that
asphalt samples have been taken from each truckload and tested in accordance
with Section Q, “Requirements For Suppliers Supplying Asphalt Without a
Certificate of Compliance,” of the Certification Program for Suppliers of Asphalt.
Notifies the contractor and resident engineer immediately if asphalt binder testing
has not been completed for a supplier not on the approved suppliers list.
Unless the resident engineer approves, does not allow use of asphalt from a
nonapproved supplier before receiving Caltrans test results.
• Ensures that the distributor truck used for tack coat complies with the requirements
in Section 37-1.03B “Equipment,” of the Standard Specifications.
• When tack coat is a contract item, it is good practice to measure the volume and
temperature of asphalt in the distributor truck before discharge and to make a
volumetric and temperature measurement whenever a partial load leaves the work.
These actions result in a good check against scale weights, and the second
measurement may be used if the contractor fails to submit a weighmaster
certificate for the unused asphalt.
• Ensures that tack coat is applied properly by following the application section in
Tack Coat Guidelines:
http://www.dot.ca.gov/hq/construc/publicationlist.htm
• Witnesses the contractor obtaining split samples of asphalt used as tack coat and
ensures that the contractor samples in accordance with California Test 125,
“Methods of Test for Sampling Highway Materials and Products Used in the
Roadway Structural Sections.”
• Ensures the contractor samples asphalt at the frequency shown in Section 6-1,
“Sample Type and Frequencies,” of this manual in the presence of the engineer
and ensures the sample is in the possession of and stored by Caltrans for proper
chain-of-custody control.
• Completes Form TL-0101, “Sample Identification Card,” for each sample of tack
coat taken, following the directions for this form and as directed in Section 6-2,
“Acceptance of Manufactured or Fabricated Materials and Products,” of this
manual. Ships the random samples to METS for testing as detailed in the section.
• Ensures that certificates of compliance are received with each truckload of tack
coat used in the work. Confirms that the source of tack coat is the same source as
shown on Form CEM-3101, “Notice of Materials to Be Used.”
• Notifies the resident engineer immediately if there appears to be a change in the
source of tack coat.

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4-92.4 Asphalt Binders
4-9204 Quality Control 4-9204
The resident engineer ensures that the asphalt used in the work meets the specifications Quality Control
and that payment adjustments are made when required. The resident engineer performs
the following quality assurance administration to ensure asphalt quality.
4-9204A Acceptance Test Results
Ensure acceptance testing is performed at the minimum frequencies shown in Section
6-1, “Sample Type and Frequencies,” of this manual. Record test results on form
CEM-3701 “Test Result Summary,” so that minimum acceptance testing frequency is
easily verified and documented.
• If any acceptance test result is outside the specified limits listed in Section 92-1.02,
“Materials,” of the Standard Specifications, notify the contractor in writing that the
material may be defective. Ask the contractor if corrective action has been taken
based on quality control test data for the time period the acceptance sample was
taken. Attach a copy of the test result indicating that material is outside
specification limits.
• For hot mix asphalt, the contractor may dispute an acceptance test result within 5
days of receiving the test result by notifying the engineer in writing, in accordance
with Section 39-2.01A(4)(i)(iv), “Dispute Resolution,” of the Standard
Specifications. Try to resolve testing or sampling issues at the project level before
involving an independent third party.
• If an acceptance test is outside the acceptance specification limits, verify that
METS or Southern Regional Lab is testing the most recent acceptance sample for
compliance with the specifications. When there are failing acceptance tests, do not
follow minimum acceptance sample frequencies shown in Section 6-1, “Sample
Type and Frequencies,” of this manual for conducting the next acceptance test.
4-9204B Stop Production
• For hot mix asphalt (except smoothness), if two consecutive acceptance test results
or any three acceptance test results for 1 day’s production do not comply with the
specifications, notify the contractor to stop hot mix asphalt production. Inform the
contractor in writing that the material represented by the two out-of-specification
acceptance tests is defective in accordance with Section 39-2.01A(4)(i),
“Department Acceptance,” of the Standard Specifications, and that the defective
material is rejected and must be removed or remedied in accordance with Section
5-1.30, “Noncompliant and Unauthorized Work,” of the Standard Specifications.
Attach copies of the test results indicating that material is outside specification
limits.
• When the work has been stopped because two consecutive acceptance test results
do not comply with the specifications, require the contractor to:
1. Provide written documentation of corrective action taken to correct the cause
of out-of-specification material.
2. Take samples in the engineer’s presence, and split the samples into four parts.
To avoid placing additional out-of-specification material, do not take samples
on an active project.
3. Test one part of the split sample for compliance with the specifications to
verify that the corrective action taken by contractor has corrected any problem.

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Asphalt Binders 4-92.5
 If both Caltrans and contractor’s test results are within specifications and are
not significantly different (that is, test results within multi-laboratory
precision), the contractor has demonstrated compliance with the specifications
and may resume production.
• As above, the contractor may dispute the second out-of-specification acceptance
test result within 5 days of receiving the test result by notifying the engineer in
writing in accordance with Section 39-2.01A(4)(i)(iv), “Dispute Resolution,” of
the Standard Specifications. Try to resolve testing or sampling issues at the project
level before involving an independent third party.
• When two consecutive acceptance tests are outside the acceptance specification
limits, notify METS to test all samples collected between the two out-of
specification acceptance tests. Start testing samples backward from the first out-of-
specification acceptance test until the test result obtained is within specification
limits. Notify the contractor in writing of additional acceptance tests results
conducted to ascertain the extent of the defective material. Tell the contractor that
material represented by out-of-specification material is defective and rejected and
must be removed or remedied in accordance with Section 5-1.30, “Noncompliant
and Unauthorized Work,” of the Standard Specifications.
• The contractor may notify the engineer in writing that defective material will be
remedied or left in place at reduced compensation. Consult with the district
materials engineer and the Pavement Program, Office of Asphalt Pavements about
acceptance of the contractor-proposed remedy. Document material remediation or
reduced pay by issuing a contractor-requested change order, including the action
taken on final project materials certification. Refer to Section 6-106, “Project
Materials Certification,” of this manual for material certification and the
requirement to list all nonconforming materials.
4-9204C Certificates of Compliance
For certificates of compliance for asphalt, each certificate of compliance must show:
1. Name and location of supplier.
2. Grade of the asphalt.
3. The date and time of shipment.
4. A unique shipment number, such as a bill of lading or manifest number.
5. A statement confirming that the transport vehicle was checked before loading and
was found acceptable for the asphalt shipped.
The certificate of compliance must include the following wording:
“[Supplier name] hereby certifies that the asphalt product accompanying this
certificate was produced in accordance with the California Department of
Transportation’s Certification Program for Suppliers of Asphalt and that this
product complies with all requirements of the applicable specifications for the
asphalt product identified on this document. I certify by my signature that I have
the authority to represent the supplier providing the accompanying asphalt
product.”
• Verify that the source and grade of asphalt used as asphalt binder or tack coat have
not changed during the course of the work, except with engineer’s approval.

California Department of Transportation  Construction Manual  July 2017

4-92.6 Asphalt Binders
• Verify that the appropriate number of certificates of compliance have been
received to cover the quantities of asphalt binder and tack coat used in the work.
Calculate the tons of asphalt binder required based on the percentage of binder in
the hot mix asphalt placed, and compare the result with the amount covered by the
certificates of compliance. For tack coat, summarize the daily tons used and
compare to the amount covered by the certificates of compliance.
• Document action taken on final project materials certification if certificates of
compliance are missing. Refer to Section 6-106, “Project Materials Certification,”
of this manual for material certification and the requirement to list all
nonconforming materials.
4-9205 Payment 4-9205
Payment clauses for asphalt are found in the sections covering the work in which Payment
asphalt is used. For details on asphalt measurement, review Section 92-1.04
“Payment,” of the Standard Specifications.
• When making volumetric measurements of asphalt used as a tack coat, measure
the temperature, and apply the proper factors for converting volume to mass.
• If applicable, when asphalt is used in hot mix asphalt and dispute resolution
determines the contractor’s test results are correct, Caltrans pays the independent
third party testing costs. When the contractor’s test results are correct, the resident
engineer adjusts payment and contract time under Section 8-1.07, “Delays,” of the
Standard Specifications.
4-9205A Compensation Adjustments for Price Index Fluctuation
If the contractor did not opt out of payment adjustments for price index fluctuations at
the time of bid, perform the following for asphalt binder and asphalt used as tack coat:
• Process a change order to allow for payment adjustments—increase and
decrease—based on total estimated potential payment adjustment. Including both a
positive and negative payment method allows the progress payment system to
accept both positive and negative monthly payment adjustments.
• During each progress estimate, calculate the amount of paving asphalt used
monthly in hot mix asphalt and tack coat. Segregate the quantity based on the
calendar month it was placed.
• If the crude oil index for the current month fluctuates by more than 5 percent from
the crude oil index for the month in which the bid opening occurred, calculate the
asphalt payment adjustment, including the adjustment on the monthly estimate. A
tool to assist in making the monthly adjustments is available on the Division of
Construction’s Hot Mix Asphalt Construction website:
http://www.dot.ca.gov/hq/construc/hma/

California Department of Transportation  Construction Manual  July 2017

Asphalt Binders 4-92.7
Chapter 4 Construction Details
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 seal coats and tack coat. Asphaltic
emulsions are also used for other purposes, such as curing seals for lime stabilization
and cement-treated base and for coating the surface of cement-treated permeable base
to facilitate measuring the thickness of concrete pavement.
In addition to the specifications for asphaltic emulsions in Section 94, of the Standard
Specifications, refer to the requirements for asphaltic emulsions in other sections of the
Standard Specifications—Sections 18, 24, 27, 37, 39, 54, 66 and 86—covering work in
which asphaltic emulsions are used.
Asphaltic emulsions are composed of a bituminous material uniformly emulsified with
water and an emulsifying or a stabilizing agent. When asphaltic emulsions are used as a
tack coat for asphalt concrete, the application rate is specified in terms of a residual
rate. The residual rate is the amount of bituminous material that remains on the
pavement after water and emulsifying or stabilizing agents evaporate; it is not the
application rate from the distributor truck.
Slow setting and quick setting asphaltic emulsions used as a tack coat can be diluted up
to 1 part added water to 1 part original emulsion. Dilution allows the material to be
sprayed at a higher rate, promoting uniform coverage while still maintaining minimum
residual rates. Rapid setting emulsions and polymer modified emulsions cannot be
diluted.
Asphaltic emulsions (diluted or undiluted) used as a tack coat are typically applied at a
rate of 0.05 to 0.15 gallons per square yard. Spray rates closer to 0.10 gallons per
square yard promote uniform coverage.
For more information, refer to the Division of Construction’s Tack Coat Guidelines
and the “Minimum Spray Application Rates of Original Undiluted and Diluted
Emulsions” table at:
http://www.dot.ca.gov/hq/construc/hma/
4-9402 Before Work Begins 4-9402
Before Work
Before work begins, take the following steps:
Begins
• Verify that Form CEM-3101, “Notice of Materials to Be Used,” includes asphaltic
emulsion. Refer to Section 6-202, “Responsibilities for Acceptance of
Manufactured or Fabricated Materials and Products,” of this manual for additional
information.
• Examine the distributor truck to determine whether it meets the specified
requirements.
• Dilution should be done by the manufacturer, not the contractor.
• Ensure the contractor properly equips delivery trucks, storage tanks, and spreading
equipment with specified devices for measuring volumes of asphaltic emulsion.

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Asphaltic Emulsions 4-94.1
 • If the polymer content of polymer modified asphaltic emulsion is determined
under California Test 401, verify that the contractor has submitted a sample to
Materials Engineering and Testing Services.
4-9403 4-9403 During the Course of Work
During the Course of During the work, take the following steps:
Work
• If asphaltic emulsion is used before Caltrans’ sampling and testing is complete,
obtain a certificate of compliance containing the specified information.
• Verify the receipt of a safety data sheet for each shipment of asphaltic emulsion to
the job site.
• Check the temperature of the asphaltic emulsion to ensure it is within the specified
range when applied.
• Before asphaltic emulsion is applied, check that 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.
• Sample asphaltic emulsion in accordance with Table 6-1.11, “Materials
Acceptance Sampling and Testing Requirements: Seal Coats,” Table 6-1.12,
“Materials Acceptance Sampling and Testing Requirements: Asphalt Concrete,
and the instructions in Section 6-203C, “Materials Accepted on the Basis of a
Certificate of Compliance,” of this manual. If water has been added to the asphaltic
emulsion, note on Form TL-0101, “Sample Identification Card,” the ratio of added
water to the total mixture.
• Use Form CEM-3701 “Test Result Summary,” to record the dates that samples
were taken, shipped to the laboratory, test result was received from lab, and test
result notification was sent to contractor. Ship samples within 1 business day when
the laboratory is within 50 miles, or within 2 business days when the laboratory is
farther than 50 miles.
For asphaltic emulsion used as a tack coat, determine the following:
• RRm—the minimum residual rate of the tack coat specified in Section 39,
“Asphalt Concrete,” of the Standard Specifications. Note the different residual
rates required for the various hot mix asphalt types and open graded friction
courses.
• PRDm—the minimum percent residue by distillation, for the type of undiluted
asphaltic emulsion used, specified in Section 94, “Asphaltic Emulsions,” of the
Standard Specifications.
• POE—the diluted emulsions “percent original emulsion.” For example:
o If the emulsion was diluted with 1 part added water to 4 parts original
emulsion, the “percent original emulsion” is 4/5 original emulsion, or 80
percent original emulsion. This is commonly referred to as (1:4) or 80/20.
o If the emulsion has not been diluted, the “percent original emulsion” is 100
percent.
• Determine the minimum spray application rate of the emulsion based on its
delivered state; diluted or undiluted. Use the table, “Minimum Spray Application
Rates of Original Undiluted and Diluted Emulsions” at:
http://www.dot.ca.gov/hq/construc/hma/

California Department of Transportation  Construction Manual  July 2017

4-94.2 Asphaltic Emulsions
 Or perform your own calculations:
minimum spray application rate (gal/sq yd) = RRm/[(PRDm/100) x (POE/100)]
Example:
Assume the following:
• Placing new hot mix asphalt over planed pavement.
• Contractor’s distributor truck shows up with SS1h (slow setting, grade 1) emulsion
that has been diluted with 1 part water to 4 parts original emulsion (that is; 1:4, or
an 80/20).
• The diluted emulsion is now only 80 percent original emulsion.
Using these assumptions, calculate the minimum spray applications rate as follows:
1. From Section 39-2.01C(3)(f), “Tack Coat,” RRm = 0.05 gal/sq yd
2. From Section 94-1.02B, “Anionic Asphaltic Emulsions,” under Grade SS1h,
PRDm = 57.
3. From the given information for this example, POE = 80.
4. Minimum spray application rate = 0.05/[(57/100) x (80/100)] = 0.1096 gal/sq
yd
5. Rounded to the nearest 0.01 gal/sq yd, the minimum spray application rate is
0.11 gal/sq yd.
• Document that the contractor’s planned spray rate is not less than the minimum
spray application rate for the diluted or undiluted emulsion in the daily report.
• Check the application rate of asphaltic emulsion to verify the designated rate. After
the first few hundred feet of application, check the initial spread rate. The
frequency for checking the spread rate will depend on the accuracy and
consistency of the first few checks. Record the spot-check results and the overall
daily spread rate in the daily report.
4-9404 Quality Control 4-9404
If the contractor uses the asphaltic emulsion before the sampling and testing is Quality Control
complete, ensure the contractor submits a certificate of compliance for each shipment
to the job site.
Refer to the requirements for asphaltic emulsions in other sections of the Standard
Specifications and the corresponding sections of this manual in which asphaltic
emulsions are used.
4-9405 Payment 4-9405
Asphaltic emulsion is paid for as a separate bid item, unless specified as included as Payment
part of a separate item of work. Asphaltic emulsion is subject to adjustment for price
index fluctuations under Section 9-1.07 of the Standard Specifications.
Obtain weighmaster certificates for deliveries of asphaltic emulsion. The specifications
require the weighmaster certificates to break out the weight of water used to dilute the
asphaltic emulsion. If weighmaster certificates are based on asphaltic emulsion that has
been diluted, do not include the weight of the added water in the payment quantity. Pay
only for the weight of the original undiluted emulsion covered by a certificate of
compliance. Refer to Section 9-1.02B, “Weighing Equipment and Procedures,” of the
Standard Specifications.

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Asphaltic Emulsions 4-94.3
 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
weighmaster certificate for the unused asphaltic emulsion.
When the specifications provide for water to be mixed with asphaltic emulsion, it is
necessary to determine the weight of asphaltic emulsion without the added water.
Delivery weighmaster certificates will show the weight of the emulsion before water
was added and the total weight of asphaltic emulsion with added water.
When making volumetric measurements, measure the temperature and apply the
proper factors for converting volume to weight.
In a partial load using volumetric measurements, the procedure for determining the
weight of asphaltic emulsion with added water is as follows:
• Measure the volume and temperature of the mixture in the partial load. Calculate
the volume of emulsion in the original load at the temperature of the partial load.
Convert tons of added water in the original load to gallons.
• Based on the final temperature reading, calculate the ratio of the volume of
asphaltic emulsion to the total volume in the original load.
• Calculate the volume, at 60 degrees Fahrenheit of emulsion in the partial load.
• Determine the weight of emulsion remaining in the partial load.
Example:
Assume the following:
• Weighmaster certificate shows 10 tons of emulsion and 5 tons of added water.
(Total = 15 tons) Temperature at the time of weighing was 131 degrees F.
• 534 gallons of emulsion with added water remain in the partial load. At the time of
measuring, the temperature of the mixture is 131 degrees F.
Using these assumptions, calculate as follows:
1. Volume of emulsion at 131 degrees F in the original load:
10 tons x 240 gal/ton at 60 degrees F ÷ 0.98225 (refer to the conversion table
in Section 94-1.04, “Payment,” of the Standard Specifications) = 2,443 gal
2. Volume of added water in the original load:
(5 tons x 2,000 lbs.) / 8.33 lb./gal = 1,200 gal
3. Ratio of volume of emulsion at 131 degrees F to total volume in the original
load:
2,443/(2,443+1,200) = 0.671
4. Volume at 60 degrees F of emulsion in the partial load:
0.671 x 534 x 0.98225 = 352 gal
5. Weight of emulsion in partial load:
352 ÷ 240 = 1.46 tons
6. Emulsion used on the project:
10.00 – 1.46 = 8.54 tons

California Department of Transportation  Construction Manual  July 2017

4-94.4 Asphaltic Emulsions
Chapter 4 Construction Details

Section 95 Epoxy Section 95

Epoxy
4-9501 General 4-9501
Epoxies specified under Section 95 of the Standard Specifications are two-component General
adhesives used for a number of applications, including the following:
• As a binder to produce high strength epoxy concrete and epoxy mortar
• Pressure grouting cracks in concrete
• Bonding freshly mixed concrete to hardened concrete
• Bonding pavement markers to pavement
• Sealing inductive loops and leads in hot mix asphalt and concrete
• Pressure injection grouting of concrete pavement
Bridge Construction Memo 135-1.0, “Epoxy Adhesives,” of Bridge Construction
Records and Procedures manual contains additional information on epoxy selection,
mixing, and placement.
4-9502 Before Work Begins 4-9502
Verify that Form CEM-3101, “Notice of Materials to Be Used.” includes epoxy. Refer Before Work
to Section 6-202, “Responsibilities for Acceptance of Manufactured or Fabricated Begins
Materials and Products,” of this manual for additional information.
4-9503 During the Course of Work 4-9503
During the work, take the following steps: During the Course
of Work
• Determine that the epoxy used for application type is the material specified, and
obtain necessary certificates of compliance.
• Make sure the epoxy is packaged and labeled as the specifications require for its
intended use.
• Ensure epoxy components are being stored at temperatures greater than 35 degrees
Fahrenheit.
• Ensure surfaces to receive epoxy are sound and have been properly prepared and
cleaned of harmful materials, including rust, paint, grease, and laitance. Inadequate
surface preparation or cleaning is often later identified as the reason for poor
bonding performance of epoxy when problems occur.
• Ensure the epoxy is mixed and applied under the manufacturer’s instructions and
specification requirements. If epoxy components show evidence of crystallization,
permanent increase in viscosity, noncorrectible settlement of pigments, or are older
than the manufacturer’s recommended expiration date, the material cannot be
used. Ensure each individual component is being thoroughly mixed prior to mixing
with other components. During mixing pay particular attention to the proportions
being mixed and the thoroughness of the blending. Partial kits are not allowed as it
is difficult to ensure proper proportioning will occur. Addition of solvents is not

California Department of Transportation  Construction Manual  July 2017

Epoxy 4-95.1
 allowed as their inclusion will affect epoxy performance. Monitor the time from
mixing to placement and epoxy consistency, ensuring the epoxy does not exceed
its working life for the temperature at which it is placed.
• Where placing epoxy concrete or mortar, the receiving surface is to be primed with
epoxy immediately before placement operations.
• Where bonding freshly-mixed concrete to hardened concrete, epoxy is to be
applied to the blast-cleaned surface using a brush or roller. Ensure the epoxy is
applied without skips or holidays and the freshly-mixed concrete is placed while
the epoxy is tacky. In the event the epoxy has set in advance of concrete
placement, ensure a new coat of epoxy is applied.

4-9504 4-9504 Payment

Payment Payment for epoxy is included in the contract unit price for items of work in which
epoxy is specified.

California Department of Transportation  Construction Manual  July 2017

4-95.2 Epoxy
Chapter 4 Construction Details

Section 96 Geosynthetics Section 96

Geosynthetics
4-9601 General 4-9601
Section 96, “Geosynthetics,” of the Standard Specifications provides material General
requirements for various types of geosynthetics for use as geotechnical subsurface
reinforcement, geocomposite wall drain, geosynthetic pavement interlayer, paving mat,
paving grid, paving geocomposite grid, geocomposite strip membrane, filter fabric,
subgrade enhancement geotextiles (SEG), biaxial geogrids, silt fence fabric, gravel-
filled bags, sediment filter bags, and temporary cover for water pollution control.
Geosynthetic pavement interlayer is used as an interlayer in asphalt concrete overlays
to minimize surface water infiltration and to minimize reflective cracking through the
overlay. Filter fabric is placed between a freely draining aggregate and soil to allow
passage of water and to retain fine soil particles. Rock slope protection (RSP) fabric
serves the same purpose. As with filter fabric, RSP fabric is placed between RSP and
the underlying foundation material. Geocomposite wall drains provide drainage in
backfill applications on retaining walls and structure approaches. Geotechnical
subsurface reinforcement stabilizes embankments. SEG are placed between the
pavement and the subgrade providing filtration and separation of the base materials.
Biaxial geogrids stabilize the subbase or the base aggregate by interlocking with the
apertures in the geogrid.
The following sections of the Standard Specifications give geosynthetic placement
requirements:
• Section 13, “Water Pollution Control,” provides specifications for placing silt
fence fabric, gravel filled bags, sediment filter bags, and temporary cover.
• Section 19, “Earthwork,” details the requirements for placing subsurface
reinforcement and SEG.
• Section 26, “Aggregate Bases,” provides the placement requirements for biaxial
geogrids.
• Section 39, “Asphalt Concrete,” includes requirements for placing geosynthetic
pavement interlayer.
• Section 68, “Subsurface Drains,” provides requirements for placing filter fabric
used with underdrains and edge drains, and placement of geocomposite wall
drains.
• Section 72, “Slope Protection,” provides specifications for placing RSP fabric.
4-9602 Before Work Begins 4-9602
Before work begins, verify that Form CEM-3101, “Notice of Materials to Be Used,” Before Work
includes geosynthetics. Refer to Section 6-202, “Responsibilities for Acceptance of Begins
Manufactured or Fabricated Materials and Products,” of this manual for details. Verify
that geosynthetics listed on Form CEM-3101 are on the DataMine list of the National
Transportation Product Evaluation Program website:
http://www.ntpep.org/Pages/default.aspx

California Department of Transportation  Construction Manual  July 2017

Geosynthetics 4-96.1
 4-9603 4-9603 During the Course of Work
During the Course of Do not permit the use of geosynthetics until certificates of compliance covering the
Work material have been submitted.
Ensure that certificates of compliance are received for each type of geosynthetic.
Ensure that geosynthetics are properly covered for protection against damage.
4-9604 4-9604 Payment
Payment Payment clauses are included in the Standard Specification sections or special
provisions providing for placement of the various types of engineering fabrics.

California Department of Transportation  Construction Manual  July 2017

4-96.2 Geosynthetics
 Chapter 5-
Contract Administration
Chapter 5 Contract Administration

Section 0 Conduct of the Work

5-001 Resident Engineer’s Pending File
5-002 Preconstruction Conference With Caltrans Personnel
5-003 Preconstruction Conference 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 Federal Highway Administration Involvement on Projects of Division Interest—N
5-007B Federal Highway Administration Involvement on Delegated Projects—E

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Conduct of the Work 5-0.i
Chapter 5 Contract Administration
Section 0
Section 0 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 the Resident
resident engineer a set of letters, memorandums, and other data titled “resident Engineer’s Pending
engineer’s pending file.” This file must contain all pertinent information, comments, File
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 Chapter 15, “Final Project Development
Procedures,” Section 2, “Construction,” of the Project Development Procedures
Manual. The file usually includes the following:
• Memorandums 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.
• Memorandums about materials from the Materials Engineering and Testing
Services (METS) 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 Account Action
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 intranet website.
• Copies of correspondence giving the background of any unusual project features.
• All pertinent engineering data previously prepared in connection with the project.
This data should include the project engineer’s quantity calculations.
• Copies of the project report, preliminary report, and materials reports.
• A copy of the “materials information” as given to prospective bidders.
• A copy of the environmental document, including any permits, agreements, and
commitments.
• A separate summary of all environmental commitments, as well as any special
instructions or explanations for meeting permit and other legal requirements and
commitments to other agencies.
• A copy of the risk register that documents possible construction issues. More
information can be obtained from the Project Risk Management Handbook: A

California Department of Transportation  Construction Manual  July 2017

Conduct of the Work 5-0.1
 Scalable Approach, located at:
http://www.dot.ca.gov/hq/projmgmt/guidance_prmhb.htm
• The resident engineer must consult with the project engineer who forwarded the
file if the file has any of the following problems:
1. Information appears to conflict.
2. Information appears to be missing.
3. Additional information or explanations are required.

5-002 5-002 Preconstruction Conference With Caltrans Personnel

Preconstruction Before the start of construction, the resident engineer should review the job with the
Conference With following people:
Caltrans Personnel • Project manager
• Project engineer
• Right-of-way agent
• Hydraulics engineer
• Traffic engineer
• Materials engineer
• Maintenance superintendent
• Environmental construction liaison
• Construction stormwater coordinator
• Environmental planner
• Public information officer
• Landscape architect (if landscape work is included in the project)
• Local agencies and communities
• Affected utility companies
• Federal Highway Administration (FHWA) transportation engineer (only for
projects of division interest)
• Others who may have a direct interest in the project
At this preconstruction stage, such a review will significantly aid in explaining the
reasons for certain design features such as the following:
• Right-of-way obligations
• Signing and traffic handling difficulties
• Materials sites
• Selected material
• Foundation treatment
• Potential slides
• Environmental commitments
• Potential drainage and maintenance problems, including erosion control and water
pollution
The resident engineer must ensure implementation of environmental mitigation

California Department of Transportation  Construction Manual  July 2017

5-0.2 Conduct of the Work
measures included in the project approval. To be fully informed of the environmental
mitigation measures, commitments, or concerns on projects that are related to
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 the tentative schedule and plan for environmental
monitoring.
On projects involving structure construction personnel, preconstruction conferences are
mandatory and should be held as soon as possible after bids are opened. The
conferences should include structure and construction engineers, the resident engineer,
and the structure representative. These personnel should reach agreement regarding the
following items:
• Office facilities. The district must provide suitable office space and furniture for
both district and structure field personnel. When the office facilities are trailers, the
resident engineer and structure representative should occupy the same trailer.
When the office facilities are in a building, the engineer and the representative
should occupy adjacent rooms. This arrangement facilitates the assignment of the
structure engineer as acting resident engineer during extended absences of the
assigned resident engineer.
• Personnel for the total work. Conference participants must discuss the total work
(both road work and structure work) and take full advantage of instances where
people could be used interchangeably to reduce the number of people on the
project. When the contractor’s schedule is available, meeting participants must
review the personnel required.
• Division of the work. The items should be categorized as road work and structure
work. In some cases, the item may be divided by portions of items or by phases of
the work. Before the start of work, Structure Construction requires from the
structure representative a written report on this categorization of the work.
5-003 Preconstruction Conference 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 number Conference With
of individuals attending. The conferences must include the resident engineer and the Contractor
structure representative and may include principal assistants, the construction engineer,
the district construction deputy director, the contractor’s superintendent, and other key
personnel. Specialists should be included, too, such as the district labor compliance
officer and the district safety coordinator. 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 attend the preconstruction conference with the
contractor.
Meeting participants should discuss, among other items, the following:
• Work plans
• Contingency plans
• Equipment to be used

California Department of Transportation  Construction Manual  July 2017

Conduct of the Work 5-0.3
 • Progress schedule
• Layout of job
• Labor compliance
• Equal employment opportunity
• Safety requirements
• Temporary pedestrian access routes
• Americans with Disabilities Act (ADA) requirements for permanent pedestrian
facilities
• Environmental commitments and permits
• Water pollution control requirements
• Job-produced materials quality control and acceptance testing
• Buy America 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 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.
The list below presents guidelines for the preconstruction conference. These are
reminders only. Items will be included if applicable to a specific project. Also, consider
any previous experience of a particular contractor with Caltrans projects. Further, the
district construction office may have completed some of the items; therefore, those
items need not be included at the conference.
• Introduce all participants, including in your introduction statements about each
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 5-1.16 “Representative,” of the Standard Specifications.
• Discuss the subcontracting requirements covered in Section 5-1.13,
“Subcontracting,” of the Standard Specifications.
• When required by the special provisions, discuss railroad insurance.
• Discuss requirements related to labor compliance and equal employment
opportunity. Advise the contractor of the deadlines for submitting payrolls and
other required documents. Also advise the contractor of the contractual and
administrative deductions that will be applied for noncompliance. Provide the
necessary Department-furnished forms and posters.
• Review the contract’s safety requirements.

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5-0.4 Conduct of the Work
• Discuss the requirements that pedestrian access must be provided when
construction activities require the closure of an existing pedestrian route. The
contractor must provide notice 5 business days prior to closing an existing
pedestrian route and the temporary pedestrian access route must be inspected for
compliance with ADA standards prior to allowing use. If the contact does not have
a bid item for Temporary Pedestrian Access Route and existing pedestrian routes
must be closed to perform the work, the contractor must submit a work plan for a
temporary pedestrian access route.
• For pedestrian facilities, discuss that every pedestrian facility constructed on the
project will be inspected and that dimensions and slopes of the completed facilities
must meet those specified or the work may have to be removed and replaced. Also
discuss the preconstruction and post construction survey requirements for
pedestrian facilities when identified in the contract by a survey bid item.
• Advise the contractor that contract administration forms are available on the
Division of Construction website.
• 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 communication of job-produced materials quality control testing and
acceptance testing, including identification of high-priority tests, shipping of
samples, lines of communication for test results, timeframes for reporting quality
control and acceptance test results, and any contractual testing dispute resolution
processes.
• Discuss the requirements for submitting working drawings.
• Discuss the progress schedule (if the contract requires). If the contract requires a
critical path method schedule, discuss the provisions for submitting, reviewing,
updating, and revising it. Refer to Section 3-801, “Schedule,” of this manual.
• Discuss weighing procedures, weight limitations, and the Caltrans policy on
overloads. For more information, refer to Section 3-519B, “Load Limits,” of this
manual.
• Advise the contractor of administrative procedures and deadlines for payment for
material on hand, which must be submitted on Form CEM-5101, “Request for
Payment for Materials on Hand.”
• Discuss the requirements for submitting survey requests and any significant survey
issues.
• Review the contract provisions about water pollution control. Discuss the
contractor’s water pollution control plan.
• Review the contract 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.

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Conduct of the Work 5-0.5
 • Remind the contractor of the contractual procedures to follow in the event of
disagreements. Emphasize the necessity for timely written notices and required
submittal of completed CEM-6201D, “Initial Potential Claim Record”; CEM-
6201E, “Supplemental Potential Claim Record”; and CEM-6201F, “Full and Final
Potential Claim Record.”
• Discuss the scheduling of utility work. For a discussion of utility preconstruction
conferences, refer to Section 3-518C, “Nonhighway 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:
Daily Report
• For each day during the project’s life, make a daily report on Form CEM-4501,
“Resident Engineer’s Daily Report or 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 important
verbal instructions. Also refer to Section 5-4, “Disputes,” of this manual.
2. A general statement about the type of work done. Include the controlling
operation and any facts concerning the 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 a
Engineer’s Daily report for each contract day. Complete the report on Form CEM-4601, “Assistant
Report 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:

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5-0.6 Conduct of the Work
• 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, refer to Section 3-906C, “Extra Work,” of this manual.
• Hours worked by labor and equipment. Provide sufficient detail to permit a review
of the contractor’s costs in a manner similar to force account. Using the publication
titled Labor Surcharge and Equipment Rental Rates (Cost of Equipment
Ownership), sufficiently identify equipment to enable the determination of
applicable rental rates. Sufficiently identify the labor classification to enable
determination of the appropriate wage rate. Also record the 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 Labor Surcharge and Equipment Rental Rates book is available on the
Caltrans website at:
http://www.dot.ca.gov/hq/construc/equipmnt.html
• The name of the contractor or subcontractor performing the work. When the report
will be used to determine compliance with the 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 5-102,
“Organization of Project Documents,” of this manual.
• Distribute all other copies in accordance with district policy.
Refer to Section 5-102, “Organization of Project Documents,” of this manual for
details to consider when establishing a system for handling assistant resident engineer’s
reports on a specific project.
5-006 Maintenance Reviews 5-006
Keep maintenance superintendents and supervisors informed of the start of work and Maintenance
job progress for all construction projects within the superintendents’ and supervisors’ Reviews
maintenance areas. Before the start of construction, send a copy of Form CEM-0101,
“Resident Engineer’s Report of Assignment,” to the maintenance region manager.

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Conduct of the Work 5-0.7
 Provide the maintenance superintendents and supervisors an opportunity to review the
contract with the resident engineer and to conduct a joint field review of the job site
within the first 2 weeks of construction. The intent of this field review is to accomplish
the following:
• Discuss the scope of the project.
• Coordinate contingency planning for traffic management.
• Discuss Caltrans’ maintenance responsibility as described in Section 3-519,
“Maintenance and Protection,” of this manual.
• Discuss complex construction activities that could affect adjacent maintenance
operations.
• Discuss features requiring special attention.
• Discuss manufacturers’ warranties and service instructions.
• Schedule regular reviews. When the contract work is 50 percent complete,
schedule at least one review, unless both construction and maintenance
representatives agree the review is unnecessary.
When the project nears 90 percent completion, invite the maintenance superintendent,
supervisor, or both, for a final field review of the project. Ensure this review includes
identifying all items necessary to comply with the construction National Pollutant
Discharge Elimination System permit. A copy of the permit is available at the State
Water Resources Control Board website:
http://www.waterboards.ca.gov/water_issues/programs/stormwater/caltrans.shtml
During the 90 percent field review meeting, the resident engineer and maintenance
superintendent or supervisor, or the district maintenance storm water coordinator will
complete Form MTCE-0023, “Construction to Maintenance 90% BMP Completion
Walkthrough.” Form MTCE-0023 is available on Caltrans’ Electronic Forms
Management website:
http://cefs2.dot.ca.gov/jsp/forms.jsp.
Using this form will assist in identifying, discussing, and documenting the project
elements such as structural treatment best management practices (BMPs), drainage
systems, and permanent erosion and sediment controls, while noting their functionality
and communicating any specific instruction related to maintaining them. This review
should provide the resident engineer sufficient time to correct deficiencies prior to
contract acceptance, and ensure elements such as structural treatment BMPs drainage
systems, and permanent erosion and sediment controls are constructed in accordance
with the project plans and specifications.
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.
Prior to construction contract acceptance and in accordance with Section 3-523, “Final
Inspection and Contract Acceptance,” of this manual, the resident engineer must
schedule a final inspection with maintenance. During the final inspection, update Form
MTCE-0023 to reflect changes and corrective actions implemented since the 90
percent walkthrough. Both the resident engineer and the maintenance representative
must sign the form when they have completed their final inspection. File a copy of the

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5-0.8 Conduct of the Work
form in Category 63, “Project Completion Documents,” and send copies to the district
pollutant-discharge coordinator, district design stormwater coordinator, and district
construction stormwater coordinator. The maintenance representative will maintain the
original and is responsible for sending a copy to the maintenance regional manager.
When the work is complete or nearly complete and just before construction 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 Highway Administration Involvement in Contract 5-007
Administration Federal Highway
When assigned the responsibility for a construction contract, the resident engineer first Administration
must determine if it is a federal-aid contract and, if so, the federal-aid classification for Involvement in
the contract. The resident engineer should review the construction contract and the Contract
resident engineer’s pending file, and talk to the project manager to determine the Administration
project’s federal-aid classification.
FHWA funded projects are classified as either projects of division interest or delegated
projects to indicate their involvement in the project as stated in the stewardship
agreement between FHWA and Caltrans. Information on this stewardship agreement
can be found on the Division of Budgets website:
http://budgets.onramp.dot.ca.gov/fhwa-oversight
Caltrans assigns project numbers to federally funded projects, and Caltrans and FHWA
jointly determine project classifications. Caltrans then adds a suffix “N” or “E” to the
end of the project number. Projects with the suffix “N” are projects of division interest.
Projects with the suffix “E” are delegated projects.
5-007A Federal Highway Administration Involvement on Projects of Division
Interest—N
Caltrans and FHWA will jointly determine projects of division interest responsibilities
on a project-by-project basis and usually as part of the project development team
process. They will establish which project responsibilities will be retained by FHWA
and which will be delegated to Caltrans in a project of division interest agreement. The
resident engineer should receive a copy of the project of division interest agreement in
the resident engineer’s pending file or from the project manager. Before the start of
construction, the construction senior engineer must review the agreement with the
FHWA transportation engineer and discuss FHWA’s involvement on the project.
The resident engineer is required to submit a copy of the CEM-6303, “Final
Acceptance Checklist for Federal-Aid Projects of Division Interest (PODI),” to the
FHWA transportation engineer along with a copy of the proposed final estimate.
FHWA will document the project status and final voucher the project with these
documents.
5-007B Federal Highway Administration Involvement on Delegated Projects—E
Caltrans is responsible for most federal approvals and oversight requirements on
delegated projects. Resident engineers are not formally required to communicate with
the FHWA transportation engineer except for Buy America requirements and when
there are changes to the federal environmental requirements. FHWA has delegated to
Caltrans some of FHWA’s authority and responsibility for compliance with National

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Conduct of the Work 5-0.9
 Environmental Policy Act and other environmental laws. Resident engineers should
review the project environmental documents and discuss with the district
environmental-construction liaison, to determine if FHWA involvement is necessary
when there are changes to the environmental requirements for the project. Information
on Buy America requirements and FHWA involvement can be found in Section 3-604,
“Buy America,” of this manual. Informal discussions with FHWA for technical
guidance are encouraged.
Caltrans receives federal-aid funds indirectly from the California Office of Traffic
Safety (OTS). Construction projects with a federal-aid number and OTS designation
contain the same special provisions as delegated projects. The same procedures apply
to OTS projects as delegated projects.

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5-0.10 Conduct of the Work
Chapter 5 Contract Administration

Section 1 Project Records and Reports

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

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

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5-1.ii Project Records and Reports
 5-103H (6) Status of Contract Items
5-103H (7) Project Record Item Sheet
5-103H (8) Status of Change Orders
5-103H (9) Change Order Master Listing
5-103H (10) Bridge Quantities by Structure
5-103H (11) District (XX) Status of Anticipated Changes
5-103H (12) Project Record-Estimate (Dummy)
5-103H (13) Contract Contents Report
5-103H (14) Contract Contents Report - Contract Item Records
5-103H (15) Contract Contents Report - Contract Progress
5-103H (16) DEWRs in Holding File
5-103H (17) Daily Extra Work Report
5-103H (18) Rental Rates and Codes for Miscellaneous Equipment
5-103H (19) Reports for 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
Table 5-1.1 Construction Records Retention Schedule
5-104D As-Built Plans
5-104D (1) District Procedure on As-Built Plans
5-104D (2) Procedure on As-Built Plans for Bridges and Structures
5-104D (3) Projects Not on State Highways

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Project Records and Reports 5-1.iii
Chapter 5 Contract Administration
Section 1
Section 1 Project Records and Reports Project Records
and Reports
5-101 Forms Used for Contract Administration 5-101
Forms Used for
5-101A General
Contract
One of the duties of the resident engineer is to keep accurate and complete records of the Administration
work. This section includes a list of forms used in administering a construction project
and maintaining records. Use forms not related directly to contract administration, such
as personnel documents and accounting forms, in accordance with instructions contained
in other Caltrans manuals.
The Division of Construction issues new or revised construction forms. All Division of
Construction forms have a prefix of CEM (Construction Engineering Management) and
a number that is related to the form’s uniform filing system category. If an existing form
no longer meets its intended purpose, refer to Section 1-004, “Changes,” of this manual.
Complete Form CEM-9001, “Construction Manual Proposed Change,” and send it to
the Division of Construction Publications Unit. Explain the reason for the proposed
change and attach a draft of the proposed revised form.
The Division of Construction will review the proposed change and make a decision
regarding any future revision. Not all forms issued by the 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 Structure Construction is shown in
Section 16, “Bridge Construction Forms,” of the Bridge Construction Records and
Procedures manual, Vol. 1.
5-101B Construction Forms
All Division of Construction forms are available online at:
http://www.dot.ca.gov/hq/construc/forms.htm
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 will use this form to provide
contact information. Distribute copies of the report according to instructions on the form
and any district instructions.
It is not necessary or desirable to hold the form until all information is available. Submit
partial information with a note that a supplemental form will follow.
Form CEM-0501 Relief from Maintenance
The resident engineer uses this form to recommend that the contractor be relieved from
maintenance and responsibility in accordance with Section 5-1.38, “Maintenance and
Protection Relief,” of the Standard Specifications. For more information refer to Section
3-520, “Maintenance and Protection Relief,” of this manual.

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Project Records and Reports 5-1.1
 Form CEM-0601 Construction Safety Report
The resident engineer or the project safety coordinator uses this form to document
periodic project safety reviews.
Form CEM-0602 Project Safety Program Statement
The resident engineer uses this form to list the sections of the Code of Safe Practices that
apply to the project. This form may also be used to designate an employee as the project
safety coordinator.
Form CEM-0603 Major Construction Incident Notification
The resident engineer uses this form to report major construction incidents. Instructions
for completion are included on the last page of the form.
Form CEM-0606 Construction Safety Checklists
The resident engineer uses this form to document the contractor’s attention to safety
procedures while performing the work. Choose the appropriate section of the form for
the work being performed.
Form CEM-1201 Subcontracting Request
The contractor submits this form and the resident engineer uses the form to calculate the
percentage of work to be performed by the contractor. Section 3-5, “Control of Work,”
of this manual describes the procedures. The resident engineer must sign this form before
the contractor can begin on the applicable subcontracted work. Before approval, verify
that subcontractors are not on the debarred contractors list on the California Department
of Industrial Relations website:
http://www.dir.ca.gov/dlse/debar.html
Form CEM-1202A Contractor Action Request—Change of Name/Address
The contractor submits this form to the resident engineer to request a change in the
contractor’s name or address under the contract in accordance with Section 5-1.12,
“Assignment,” of the Standard Specifications.
Form CEM-1202B Contractor Action Request—Assignment of Contract Monies,
Assignee Change of Name/Address
The contractor submits this form to the resident engineer to request an assignment of
monies, or an assignee’s change of name or address under the contract in accordance
with Section 5-1.12, “Assignment,” of the Standard Specifications.
Form CEM-1203 Contractor Action Request—Assignment of Contract
Performance
The original contractor or the contractor’s surety submits this form to the resident
engineer in accordance with Section 5-1.12, “Assignment,” of the Standard
Specifications.
Form CEM-1901 Burial Location of Soil Containing Aerially Deposited Lead
The contractor submits this form to the resident engineer at [email protected] within 5
business days of completing placement of the material. The resident engineer reviews
the information and retains the form in the construction project records.

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5-1.2 Project Records and Reports
Form CEM-1902 Burial Location of Soil Containing Naturally Occurring
Asbestos
The contractor submits this form to the resident engineer at [email protected] within 5
business days of completing placement of the material. The resident engineer reviews
the information and retains the form in the construction project records.
Form CEM-1903 Burial Location of Soil Containing Aerially Deposited Lead
(Topographic Survey)
The contractor submits this form to the resident engineer and by email to
[email protected] within 5 business days after topographic survey of the top at each
location. The resident engineer reviews the information, retains the form in the
construction project records and forwards the form to the District ADL Coordinator.
Form CEM-2006 Legally Responsible Person Authorization of Approved
Signatory
The district director submits this form and the resident engineer reviews the information
for completeness and accuracy. File the form in the construction project records.
Instructions are included on the last page of the form.
Form CEM-2006T Legally Responsible Person Authorization of Approved
Signatory—Lake Tahoe Hydrologic Unit
The district director submits this form to the California Regional Water Quality Control
Board, as required by the Caltrans NPDES permit. Instructions are included on the last
page of the form.
Form CEM-2008 SWPPP/WPCP Amendment Certification and Acceptance
The resident engineer reviews this form for completeness and accuracy as submitted by
the contractor, and files it in the construction project records. Instructions are included
on the last page of the form.
Form CEM-2009 SWPPP/WPCP Amendments Log
The resident engineer reviews this form for completeness and accuracy as submitted by
the contractor, and files it in the project files. Instructions are included on the last page
of the form.
Form CEM-2023 Stormwater Training Record
The resident engineer reviews this form as submitted by the contractor, and files it in the
project files. Instructions are included on the last page of the form.
Form CEM-2024 Stormwater Training Log—Optional
The resident engineer files this form, as filled out by the contractor, in the project files.
Instructions are included on the last page of the form.
Form CEM-2030 Stormwater Site Inspection Report
The resident engineer fills out and files this form in the project records. Instructions are
included on the last page of the form.
Form CEM-2031T Daily Stormwater Site Inspection Report - Lake Tahoe
Hydrologic Unit
The water pollution control manager submits this form to the resident engineer as

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Project Records and Reports 5-1.3
 required by the Lake Tahoe Hydrologic Unit Construction General Permit. Instructions
are included on the last page of the form.
Form CEM-2032 Permanent Erosion Control Establishment (PECE) Report
The water pollution control manager submits this form to the resident engineer when a
contract has a bid item for Permanent Erosion Control Establishment. The resident
engineer reviews work descriptions, schedules, and associated change orders for
compliance and payment. The resident engineer retains the form in the construction
project records under the Storm Water Pollution Prevention Plan files.
Form CEM-2034 Monthly Stormwater Best Management Practices &
Materials Inventory Report—Optional
The resident engineer files this form as filled out by the contractor, in the project files.
Instructions are included on the form.
Form CEM-2035 Stormwater Corrective Actions Summary
The resident engineer files this form as filled out by the contractor, in the project files.
Instructions are included on the last page of the form.
Form CEM-2035T Stormwater Corrective Actions Summary – Lake Tahoe
Hydrologic Unit
The water pollution control manager submits this form to the resident engineer as
required by the Lake Tahoe Hydrologic Unit Construction General Permit. Instructions
are included on the last page of the form.
Form CEM-2045 Rain Event Action Plan
The resident engineer files this form, as filled out by the contractor, in the project files.
Instructions are included within the pages of the form.
Form CEM-2045T Rain Event Action Plan—Lake Tahoe Hydrologic Unit
The resident engineer files this form, as filled out by the contractor, in the project files.
Instructions are included within the pages of the form.
Form CEM-2051 Stormwater Sampling and Analysis Log–Optional
The resident engineer files this form, as filled out by the contractor, in the project files.
Instructions are included on the last page of the form.
Form CEM-2052 Stormwater Sample Field Test Report/Receiving Water
Monitoring Report
The resident engineer files this form, as filled out by the contractor, in the project files.
Instructions are included on the last page of the form.
Form CEM-2058 Stormwater Meter Calibration Record—Specialty Meters
The resident engineer files this form, as filled out by the contractor, in the project files.
Instructions are included on the last page of the form.
Form CEM-2061 Notice of Discharge Report
The resident engineer submits this form to the California Regional Water Quality
Control Board, as required by the Caltrans NPDES permit. Instructions are included on
the last page of the form.

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5-1.4 Project Records and Reports
Form CEM-2061T Notice of Discharge Report—Lake Tahoe Hydrologic Unit
Stormwater Sample Field Test Report/Receiving Water
Monitoring Report
This form is to be completed when the contractor, Caltrans, State Water Resources
Control Board, or Regional Water Quality Control Board staff determines that
stormwater discharges, authorized nonstormwater discharges, or nonauthorized,
nonstormwater discharges will violate an applicable water quality standard. This form is
submitted to the resident engineer. Instructions are included on the last page of the form.
Form CEM-2062 Numeric Action Level Exceedance Report
The resident engineer submits this form to the California Regional Water Quality
Control Board, as required by the Caltrans NPDES permit. Instructions are included on
the last page of the form.
Form CEM-2062T Numeric Action Level Exceedance Report—Lake Tahoe
Hydrologic Unit
The resident engineer submits this form to the California Regional Water Quality
Control Board, as required by the Caltrans NPDES permit. Instructions are included on
the last page of the form.
Form CEM-2063 Numeric Effluent Limitation Violation Report—ATS
Discharges
The resident engineer submits this form to the California Regional Water Quality
Control Board, as required by the Caltrans NPDES permit. Instructions are included on
the last page of the form.
Form CEM-2063T Numeric Effluent Limitation Violation Report—Lake Tahoe
Hydrologic Unit
The resident engineer submits this form to the California Regional Water Quality
Control Board, as required by the Caltrans NPDES permit. Instructions are included on
the last page of the form.
Form CEM-2070 SWPPP/WPCP Annual Certification of Compliance
The resident engineer submits this form to the California Regional Water Quality
Control Board, as required by the Caltrans NPDES permit. Instructions are included on
the last page of the form.
Form CEM-2075 Project Stormwater Annual Report
This form is completed by the contractor and submitted to the resident engineer to
document stormwater monitoring and training information required to prepare a
Stormwater Annual Report each year for all SWPPP projects for more than three
consecutive months. Instructions are included on the last page of the form.
Form CEM-2075T Project Stormwater Annual Report–Lake Tahoe Hydrologic
Unit
This form is completed by the contractor and submitted to the resident engineer to
document stormwater monitoring and training information required to prepare a
Stormwater Annual Report each year for all enrolled projects in the Lake Tahoe
Hydrologic Unit for the period of October 16 of the previous year through October 15
of the current year. Instructions are included on the last page of the form.

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 Form CEM-20CC Attachment CC, Water Pollution Control Best Management
Practices List
The contractor’s water pollution control manager completes the form at different phases
of the construction project to document the type and quantity of best management
practices planned to be implemented in the field to prevent water pollution. Information
in this form helps the water pollution control manager mobilize labor and coordinate
necessary supplies in an orderly and efficient manner. In addition, information in this
form allows the stormwater inspector to fully understand the construction stage and
anticipated quantity of best management practices in the field during the site visit.
Form CEM-20DAPP Appendix D, Notification Log
Subcontractors and material suppliers must be notified of their responsibilities on the
construction job site related to stormwater runoff pollution prevention. This form
documents the stormwater pollution prevention notifications given to each subcontractor
and material supplier.
Form CEM-20DCON SWPPP/WPCP Attachment D, Contractor Personnel
Training Record
Contractor personnel responsible for implementation of stormwater pollution prevention
practices are required to be adequately trained in this field. Attachment D documents the
training record of the contractor’s personnel. This form is included in the stormwater
pollution prevention plan (SWPPP) and is updated as necessary.
Form CEM-20DSUB SWPPP/WPCP Attachment D, Subcontractor Personnel
Stormwater Training Record
Subcontractor personnel responsible for implementation of stormwater pollution
prevention practices are required to be adequately trained in this field. Attachment D
documents the training record of the subcontractor’s personnel. This form is included in
the SWPPP and is updated as necessary.
Form CEM-20EE SWPPP Attachment EE, Stormwater Sampling Locations
This form lists all potential water quality sampling locations within a project site during
the course of construction. This form is prepared by the qualified SWPPP developer at
the start of the project and is included in the SWPPP. During the course of construction,
depending on the stage of construction and areas of disturbed soil activities, appropriate
sampling locations from this list are selected for sampling of the stormwater runoff or
discharge.
Form CEM-2101 COZEEP Daily Report
The California Highway Patrol and Caltrans jointly use this form to report highway
patrol resources used for the Construction Zone Enhanced Enforcement Program
(COZEEP). Chapter 2, “Safety and Traffic,” of this manual further describes the use of
the form.
Form CEM-2102 COZEEP/MAZEEP Task Order
The resident engineer uses this form to request highway patrol support for the
Construction Zone Enhanced Enforcement Program. Additional use of this form is
described in Chapter 2, “Safety and Traffic,” of this manual.

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5-1.6 Project Records and Reports
Form CEM-2103 COZEEP/MAZEEP Cancellation Form
The resident engineer uses this form to cancel any previously requested highway patrol
support for the Construction Zone Enhanced Enforcement Program. Additional use of
this form is described in Chapter 2, “Safety and Traffic,” of this manual.
Form CEM-2401 Substitution Report for Disadvantaged Business Enterprise
(DBE) or Underutilized Disadvantaged Business Enterprise
(UDBE)
The contractor fills out and provides this form to the resident engineer who uses the
information to authorize DBE subcontractor substitutions. Sections 3-8, “Prosecution
and Progress,” and 8-3, “Disadvantaged Business Enterprises and Disabled Veteran
Business Enterprises,” of this manual contain additional information on substituting
subcontractors.
Form CEM-2402(F) Final Report—Utilization of Disadvantaged Business
Enterprises (DBE), First-Tier Subcontractors
The contractor completes this form. The resident engineer certifies the form. It describes
work performed and materials provided by disadvantaged business enterprise firms.
Refer to Section 8-3, “Disadvantaged Business Enterprises and Disabled Veteran
Business Enterprises,” of this manual for details.
Form CEM-2402(S) Final Report—Utilization of Disabled Veteran Business
Enterprises (DVBE), State Funded Projects Only
The contractor fills out and certifies this form which describes work performed and
materials provided by disabled veteran business enterprise firms. The resident engineer
verifies the form. Refer to Section 8-3, “Disadvantaged Business Enterprises and
Disabled Veteran Business Enterprises,” of this manual for details.
Form CEM-2403(F) Disadvantaged Business Enterprises (DBE) Certification
Status Change
The contractor fills out and certifies this form. The resident engineer uses the form to
verify the actual dollar amount paid to DBE subcontractors on federally funded projects
that have a change in certification status during the course of the contract. Refer to
Section 8-3, “Disadvantaged Business Enterprises and Disabled Veteran Business
Enterprises,” of this manual for details.
Form CEM-2404(F) Monthly DBE /UDBE Trucking Verification
The contractor must submit this form before the 15th of each month. It lists the dollar
amount paid to the DBE trucking companies for truck work performed by DBE certified
truckers and for any fees or commissions for non-DBE truckers used each month on the
project. Instructions for filling out this form are on the last page of the form.
Form CEM-2405 Disabled Veteran Business Enterprise (DVBE) Substitution
Request to the Department of General Services (DGS)
The resident engineer completes this form, attaches all DVBE substitution request
documentation from the contractor, and sends to the headquarters Division of
Construction labor compliance program manager. Instructions for filling out this form
are on the last page of the form.

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 Form CEM-2406 Monthly Disadvantaged Business Enterprises (DBE)
Payment
The contractor completes this form for labor compliance purposes on federally funded
projects only. Refer to Section 8-1, “Labor Compliance,” of this manual for more
information.
Form CEM-2501 Fringe Benefit Statement
The contractor completes this form for labor compliance purposes. Refer to Section 8-1,
“Labor Compliance,” of this manual for more information.
Form CEM-2502 Contractor or Subcontractor Payroll
When it is requested, furnish this form to the contractor. It is used to fulfill the payroll
submittal requirements of the contract. Refer to Section 8-1, “Labor Compliance,” of this
manual for more information.
Form CEM-2503 Statement of Compliance
The contractor may use this form for the required statement of compliance with payroll
submittals. Refer to Section 8-1, “Labor Compliance,” of this manual for more
information.
Form CEM-2504 Employee Interview: Labor Compliance/EEO
Use this form to record information from interviews of contractors’ employees.
Directions for the interviewer are on the back of the form. Refer to Section 8-1, “Labor
Compliance,” of this manual for more information.
Form CEM-2504 (Spanish), Entrevista de Empleado: Cumplimiento
Laboral/IOE
Same as previous form, printed in Spanish.
Form CEM-2505 Owner-Operator Listing
If they do not include this data on their certified payrolls, contractors may use this form
to report payments made to owner-operators. Refer to Section 8-1, “Labor Compliance,”
of this manual for more information.
Form CEM-2506 Labor Compliance—Wage Violation
The district labor compliance officer uses this form to document labor compliance wage
violations. Refer to Section 8-1, “Labor Compliance,” of this manual for more
information.
Form CEM-2507 Labor Violation: Case Summary
The district labor compliance officer uses this form in conjunction with Form CEM-
2506 to summarize labor violation cases. Refer to Section 8-1, “Labor Compliance,” of
this manual for more information.
Form CEM-2508 Contractor Payroll Source Document Audit Summary
The district labor compliance officer uses this form to document the verification of the
contractor’s payroll source document audit. Refer to Section 8-1, “Labor Compliance,”
of this manual for more information.
Form CEM-2509 Checklist—Source Document Audit
The district labor compliance officer uses this form during the contractor’s payroll source

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5-1.8 Project Records and Reports
document audit. Refer to Section 8-1, “Labor Compliance,” of this manual for more
information.
Form CEM-2510 Truck Owner-Operator Certification of Ownership
The truck owner-operator uses this form to identify the vehicle used and certify
ownership or lease of the vehicle. The form should be submitted once per project to the
district labor compliance office unless changes to the data would necessitate a new form.
Refer to Section 8-1, “Labor Compliance,” of this manual for more information.
Form CEM-2601 Construction Progress Chart
The resident engineer maintains this form for each project. Refer to Section 3-8,
“Prosecution and Progress,” of this manual for details.
Form CEM-2701 Weekly Statement of Working Days
The resident engineer uses this form to track contract time on construction contracts. The
last page of the form and Section 3-8, “Prosecution and Progress,” of this manual contain
instructions for filling out the Weekly Statement of Working Days.
Form CEM-2702 Overrun in Contract Time
The Division of Construction may use this form to grant time adjustments after contract
time has elapsed. For more information refer to Section 3-8, “Prosecution and Progress,”
of this manual.
Form CEM-3101 Notice of Materials to Be Used
The contractor must use this form to list all materials to be used on the project. Refer to
Section 6-2, “Acceptance of Manufactured or Fabricated Material and Products,” of this
manual for details on the use of the form. Instructions to the contractor are on the last
page of the form.
Form CEM-3501 Hot Mix Asphalt Production Report
The plant inspector uses this form to document daily hot mix asphalt production
processes and report any plant, material, and production deficiency to the resident
engineer.
Form CEM-3502 Hot Mix Asphalt Placement Report
The paving inspector uses this form to document daily hot mix asphalt placement
processes and report any material and construction deficiencies to the resident engineer.
Form CEM-3511 Contractor Job Mix Formula Proposal
The contractor uses this form to submit to the resident engineer, before the work begins,
the hot mix asphalt mix formula tested for intended use on the project. The form states
job mix formula target values for aggregate sieves and the percent of asphalt binder, as
well as source information for all materials.
Form CEM-3512 Contractor Hot Mix Asphalt Design Data
The contractor uses this form to document the testing data developed by the mix design
laboratory. Refer to Section 4-39, “Asphalt Concrete,” of this manual for more
information.
Form CEM-3513 Caltrans Hot Mix Asphalt Verification
Caltrans verifies that the proposed job mix formula complies with the specifications on

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Project Records and Reports 5-1.9
 this form. The resident engineer signs and returns the form to the contractor. Refer to
Section 4-39, “Asphalt Concrete,” of this manual for more information.
Form CEM-3514 Contractor Job Mix Formula Renewal
The contractor submits test results for renewal of hot mix asphalt job mix formula on
this form to the resident engineer. When the test results indicate that the sampled and
tested hot mix asphalt complies with the specifications, the resident engineer requests the
district materials laboratory perform hot mix asphalt verification testing. Refer to Section
4-39, “Asphalt Concrete,” of this manual for more information.
Form CEM-3673A Americans with Disabilities Act (ADA) Compliance
Inspection Report–Sidewalk
The resident engineer uses this form as a checklist for construction inspection of
sidewalks. Refer to Section 4-73, “Concrete Curbs and Sidewalks,” of this manual for
details.
Form CEM-3673B Americans with Disabilities Act (ADA) Compliance
Inspection Report—Sidewalk at Driveway
The resident engineer uses this form as a checklist for construction inspection of
sidewalks at driveways. Refer to Section 4-73, “Concrete Curbs and Sidewalks,” of this
manual for details
Form CEM-3673C Curb Ramp (Case A) Americans with Disabilities Act (ADA)
Compliance Inspection Report
The resident engineer uses this form as a checklist for construction inspection of
Standard Plans curb ramps (Case A). Refer to Section 4-73, “Concrete Curbs and
Sidewalks,” of this manual for details.
Form CEM-3673D Curb Ramp (Case B) Americans with Disabilities Act (ADA)
Compliance Inspection Report
The resident engineer uses this form as a checklist for construction inspection of
Standard Plans curb ramps (Case B). Refer to Section 4-73, “Concrete Curbs and
Sidewalks,” of this manual for details.
Form CEM-3673E Curb Ramp (Case C) Americans with Disabilities Act (ADA)
Compliance Inspection Report
The resident engineer uses this form as a checklist for construction inspection of
Standard Plans curb ramps (Case C). Refer to Section 4-73, “Concrete Curbs and
Sidewalks,” of this manual for details.
Form CEM-3701 Test Result Summary
The resident engineer must use this form to summarize acceptance tests frequency and
results on each material. The form is also used to record dates for sampling, date shipped
to laboratory, test result transmission to the resident engineer, and contractor notification
of test result. Refer to Category 37, “Initial Tests and Acceptance Tests,” in Section 5-
102, “Organization of Project Documents,” of this manual for details.
Form CEM-3702 Relative Compaction Summary
The resident engineer may use this form to summarize compaction test results in the
same manner that Form CEM-3701 is used for other tests.

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5-1.10 Project Records and Reports
Form CEM-3703 Caltrans Production Start-Up Evaluation
The resident engineer uses this form to record the testing results at the beginning of
production. Refer to Section 4-39, “Asphalt Concrete,” of this manual for more
information.
Form CEM-3736 Pavement Smoothness Inertial Profiler Submittal Record
The quality control manager submits this form to the resident engineer and the Caltrans
secure file sharing system along with specified profiling information within 2 business
days of profiling. The resident engineer reviews the information and retains the form in
the construction project records.
Form CEM-3736AC Asphalt Concrete Pavement Smoothness Corrections
Information
The contractor submits this form to the resident engineer and the Caltrans secure file
sharing system along with their final profiling information within 5 business days of
profiling. The resident engineer reviews the information and retains the form in the
construction project records.
Form CEM-3736C Concrete Pavement Smoothness Corrections Information
The contractor submits this form to the resident engineer and the Caltrans secure file
sharing system along with their final profiling information within 5 business days of
profiling. The resident engineer reviews the information and retains the form in the
construction project records.
Form CEM-3801 Request for Assignment of Inspectors, Samplers, and Testers
The contractor uses this form to submit the names of quality control staff for hot mix
asphalt projects using the quality control/quality assurance (QCQA) process. Refer to
the Quality Control Manual for Hot Mix Asphalt for more information.
Form CEM-3802 Quality Control Inspector Affidavit of Proficiency
The contractor uses this form to document the hot mix asphalt experience and training
of proposed hot mix asphalt quality control inspectors for projects using the QCQA
process. Refer to the Quality Control Manual for Hot Mix Asphalt for additional
information.
Form CEM-3803 Daily Summary of Quality Control Testing
The contractor uses this form to provide a summary of quality control test results for
each day that hot mix asphalt is placed on a QCQA process project. Refer to the Quality
Control Manual for Hot Mix Asphalt for more information.
Form CEM-3804 Hot Mix Asphalt Inspection and Testing Summary
The contractor uses this form to provide a checklist that shows the inspections and testing
for each day that hot mix asphalt is placed on a QCQA process project. The contractor’s
quality control manager must document on this form deviations from the specifications
or regular practices and certify that the information, tests, or calculations, comply with
the contract specifications. Refer to the Quality Control Manual for Hot Mix Asphalt for
more information.
Form CEM-4101 Materials Release Summary
The resident engineer uses this form to summarize the materials released by METS and

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Project Records and Reports 5-1.11
 materials inspected at the job site.
Form CEM-4102 Material Inspected and Released on Job
The resident engineer uses this form to list certain materials that may arrive on the job
site without a Form TL-0029, “Report of Inspection of Material.” Refer to Section 6-3,
“Field Tests,” of this manual for details.
Form CEM-4202 Material Plant Safety Checklist
The materials plant inspector uses this form when checking a materials plant for safety.
Form CEM-4401 Solid Waste Disposal and Recycling Report
The contractor completes and certifies the information reported on this form. The
resident engineer reviews then submits the authorized form to the district recycling
coordinator with a copy to the statewide recycling coordinator in headquarters Division
of Design. The use of this form is described in Section 7-109, “Solid Waste Disposal and
Recycling Reporting,” of this manual.
Form CEM-4410 Crumb Rubber Usage Report
The contractor submits this form monthly to the resident engineer and email address
[email protected]. The resident engineer reviews the information and verifies paid
quantities and contractor submittal of form to email address. Instructions to the
contractor and resident engineer are on the last pages of the form. Refer to Section 7-
108, “Crumb Rubber Usage Reporting,” of this manual for more information.
Form CEM-4501 Resident Engineer’s Daily Report/Assistant Resident
Engineer’s Daily Report
The resident engineer and assistant resident engineers use this form to record project
activities daily. For more information, refer to Section 5-0, “Conduct of the Work,” of
this manual.
Form CEM-4601 Assistant Resident Engineer’s Daily Report
Assistant resident engineers use this form to record daily individual contract item
activity. It is also used to record extra work activity and to verify contractor’s personnel
listed on payrolls. For more information refer to Section 5-0, “Conduct of the Work,” of
this manual.
Form CEM-4701 Drainage System Summary
The resident engineer and assistant resident engineers use this form to record progress
and summarize activity on drainage contract items. Refer to Category 47, “Drainage
Systems,” in Section 5-102, “Organization of Project Documents,” of this manual for
details.
Form CEM-4801 Quantity Calculations
The resident engineer and assistant resident engineers use this form for the basic source
document for most contract item quantity calculations.
Form CEM-4900 Change Order
The resident engineer uses this form for change orders. Refer to Section 5-3, “Change
Orders,” of this manual for information about change orders.

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5-1.12 Project Records and Reports
Form CEM-4901 Change Order Input
The resident engineer and assistant resident engineers use this form to input change
orders for the project record and estimate data. Refer to Section 5-103D, “Change
Orders,” of this manual for details.
Form CEM-4902 Extra Work Bill (Short Form)
The contractor uses this form for billing extra work. Details for use are on the last page
of the form and are included in Section 5-103E, “Change Order Billing,” of this manual.
The resident engineer may authorize contractor-designed forms. With prior approval
from the Division of Construction, the contractor may submit change order bill data on
a computer report identical to this form for all Caltrans projects.
Form CEM-4902A Extra Work Bill—Title Page
The contractor uses this form for billing extra work. It is the first page of the four-part
changer order bill. It identifies the project, change order number, method of payment,
and performer of work. This form also provides for manual calculation of the bill. Details
for use are on the last page of the form and are also included in Section 5-103E, “Change
Order Billing,” of this manual. The resident engineer may authorize contractor-designed
forms. With prior approval from the Division of Construction, the contractor may submit
change order bill data on a computer report identical to this form for all Caltrans projects.
Form CEM-4902B Extra Work Bill—Labor Charges
Contractors use this form for billing extra work. It is used to enter labor charges and other
expense subject to labor markup. Details for use are on the last page of the form and are
included in Section 5-103E, “Change Order Billing,” of this manual. The resident
engineer may authorize contractor-designed forms. With prior approval from the
Division of Construction, the contractor may submit change order bill data on a computer
report identical to this form for all Caltrans projects. This form is used with Form CEM-
4902A, “Extra Work Bill—Title Page.”
Form CEM-4902C Extra Work Bill—Equipment Charges
The contractor uses this form to enter equipment charges to the change order bill.
Instructions for use are on the second page of the form and are included in Section 5-
103E, “Change Order Billing,” of this manual. The resident engineer may authorize
contractor-designed forms. With prior approval from the Division of Construction, the
contractor may submit change order bill data on a computer report identical to this form
for all Caltrans projects. This form is used with Form CEM-4902A, “Extra Work Bill—
Title Page.”
Form CEM-4902D Extra Work Bill—Material Charges
The contractor uses this form for billing extra work. It is used to enter material charges
to the change order bill. Details for use are on the last page of the form and are included
in Section 5-103E, “Change Order Billing,” of this manual. The resident engineer may
authorize contractor-designed forms. With prior approval from the Division of
Construction, the contractor may submit change order bill data on a computer report
identical to this form for all Caltrans projects. This form is used with Form CEM-4902A,
“Extra Work Bill—Title Page.”
Form CEM-4903 Change Order Memorandum
The resident engineer uses this form in conjunction with Form CEM-4900, “Change

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Project Records and Reports 5-1.13
 Order,” to report the necessary engineering and administrative data relative to the
change. Refer to Section 5-3, “Change Orders,” of this manual for details.
Form CEM-4904 Caltrans Authorization for Using Internet Extra Work Bill
System
The resident engineer completes this form, outlining contract markups and change order
bill roles to authorize Caltrans staff access to the Caltrans Internet Extra Work Bill
(iEWB) system. The resident engineer submits the form, along with completed Form
CEM-4905 from the contractor, to the appropriate iEWB district administrator.
Form CEM-4905 Contractor Authorization for Using Internet Extra Work Bill
System
The contractor furnishes the resident engineer with daily reports of any extra work as
required in Section 5-1.27D, “Cost Accounting Records,” of the Standard
Specifications. The prime contractor completes this form for authority to use the internet
to submit change order bills. The contractor submits this form, usually at the
preconstruction meeting, to the resident engineer or to the managing partner if the
contract is a joint venture. Required change order bill training and the iEWB website
provide additional information at:
http://www.dot.ca.gov/hq/construc/iewb/
Form CEM-5101 Request for Payment for Materials on Hand
The contractor uses this form to request payment for materials on hand. Instructions for
the form and administrative procedures are covered in Section 3-9, “Payment,” of this
manual.
Form CEM-5501 Partnering Facilitator Evaluation—Kick-Off
The resident engineer uses this form to gather project team evaluations of the partnering
facilitator’s performance following the kick-off partnering workshop when partnering is
implemented on a Caltrans construction project.
Form CEM-5502 Partnering Facilitator Evaluation—Close-Out
The resident engineer uses this form to gather project team evaluations of the partnering
facilitator’s performance following the close-out partnering workshop.
Form CEM-6003 Progress Pay—Estimate Project Initiation or Update
The resident engineer uses this form to add new information or to change information in
the Contract Administration System (CAS). For details refer to Section 5-103B, “Project
Initiation and Update,” of this manual.
Form CEM-6004 Contract Transactions Input
The resident engineer uses this form to input estimate data into CAS for the project
record and estimate. Refer to Section 5-103C, “Contract Transactions,” of this manual
for details.
Form CEM-6101 Project Record—Estimate Request
The resident engineer uses this form to request that an estimate be run. Refer to Section
5-103F (1), “Procedure,” of this manual for details.

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5-1.14 Project Records and Reports
Form CEM-6201 Notice of Potential Claim
The contractor uses this form to submit notices of potential claims to the resident
engineer. For details on the use of this form, refer to Section 5-4, “Disputes,” of this
manual.
Form CEM-6201A Initial Notice of Potential Claim
The contractor uses this form to submit an early notice of a potential claim issue. For
details on the use of this form, refer to Section 5-4, “Disputes,” of this manual.
Form CEM-6201B Supplemental Notice of Potential Claim
The contractor uses this form to submit a detailed description along with the necessary
attachments of the nature, circumstances, and estimated costs of a potential claim as a
follow up to Form CEM-6201A, “Initial Notice of Potential Claim.”
Form CEM-6201C Full and Final Documentation of Potential Claim
The contractor uses this form to submit a complete documentation of a potential claim
after completion of the work for which Forms CEM-6201A and CEM-6201B have been
submitted. For details on the use of this form, refer to Section 5-4, “Disputes,” of this
manual.
Form CEM-6201D Initial Potential Claim Record
The contractor uses this form to detail the nature and circumstances of the potential
claim. For details on the use of this form, refer to Section 5-4, “Disputes,” of this manual.
Form CEM-6201E Supplemental Potential Claim Record
The contractor uses this form to detail the potential claim and cost associated with the
claim. For further details on the use of this form, refer to Section 5-4, “Disputes,” of this
manual.
Form CEM-6201F Full and Final Potential Claim Record
The resident engineer uses this form to document the circumstances and costs associated
with the potential claim. For details on the use of this form, refer to Section 5-4,
“Disputes,” of this manual.
Form CEM-6202 Dispute Resolution Board Establishment Report
The resident engineer completes and submits this form to the Division of Construction
after the initial Dispute Resolution Board meeting has been held. For details on the use
of this form, refer to Section 5-4, “Disputes,” of this manual.
Form CEM-6203 Dispute Review Board (DRB) Update Report
The resident engineer completes and submits this form to the Division of Construction
yearly beginning on the anniversary of the contract first working day. For details on the
use of this form, refer to Section 5-4, “Disputes,” of this manual.
Form CEM-6204 Dispute Resolution Board Dispute Meeting Report
The resident engineer completes and submits this form 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, refer to Section 5-4, “Disputes,” of this manual.

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 Form CEM-6205 Dispute Review Board (DRB) Completion Report
The resident engineer completes and submits this form 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, refer to Section 5-4, “Disputes,” of this manual.
Form CEM-6206 Dispute Resolution Advisor—Establishment Report
The resident engineer completes and submits this form to the Division of Construction
for selection of the dispute resolution advisor. For details on the use of this form, refer to
Section 5-4, “Disputes,” of this manual.
Form CEM-6207 Dispute Resolution Advisor—Dispute Meeting Report
The resident engineer completes and submits this form to the Division of Construction
with Caltrans’ response to the dispute resolution advisor’s recommendations. For details
on the use of this form, refer to Section 5-4, “Disputes,” of this manual.
Form CEM-6208 Dispute Resolution Ladder Establishment
As an option, the resident engineer completes and submits this form to the Division of
Construction to document the levels of authority consulted. For details on the use of this
form, refer to Section 5-4, “Disputes,” of this manual.
Form CEM-6209 Elevation of a Dispute
As an option, the resident engineer completes and submits this form to the Division of
Construction to assist in defining the dispute prior to elevating it to the next level. For
details on the use of this form, refer to Section 5-4, “Disputes,” of this manual.
Form CEM-6301 Contract Acceptance
The resident engineer uses this form to document acceptance and the various quantities
delivered by the contract. Instructions are on the back of the form. For details on the use
of this form, refer to Section 3-523B, “Contract Acceptance,” of this manual.
The district does not need to fax a copy of the contract acceptance form CEM-6301 to
Division of Construction. If there is a federal number on the form, the district estimate
desk makes a copy of the form and, at the end of each month, collects and sends these
copies to the Caltrans Office of Federal Resources, MS-23.
Form CEM-6302 Final Materials Certification
The resident engineer uses this form to document that tests on acceptance samples
indicate the materials incorporated in the construction work, and the construction
operations controlled by sampling and testing, were in conformity with the authorized
plans and specifications.
Form CEM-6303 Final Acceptance Checklist for Federal-Aid Projects of
Division Interest (PODI)
The resident engineer uses this form to document project status for FHWA and to help
with the final vouchering process once the final estimate is produced.
Form CEM-9001 Construction Manual Proposed Change
Caltrans personnel or external stakeholders may use this form to submit a
recommendation for a change to the Construction Manual. Completed forms with
attachments, if applicable, should be sent to the Division of Construction, Publications
Unit email [email protected].

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5-1.16 Project Records and Reports
Form OFG-1 Oversight Resident Engineer’s Preconstruction Checklist
The resident engineer uses this form to document contacts within the local agency where
the work is being performed. For further details on use of this form, refer to Section 3.1.7,
“Oversight Resident Engineer Files,” of the Oversight Resident Engineer Guidelines.
Form OFG-2 Local Agency and Oversight Resident Engineer
Preconstruction Checklist
The resident engineer uses this form to document general project conditions at the
preconstruction meeting with the contractor. For details on use of this form, refer to
Section 3.1.7, “Oversight Resident Engineer Files,” of the Oversight Resident Engineer
Guidelines.
Form OFG-3 Local Agency Resident Engineer Contract Provisions
Checklist
The resident engineer uses this form to document state and federal requirements with the
contractor. For details on use of this form, refer to Section 3.1.7, “Oversight Resident
Engineer Files,” of the Oversight Resident Engineer Guidelines.
Form OFG-4 Oversight Resident Engineer’s Construction Contract
Administration Verification Checklist
The resident engineer uses this form to document the contract administration activities
required on the project. For details on use of this form, refer to Section 3.1.7, “Oversight
Resident Engineer Files,” of the Oversight Resident Engineer Guidelines.
Form OFG-5 Federal-Aid Projects of Division Interest
The resident engineer uses this form to document federal-aid requirements for the
project. For details on use of this form, refer to Section 3.1.7, “Oversight Resident
Engineer Files,” of the Oversight Resident Engineer Guidelines.
Form OFG-6 Final Acceptance Checklist for Caltrans Oversight Projects
The resident engineer uses this form to document that all required procedures have been
performed on the project. For details on use of this form, refer to Section 3.1.7,
“Oversight Resident Engineer Files,” of the Oversight Resident Engineer Guidelines.
5-101C Materials Engineering and Testing Services Forms
Structural Materials, under Materials Engineering and Testing Services (METS), is
responsible for TL forms. Find forms under Engineering Services’ Testing and
Technology Services link at:
http://cefs2.dot.ca.gov/jsp/forms.jsp
Form MR-0518 Job Cement Samples Record
The resident engineer uses this form to submit cement samples for testing. Instructions
for the use of this form are found in Section 6-2, “Acceptance of Manufactured or
Fabricated Material and Products,” of this manual.
Form TL-0015 Quality Assurance—Nonconformance Report
METS uses this form when METS personnel discover that structural material or quality
control procedures do not meet specific contract requirements. METS sends a copy to
the resident engineer.

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 Form TL-0016 Quality Assurance—Nonconformance Resolution
METS uses this form to document the resolution to an outstanding Form TL-0015.
METS sends a copy to the resident engineer.
Form TL-0028 Notice of Materials to Be Inspected at Jobsite
METS uses this form to assign inspection duties. METS sends a copy to the resident
engineer.
Form TL-0029 Report of Inspection of Material
METS uses this form to confirm that material has been inspected, and the inspector has
attached inspection release tags or other means of identification. METS sends a copy to
the resident engineer, who compares it with inspection tags or markings on delivered
materials.
Form TL-0038 Inspection Request
METS uses this form to document requests by the vendor or fabricator for bid items that
require inspection.
Form TL-0101 Sample Identification Card
The resident engineer uses this form to submit samples to METS or district materials
laboratories for testing materials other than field samples of concrete (compressive
strength) and cement samples.
Form TL-0502 Field Sample of Portland Cement Concrete Sample Card
The resident engineer uses this form to submit compressive strength samples of concrete.
Refer to Section 6-3, “Field Tests,” of this manual for details on marking of samples.
Form TL-0608 Notice of Materials to be Furnished
METS uses this form to inform all parties that METS will inspect and release material
before it’s sent to the job site. TL-0038, “Inspection Request Form,” is included with the
TL-0608 that is sent to the vendor and fabricator.
Form TL-0649 Report of Materials on Hand
METS uses this form to verify that material has been inspected and is in acceptable
condition. Refer to Section 3-9, “Payment,” of this manual for details.
Form TL-6013 Toll Material Suitability Documentation Report
METS structural material representative, in consultation with the resident engineer and
design staff as needed, completes this form as part of the blue tag process. The form
documents the decision to release material that is tagged with TL-0625 and is listed in
TL-6014.
Form TL-6014 Material Suitability Report
This form is completed by the METS quality assurance inspector and is used to list the
material to be released with TL-0625. The report includes material description, blue tag
number, and description of conformance.
Form TL-6037 Fabrication Progress Report
METS uses this form to notify resident engineers of progress being made on fabrication
of various items. Refer to Section 3-9, “Payment,” of this manual for details.

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5-1.18 Project Records and Reports
The following METS forms can be found at the Caltrans Electronic Forms System’s
intranet website:
http://cefs.dot.ca.gov/jsp/forms.jsp
5-101D Other State Forms
Following are state forms used in contract administration that are not issued by the
Division of Construction or METS. They are available on the Caltrans Electronic Forms
System’s intranet website:
http://cefs.dot.ca.gov/jsp/forms.jsp
Form DPD-3013 Request for Construction Staking
The contractor uses this form to request construction staking. The resident engineer and
the survey party chief add information to the request. It serves as a record of construction
staking and any charges to the contractor for restaking. For information on construction
surveys and use of the form, refer to Chapter 12, “Construction Surveys,” of the Caltrans
Surveys Manual.
Form LA-17 Report of Chemical Spray Operations
The contractor uses this form to submit the required weekly pesticide application report.
Refer to Section 4-2002C (2), “Pesticides,” of this manual for details.
5-101E Traffic Operations Forms
The following forms from the Division of Traffic Operations are used to change
clearances or bridge weight rating, and are located at:
http://www.dot.ca.gov/hq/traffops/permits/
Form TR-0019 Notice of Change in Clearance or Bridge Weight Rating
The resident engineer uses this form to report permanent changes to vertical or horizontal
clearance for vehicular traffic or permanent changes in bridge permit ratings on divided
roadways. Refer to Section 3-703B, “Permanent Clearance and Bridge Permit Rating
Changes,” of this manual for details.
Form TR-0020 Notice of Change in Vertical or Horizontal Clearance
The resident engineer uses this form to report permanent changes to vertical or horizontal
clearance for vehicular traffic. Refer to Section 3-703B, “Permanent Clearance and
Bridge Permit Rating Changes,” of this manual for details.
Form TR-0029 Notice of Change in Clearance or Bridge Weight Rating
The resident engineer uses this form to report permanent changes to vertical or horizontal
clearance for vehicular traffic or permanent changes in bridge permit ratings on
undivided roadways. Refer to Section 3-703B, “Permanent Clearance and Bridge Permit
Rating Changes,” of this manual for details.
Form TR-0405 Certification of Compliance with Americans with Disabilities
Act (ADA)
The resident engineer uses this form to certify compliance with ADA standards prior to
and after construction. Refer to Design Information Bulletin 82 at the website:
http://www.dot.ca.gov/hq/oppd/dib/dibprg.htm

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 5-101F Federal Forms
Following is a list of some federal forms that are used in contract administration. Obtain
the forms from the U.S. Department of Transportation, Federal Highway
Administration’s website:
http://www.fhwa.dot.gov/
Form FHWA-1391 Federal-Aid Highway Construction Contractors Annual EEO
Report
The contractor must submit this form on all federal-aid contracts over $10,000. All
subcontractors on federal-aid projects whose subcontracts exceed $10,000 must also
submit the form. Contractors and subcontractors report project employment data for the
last full week of July on the form.
Form DOL SF-308 Request for Wage Determination and Response to Request
Request wage rate determinations for federal-aid contracts by using this U.S. Department
of Labor form. Obtain the form from the U.S. Department of Transportation, Federal
Highway Administration’s website:
http://www.dol.gov/whd/programs/dbra/sf308.htm

5-102 5-102 Organization of Project Documents

Organization of
5-102A General
Project Documents
This section describes the uniform filing system for organizing project records and
reports. The system uses numbered categories for filing project documents. Use the
uniform filing system on all projects.
There are 63 categories in the filing system. There are several unassigned categories. Use
them for project documents that do not fit in assigned categories. If necessary, divide a
category into subcategories.
Assign the appropriate category numbers to documents filed at a separate location (such
as a field office hanging file). The filing system will then be correct when records are
brought together after project completion. Project records may be scanned and stored
electronically. Maintain hard copy files as a backup prior to project completion.
5-102B Indexing
Use a category index, similar to the sample shown at the end of this section, or an index
of categories that is supplied with the labels, for each project. Post the index in a
prominent location.
When the location of a category is separate from the main file, indicate its location on
the index under the appropriate heading.
5-102C Description of Categories
The discussion below describes the documents that should be included in each category
and, for some categories, a recommended order of the documents in the categories.
Category 1 Project Personnel
Include all personnel-related records in this category. Suggested subcategories are listed
below. On smaller projects, some of the listed subcategories may be combined when the
amount of detail shown is not warranted.

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5-1.20 Project Records and Reports
• Form CEM-0101, “Resident Engineer’s Report of Assignment”
• Attendance Report
• Overtime Records
• Overtime Requests and Authorizations
• Absence Requests
• Personnel Transfer Records
• Personnel Roster
• Travel Expense Claims and Records
• Individual Personnel File (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. Suggested subcategories are:
• PRSM (task management) reports
• Equipment cost reports
Category 4 Service Contracts
In this category, file documents related to the project office utilities and services. File
requests for service 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

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 • Gas
• Telephone
• Drinking water
• Overnight mail and shipping service
• 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 Total 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 letters that do not relate to any other category or subcategory in use.
File correspondence concerning a subject that directly relates to some other category in
that category. For example, file correspondence developed in connection with a change
order in the change order category file.
File correspondence in any subcategory in chronological order.
When the volume of correspondence builds up, segregate and divide it into more detailed
subject subcategories. When appropriate, transfer correspondence from Category 5 to a
more specific category. For example, a property owner may object to certain conditions
on the project. After considerable correspondence, the resident engineer writes a change
order to solve the problem. At this point, the resident engineer should transfer all of the
correspondence related to the change order to the change order category file.
A letter might cover subjects in multiple 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 a different category.
The following are examples of subcategories in Category 5. The number of
subcategories will depend on the volume of correspondence. Show all subcategories in
the index.
• Request for information (RFI) and responses
• Request for clarification (RFC) and responses
• To district office
• From district office
• To Project Development
• From Project Development
• To Maintenance
• From Maintenance
• To Traffic
• From Traffic
• To contractor (letters, transmittals, faxes, memos, email)
• From contractor (letters, transmittals, faxes, memos, email)
• Property owners
• Utility companies

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5-1.22 Project Records and Reports
• Form CEM-0501, “Relief From Maintenance”
• 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:
• Employee safety
• Form CEM-0601, “Construction Safety Report”
• Form CEM-0602, “Project Safety Program Statement”
• Contract Documents Relating to Safety
• Correspondence with the Division of Occupational Safety and Health (Cal/ OSHA)
• Form CEM-0606, “Construction Safety Checklist”
• 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 DPD-3013, “Request for Construction Staking,” in this category. Create
subcategories for requests on which staking has been completed and for those where
staking has not been completed. Cross-file staking requests that include restaking
charges in Category 54, “Deductions from Payment to Contractor.”
Category 9 Welding
In this category, file documents relative to welding in accordance with instructions in
Section 180, “Welding,” of the Bridge Construction Records and Procedures manual.
Category 10 Extra Category Number
Use this extra category number for project documents that do not fit in currently
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. Create subcategories as necessary because of the volume of
documents:
• Project Report
• Preliminary Report
• Project Expenditure Authorization (including Supplemental Allotments)
• Detail Estimate of Project Cost
• Notice of Award of Contract
• Bid Summary Sheets

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Project Records and Reports 5-1.23
 • 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 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 5-1.16, “Representative,” 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 a more appropriate category.
• Falsework plans.
• Insurance documents, as required in Section 7-1.05, “Indemnification,” and Section
7-1.06, “Insurance,” of the Standard Specifications.
Category 13 Signs and Striping
In this category, file all documents related to signing, delineation, and handling public
traffic during construction. Suggested subcategories are:
• Layout of Construction Signs
• Detour Design, Striping, and Signing
• Traffic Striping Diagrams
Category 14 Photo Records
File routine photos and their identification in this category. File photos relating to claims
in Category 62, “Disputes.” It is a good practice to take photos on a monthly basis to
document the work during construction. Maintain video recordings and digital photo
files in an organized manner. Note the location of these items in this category file.
Suggested subcategories 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

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5-1.24 Project Records and 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 documents that relate to work to be done to utility facilities in
connection with the project.
Create subcategories for the various utility companies. Set up second-level subcategories
when required by the number of documents. The following are examples of
subcategories within this category:
• 16.1.1 PG&E Co.—Agreements
• 16.1.2 PG&E Co.—Relocations
• 16.1.3 PG&E Co.—Encroachment Permit
• 16.2 AT&T Co.
• 16.3 Southern Pacific RR Co.
Category 17 Utility Work Performed
In this category, file daily reports and other records of utility facility work. Create the
same primary subcategories as those used in Category 16.
Create second level subcategories when required by the number of documents and the
amount of work. For example, where the work would develop daily reports and receiving
records of only one utility relocation, these documents could be kept in one subcategory
in chronological order. When the same utility company has more than one relocation, a
more detailed breakdown is advisable.
Category 18 Agreements
In this category, file agreements (except utility agreements) with third parties or other
state or county agencies. The number and levels of subcategories will depend upon the
agreements and the nature and extent of the work involved. A list of suggested
subcategories follows:
• Right-of-Way 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.

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 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:
• The agreement number
• The location of work to be performed
• A brief description of work to be done and by whom
• When the work is completed
• The change order number if the required work is being done by change order
Category 19 Hazardous Waste and Hazardous Materials
File any information regarding the discovery and removal of hazardous waste in this
category.
To comply with the record retention requirements of the ADL Agreement (6 years
minimum), the resident engineer must retain ADL-related records as follows:
• File all ADL-related correspondence, reports, data, and records in Category 19,
“Hazardous Waste and Hazardous Materials” of the project records.
• File all ADL-related documents included with the resident engineer pending file in
Category 19.
Category 20 Water Pollution Control Plan or Stormwater Pollution
Prevention Plan
File all correspondence regarding water pollution control plans (WPCP) or stormwater
pollution prevention plans (SWPPP) in this category. A list of suggested subcategories:
• Authorized WPCP or SWPPP
• Amendments to WPCP or SWPPP
• Notification of Construction
• Correspondence
• Inspections by Contractor
• Inspections by Caltrans
• Notices of Noncompliance
• Annual Certification of Compliance
• Notice of Completion of Construction
Category 21 Construction or Maintenance Zone Enhanced Enforcement
Program
File documents relating directly to the Construction Zone Enhanced Enforcement
Program (COZEEP) in this category. Suggested subcategories are shown below:
• Form CEM-2103, “COZEEP/MAZEEP Cancellation Form”
• Form CEM-2102, “COZEEP/MAZEEP Task Order”
• Form CEM-2101, “COZEEP Daily Report”
Category 22 Traffic Management Information
Use this category to file information related to traffic management. Possible
subcategories include:

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5-1.26 Project Records and Reports
• Contractor lane closure requests
• Lane closure requests submitted to the transportation management center
• Authorized lane closures
• Contractor contingency plans
• Traffic count data
Category 23 Extra Category Number
Use this extra category number for project documents that do not fit in currently
established categories. When used, enter the name of the category on the index sheet.
Category 24 Disadvantaged Business Enterprises and Disabled Veteran
Business Enterprises (DVBE)
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
• Form CEM-2402(F), “Final Report—Utilization of Disadvantaged Business
Enterprises (DBE), First-Tier Subcontractors”
• Form CEM-2403(F), “Disadvantaged Business Enterprises (DBE) Certification
Status Change”
• Form CEM-2404(F), “Monthly DBE/UDBE Trucking Verification”
• Other DBE and DVBE related documents
Category 25 Labor Compliance and Equal Employment Opportunity
In this category, file required labor compliance and equal employment opportunity
information. Refer to Sections 8-1, “Labor Compliance,” and 8-2, “Equal Employment
Opportunity,” of this manual for details.
Category 26 Progress Schedule
In this category, file the progress schedule, critical path method submittals, and other
related information.
Category 27 Weekly Statement of Working Days
In this category, file Form CEM-2701, “Weekly Statement of Working Days.” Also file
correspondence relating to contract time in a subcategory of this category.
Category 28 Weekly Newsletter
In this category, file periodic newsletters and reports that are prepared during the project.
Include those weekly reports of a general nature pertaining to the progress of the contract.
Category 29 Materials Information and Preliminary Tests
In this category, file materials information and preliminary test reports. Suggested
subcategories follow:
• Materials information

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Project Records and Reports 5-1.27
 • Report of foundation investigation
• Report of tests on aggregate base (preliminary tests)
• Report of tests on aggregate subbase (preliminary tests)
Category 30 Basement Soil Test Results
In this category, file basement soil test results taken to determine structural section
adequacy (taken during design phase).
Category 31 Notice of Materials to Be Used
In this category, file Form CEM-3101, “Notice of Materials to Be Used.” Create a
system for checking that notices have been received.
Make Form CEM-3101s that contain information for structure items available for use by
the structure representative. Consider filing the Form CEM-3101 listing structure items
in a separate subcategory of this category.
Category 32 Notice of Materials to Be Inspected at the Job Site
In this category, file Form TL-0028, “Notice of Materials to Be Inspected at Jobsite.”
Category 33 Notice of Materials to Be Furnished
In this category, file Form TL-0608, “Notice of Materials to Be Furnished.”
Category 34 Treated Base
In this category, file documents for cement-treated base, cement-treated permeable base,
and asphalt-treated permeable base. Do not include those documents that are to be filed
in other specific categories such as 37 and 48.
Use subcategories similar to the examples shown below. Create a numbering system that
identifies the category, item, and subcategory. For example, 34.26.3 indicates: Category
34 “Treated Bases”; 26 is the contract item number of the material and identifies the
subcategory; 3 is the second level subcategory identifying the particular document.
• 34.26.1 Mix design data, cement-treated base
• 34.26.2 Plant records, cement-treated base
• 34.26.3. Spread records, cement-treated base
• 34.27.1 Mix design data, cement-treated permeable base
• 34.27.2 Plant records, cement-treated permeable base
• 34.27.3 Spread records, cement-treated permeable base
• 34.28.1 Mix design data, asphalt-treated permeable base
• 34.28.2 Plant records, asphalt-treated permeable base
• 34.28.3 Spread records, asphalt-treated permeable base
• 34.4 Certificates of compliance for materials used in treated bases
Category 35 Hot Mix Asphalt
In this category, file documents related to hot mix asphalt, except those to be filed in
other specific categories such as in 37 and 48. Following are suggested subcategories:
• Form CEM-3501, “ Hot Mix Asphalt Production Report”
• Form CEM-3502, “Hot Mix Asphalt Placement Report”
• Form CEM-3511, “Contractor Job Mix Formula Proposal”

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5-1.28 Project Records and Reports
• Form CEM-3512, “Contractor Hot Mix Asphalt Design Data”
• Form CEM-3513, “Caltrans Hot Mix Asphalt Verification”
• Certificates of compliance for materials used in hot mix asphalt
Category 36 Concrete (other than structure items)
In this category, file documents related to concrete. Do not include documents that are
to be filed in categories such as 37, 43, and 48. For structure items, the project documents
are to be filed in Category 43, “Concrete and Reinforcing Steel.” Refer to the Bridge
Construction Records and Procedures manual for details. Following are suggested
subcategories:
• 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 “Initial Tests and Acceptance Tests”; 21 is the contract item number of the material
and identifies the subcategory; and 3 is the second level subcategory identifying the
particular test result.
• Form CEM-3701, “Test Results Summary”
• Form CEM-3702, “Relative Compaction Summary”
• Form CEM-3703, “Caltrans Production Start-Up Evaluation”
• Form CEM-3736, “Pavement Smoothness Inertial Profiler Submittal Record”
• Form CEM-3736AC, Asphalt Concrete Pavement Smoothness Corrections
Information”
• Form CEM- 3736C, “Concrete Pavement Smoothness Corrections Information”
• Embankment
37.10.1 Relative Compaction
• Structure Backfill
37.14.1 Sand Equivalent
37.14.2 Relative Compaction
• Aggregate Subbase
37.21.1 Relative Compaction
37.21.2 Moisture

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 37.21.3 Sieve Analysis
37.21.4 Sand Equivalent
37.21.5 Record of Thickness
(summarized in the order that the measurements are made)
• Aggregate Base
37.22.1 Relative Compaction
37.22.2 Moisture
37.22.3 Sieve Analysis
37.22.4 Sand Equivalent
37.22.5 Record of Thickness
(summarized in the order that the measurements are made)
• Hot Mix Asphalt
37.31.1 Aggregate Gradation
37.31.2 Asphalt Binder Content
37.31.3 Maximum Theoretical Density (%)
37.31.4 Sand Equivalent (min)
37.31.5 Stabilometer Value (min)
37.31.6 Air Voids content
37.31.7 Crushed Particles
37.31.8 Moisture Content
37.31.9 Los Angeles Rattler
37.31.10 Fine Aggregate Angularity
37.31.11 Flat and Elongated Particle
37.31.12 Voids in Mineral Aggregate
37.31.13 Voids with Asphalt
37.31.14 Dust Proportion
37.31.15 Smoothness
37.31.16 Asphalt Binder
37.31.17 Asphalt Rubber Binder
37.31.18 Asphalt Modifier
37.31.19 Crumb Rubber Modifier
37.31.20 Certificates of Compliance for Materials Used in Hot Mix Asphalt
• Portland Cement Concrete Pavement
37.42.1 Sand Equivalent
37.42.2 Cleanness Value
37.42.3 Sieve Analysis
37.42.4 Modulus of Rupture
37.42.5 Penetration Values
37.42.6 Cement Content
37.42.8 Coefficient of Friction
37.42.9 Other related items

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5-1.30 Project Records and Reports
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 Structure Construction personnel in this category in
accordance with instructions contained in the Bridge Construction Records and
Procedures manual.
Category 38 Quality Control
In this category, include all documents relating to quality control. Create a subcategory
system to include the following:
• Forms CEM-3801, “Request for Assignment of Inspectors, Samplers, and Testers”
and Form CEM-3802, “Quality Control Inspector Affidavit of Proficiency.”
• Form CEM-3803, “Daily Summary of Quality Control Testing.”
• Form CEM-3804, “Hot Mix Asphalt Inspection and Testing Summary.”
• Copies of related correspondence.
Category 39 Materials Testing Qualification of Employees
In this category, file copies of certifications of the employees performing acceptance
tests.
Category 40 Field Laboratory Assistant Reports to Resident Engineer
In this category, file chronologically any reports made by the project’s materials tester.
For more than one type of report, such as a report and a summary form, provide
subcategories.
Category 41 Report of Inspection of Material
In this category, file the following forms:
• Form TL-0015, “Quality Assurance—Nonconformance Report”
• Form TL-0016, “Quality Assurance—Nonconformance Resolution”
• Form TL-0029, “Report of Inspection of Material”
• Form TL-6013, “Material Suitability Documentation Report”
• Form TL-6014, “Material Suitability Report”
• Form TL-0624, “Inspection Release Tag”
• Form TL-0625, “Material Suitability Tag”
• Form CEM-4101, “Materials Release Summary”
• Form CEM-4102, “Material Inspected and Released on Job”
Create subcategories within Category 41 for each contract item requiring inspection at
the source by a METS inspector. Place a summary sheet (use Form CEM-4101,
“Materials Release Summary”) in each subcategory containing the date of inspection,
quantity inspected, cumulative quantity, and lot numbers. The summary sheet
documents that materials used in the work have been inspected.
Staple Form TL-0624, “Inspection Release Tag,” removed from materials received on
the project, to Form TL-0029, “Report of Inspection of Material,” on a letter-size sheet
of paper and file it in the appropriate subcategory. The sheet should include the name of
the engineer who removed it and the date removed. When lot numbers are marked on
the items, note the observed lot number on the related Form TL-0029.

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Project Records and Reports 5-1.31
 Form TL-0625, “Material Suitability Tag,” should be attached to the TL-6014, “Material
Suitability Report,” received from METS and filed.
When the Form TL-0029 includes material for more than one item, include a reference
on the summary sheet showing the file location of the TL-0029.
File test reports (usually on Form CEM-4102, “Material Inspected and Released on
Job”) that cover material sampled on the job in lieu of source inspection in the
appropriate subcategory of this category, not in Category 37, “Initial Tests and
Acceptance Tests.”
File reports of inspection or certificates of compliance for materials assigned to the
structure representative in this category in accordance with instructions contained in
Bridge Construction Records and Procedures manual.
Category 42 Material Plants
In this category, file Form CEM-4202, “Material Plant Safety Checklist,” and all other
project documents pertaining to material plant inspections.
Category 43 Concrete and Reinforcing Steel
In this category, file documents relative to concrete and reinforcing steel in accordance
with instructions in the Bridge Construction Records and Procedures manual.
Category 44 Recycle Materials and Diversion of Solid Waste
In this category, file a completed copy of Form CEM-4401, “Solid Waste Disposal and
Recycling Report.” The contractor completes Form CEM-4401 and the resident
engineer reviews the form within the reporting time constraints. The use of this form is
described in Section 7-109, “Solid Waste Disposal and Recycling Reporting,” of this
manual.
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.
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.

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5-1.32 Project Records and Reports
 As indicated in the example below, set up a separate subcategory for each structure.
Category and Contract Items
Subcategory Involved in the
Number Operation

46.1 Chronological All

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

2. Reports Covering Extra Work

Pending receipt of the 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 change order bill
report and approving payment, record the change order bill number on both copies
of the daily report covering the extra work. Keep one copy of the daily report in this
chronological file and use it to detect future billings for the same work. File the
second copy with the daily extra work report in Category 49, “Change Orders.”
Change order bills for material should show the date the material was supplied or
placed and referenced to the invoice so that the particular material may be readily
identified. Keep a summary of invoices paid and use it as a check against duplicate
payment.
The specific system used for filing resident 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
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

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Project Records and Reports 5-1.33
 the contract number, the system number, planned station and description of the system,
and the preliminary or planned quantities, which are entered from the drainage quantity
plan sheet.
The assistant resident engineer describes progress on each drainage system in the daily
report and enters estimates of work completed on the “Progress Record” portion of the
drainage system summary.
Enter the quantity of work completed during an estimate period or near the end of the
estimate period for each item in the “Estimate of Work Completed” portion of the
drainage system summary. The quantities of work completed may then be entered on
Form CEM-6004, “Contract Transactions Input,” and paid on the next estimate. Use the
extra column next to the item quantity column to identify the Form CEM-6004 page and
line number where the quantity was entered. After all items for a particular drainage
system have been calculated and checked, the final quantities are entered in the row
labeled, “Actual Q.”
To keep track of and reduce the number of drainage system summaries that have to be
checked at the end of each estimate period, divide the category into the following
subcategories:
• 47.1 Before Work Starts
• 47.2 Staked and Being Worked On
• 47.3 Drainage System Complete, Final Quantities Not Complete
• 47.4 Final Quantities Completed
Example:
47.1 Before Work Starts
Place the preliminary drainage summaries in this subcategory in numerical order.
Each drainage system summary will remain in this subcategory until work starts on
that system.
47.2 Staked and Being Worked On
When a drainage system is staked, transfer the drainage summary sheet from index
47.1, “Before Work Starts,” to index 47.2, “Staked and Being Worked On.” Transfer
the individual quantity calculation sheets with the drainage summary.
47.3 Drainage System Complete, Final Quantities Not Complete
After all work is completed on a particular drainage system, transfer the summary
sheet with its calculation sheets to this subcategory. Removing the summary from the
preceding index (47.2, Staked and Being Worked On), precludes having to go through
completed structure summaries at the end of each estimate period when making
entries of work completed. Determination of pay quantities should be made as soon
as possible after work on the system is complete.
47.4 Final Quantities Completed
After all quantity calculations for a drainage system are completed and the adjusted
quantities entered into the project record, transfer the summary sheet and its
calculation sheets to this subcategory.

Since all drainage quantity calculation sheets will remain filed in Category 47, some
item-numbered folders in Category 48 may have no documents.

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5-1.34 Project Records and Reports
Category 48 Bid Item Quantity Documents
In this category, file source documents supporting contract item quantities. List the
subcategories in Category 48 by contract item number order. Identify individual
calculation sheets for the various contract items in the following manner. A quantity
sheet with the number 48.14.2 indicates that it is sheet number 2 covering contract item
number 14 and filed in Category 48, “Bid Item Quantity Documents.” Some drainage
item quantity documents may be filed in Category 47.
Category 49 Change Orders
In this category, file change orders and supporting documents in numerical order.
Subcategories of this category are change order numbers in numerical order.
Contained within each subcategory are:
• The Form CEM-4900, “Change Order,” Form CEM-4903, “Change Order
Memorandum,” and any accompanying correspondence.
• Form CEM-4901, “Change Order Input.”
• Daily change order bills and reports matched with assistant resident engineer’s daily
reports.
Two additional subcategories may be:
• The Labor Surcharge and Equipment Rental Rates (Cost of Equipment Ownership)
books applicable to the contract.
• Equipment rental rates and memos covering rates not shown in the Labor Surcharge
and Equipment Rental Rates book.
Category 50 Adjustment in Compensation Calculations
In this category, file project documents and calculations to support adjustments in
compensation.
After a change order is written, the supporting project documents may be transferred to
the change order file or remain in this category. Provide cross references between
categories 49 and 50 when the supporting documents and calculations remain in
Category 50.
List the subcategories under this category by contract item numbers.
Category 51 Materials on Hand
In this category, file Form CEM-5101, “Request For Payment for Materials on Hand,”
the related evidence of purchase, and any other project documents supporting material
on hand payments.
Category 52 Charges to Total Contract Allotment
In this category, file the documents related to and supporting charges to the contract
allotment for materials and services supplied by Caltrans.
Divide the category into the subcategories indicated below:
• Department-Furnished Material and Expenses
In this subcategory, file the contractor’s letters requesting delivery of Department-
furnished materials. Also, file the receiving records or other records of material
furnished by Caltrans. When Department-furnished material is received as
evidenced by shipping and receiving records, file the related records together.

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Project Records and Reports 5-1.35
 • 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 that cover repair
of damage to state property by third parties (refer to “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 (refer to Section 6, “Control of Materials,”
of the Standard Specifications).
• Engineering and inspection charged to the contractor (refer to Section 3-512,
“Construction Surveys,” of this manual for restaking charges).
• Costs of damaged or missing state-owned signs.
• Railroad flagging charges.
• Noncompliance with the equal employment opportunity provisions of the contract.
• Liquidated damages (refer to Section 3-906G, “Deductions,” of this manual).
• Any other deductions (refer to Section 3-9, “Payment,” of this manual).
Category 55 Partnering
This category is for filing all documents related to partnering meetings, workshops, and
evaluations. Subcategories may include:
• Form CEM-5501, “Partnering Facilitator Evaluation—Kick-Off”
• Form CEM-5502, “Partnering Facilitator Evaluation—Close-Out”
Categories 56 through 58 Extra Category Numbers
Use one of these extra category numbers for project documents that do not fit in currently
established categories. When used, enter the name and number of the category on the
index sheet.
Category 59 Bridge Estimate Data
In this category, file the bridge estimate data as covered in the Bridge Construction
Records and Procedures manual.
Category 60 Contract Administration System Inputs and Reports
This category contains documents resulting from CAS. Possible subcategories are:
• Form CEM-6003, “Progress Pay—Estimate Project Initiation or Update”

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5-1.36 Project Records and Reports
• Form CEM-6004, “Contract Transactions Input”
The following CAS reports are cumulative. Only the most current results need to be
retained.
• Status of Contract Items
• Project Record Item Sheets
• Status of Change Orders
• Change Order Master Listing
Category 61 Estimate and Project Status
In this category, file monthly Project Record-Estimate Request documents. The
suggested subcategories of this category are:
• Project Contingency Fund Status
• Estimate
The following documents may be filed by estimate number in numeric order:
• Form CEM-6101, “Project Record—Estimate Request”
• Estimate Verification Form
• Progress Payment Voucher
• Estimate Processing Results
• Project Record-Estimate and Project Status
Category 62 Disputes
In this category, file notes, photographs, information, and other project documents that
may be necessary to establish facts with respect to a dispute. Include any documents that
may be related to a dispute in this category or briefly describe and cross-reference them.
Number notices of potential claims in chronological order. These numbers may then be
used for subcategories.
The scope of this category may vary considerably, depending upon the nature and
circumstances of the dispute. The following types of documents indicate the type of
information that should be included:
• Form CEM-6201, “Notice of Potential Claim”
• Acknowledgment of the 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 CEM-6302, “Final Materials Certification”
• Punchlist

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Project Records and Reports 5-1.37
 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 Photo Records
15 Accidents
16 Utility Agreements
17 Utility Work Performed
18 Agreements
19 Hazardous Waste and Hazardous Materials
20 Water Pollution Control Plan or Stormwater Pollution Prevention
Plan
21 Construction Zone Enhanced Enforcement Program
22 Traffic Management Information
23 (Extra Category Number)
24 Disadvantaged Business Enterprises and Disabled Veteran Business
Enterprises (DVBE)
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 at Jobsite (TL-0028)
33 Notice of Materials to be Furnished (TL-0608)
34 Treated Base
35 Hot Mix Asphalt
36 Concrete (other than structure items)

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5-1.38 Project Records and Reports
 Category Heading
No.
37 Initial Tests and Acceptance Tests
38 Quality Control
39 Materials Testing Qualifications of Employees
40 Field Laboratory Assistant Reports to Resident Engineer
41 Report of Inspection of Material (TL-0029)
42 Material Plants
43 Concrete and Reinforcing Steel
44 Recycle Materials and Diversion of Solid Waste
45 Resident Engineer’s Daily Reports
46 Assistant Resident Engineer’s Daily Reports
47 Drainage Systems
48 Bid Item Quantity Documents
49 Change Orders
50 Adjustment in Compensation Calculations
51 Materials on Hand
52 Charges to Total Contract Allotment
53 Credit to Contract
54 Deductions from Payment to Contractor
55 Partnering
56-58 (Extra category numbers)
59 Bridge Estimate Data
60 Contract Administration System Inputs and Reports
61 Estimate and Project Status
62 Disputes
63 Project Completion Documents

5-102E Alphabetical Listing of Categories

Heading Category No.

Accidents 15
Adjustment of Compensation Calculations 50
Agreements 18
Assistant Resident Engineer’s Daily Reports 46
Basement Soil Test Results 30
Bid Item Quantity Documents 48
Bridge Estimate Data 59
Change Orders 49
Charges to Total Contract Allotment 52

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Project Records and Reports 5-1.39
 Heading Category No.

Concrete and Reinforcing Steel 43

Concrete (other than structure items) 36
Construction Surveys 8
Construction Zone Enhanced Enforcement Program 21
Contract Administration System Inputs and Reports 60
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 24
Business Enterprises
Disputes 62
Drainage Systems 47
Estimate and Project Status 61
Equipment and Personnel Cost Reports 3
Extra Categories 10, 23, 56, 57, 58
Field Laboratory Assistant Reports to Resident Engineer 40
General Correspondence 5
Hazardous Waste and Hazardous Materials 19
Hot Mix Asphalt 35
Information Furnished at Start of Project 11
Initial Tests and Acceptance Tests 37
Labor Compliance and Equal Employment Opportunity 25
Materials on Hand 51
Material Plants 42
Materials Information and Preliminary Tests 29
Materials Testing Qualifications of Employees 39
Notice of Materials to be Furnished (Form TL-0608) 33
Notice of Materials to be Inspected at Jobsite (Form TL-0028) 32
Notice of Materials to Be Used (Form CEM-3101) 31
Partnering 55
Photo Records 14
Progress Schedule 26
Project Completion Documents 63
Project Office Equipment and Supplies 2
Project Personnel 1
Public Relations 7
Quality Control Quality Assurance 38

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5-1.40 Project Records and Reports
 Heading Category No.

Recycle Materials and Diversion of Solid Waste 44

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
Treated Base 34
Utility Agreements 16
Utility Work Performed 17
Water Pollution Control Plan or Stormwater Pollution 20
Prevention Plan
Weekly Newsletter 28
Weekly Statement of Working Days (Form CEM-2701) 27
Welding 9

5-103 The Contract Administration System 5-103

The Contract
5-103A General
Administration
This section describes the Contract Administration System (CAS), sometimes referred System
to as “the progress pay system.” The primary purpose of this computer system is to help
administer Caltrans construction projects. Various functional units within the Division
of Construction update and maintain records on individual contracts in 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 PISA subsystems that make up the primary computer system that Caltrans uses
for tracking contract capital costs are: planning and design, bidding and award, and
project construction. Each module of PISA passes data to the next module as a project
progresses from conception to completion. Refer to Figure 5-1.1, “Contract
Administration System, Systems Interface,” for a general overview of how 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’ many modules:
• Project initiation and update
• Contract transactions
• Change order
• Daily extra work report
• Project record estimate
• Reports
• Online update and inquiry

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Project Records and Reports 5-1.41
 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

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5-1.42 Project Records and Reports
 Figure 5-1.1. Contract Administration System, Systems Interface

BID OPENING SYSTEM (BID) PROJECT MANAGEMENT CONTROL

SYSTEM (PMCS)
The BID passes contract item
information and the winning The PMCS passes contract location,
bidder’s name and address federal-aid number, project type, and
when the project is initiated into project descriptions to the CAS. Project
CAS. cost information is passed to the PMCS
system from the Contract Summary
Record.
CONTRACT
ADMINISTRATION
SYSTEM
(CAS)
CONSTRUCTION UNIT
COST SYSTEM (CUC)

The CUC gathers item prices

from BID, Basic Engineering
Estimating System (BEES),
and change order entries.

BRIDGE DATA
MANAGEMENT (BDM)
ORACLE DATABASE:
Report of any structure work
done on highway contracts. EXTRA WORK BILLING
SYSTEM (EWB)

Process contractors’ extra work

bills.

CONSTRUCTION
STATE CONTROLLER AMS Advantage CONTRACT INFORMATION
SYSTEM
AMS Advantage passes an Issues payment transaction
electronic file to the State information to State Controller (CCIS) – Tracks Milestones
Controller containing such as District Expenditure
contractor payment Done (DED) and others.
information. State Controller
creates pay vouchers and
distributes the warrants and
payment vouchers to the
contractors.

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Project Records and Reports 5-1.43
 5-103B Project Initiation and Update
5-103B (1) Major and Minor A Contracts
When Caltrans has determined the lowest responsible bidder, the 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 update the computer file by adding to or changing existing
information. Items of work are tracked as either federally participating or
nonparticipating.
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 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, “Progress Pay—Estimate Project
Initiation or Update,” which is explained in more detail in 5-103B (3), “Completing
Form CEM-6003, ‘Progress Pay—Estimate Project Initiation or Update.’ ”
After receipt of the contract award summary, progress pay may be initiated. Division
of Construction progress pay desk verifies the contractor voucher name and address
and enters project fund information into CAS from the contract award summary. The
district estimate desk verifies the bid open date. Using the CAS data-entry screen,
the district estimate desk enters the award, approval, completion, and acceptance
dates; the number of working days; the plant establishment period; and time-related
overhead information into CAS from the contract award summary, approval memo,
and the form CEM-6301, “Contract Acceptance.”
The result of the district’s file update will be a dummy Form CEM-6101, “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, “Progress Pay—Estimate Project Initiation
or Update.” The State Controller mails progress payment checks. Only the headquarters
Division of Construction progress pay coordinator is authorized to make changes to the
address from Form CEM-1202B, “Contractor Action Request—Assignment of Contract
Monies, Assignee Change of Name/Address” verified by the resident engineer with the
Division of Construction field coordinator’s concurrence.
5-103B (2) Emergency Contracts in Excess of Minor B Limits
Payment for all emergency contracts estimated at greater than the Minor B contract limit
in construction cost are to be paid through CAS. The Minor B limit is evaluated and re-
established every 2 years and DPAC announces the new policy by issuing a DPAC
Information Bulletin:
http://dpac.onramp.dot.ca.gov/bulletins-and-memos
The district performs the initial setup of emergency contracts in CAS using the
Emergency Force Account (EFA) Contract Initiation Instructions in CAS (Contract
Administration System). The headquarters estimate desk performs the final setup steps.
Entering the emergency contract in CAS is typically performed after the “Confirmation

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5-1.44 Project Records and Reports
of Verbal Agreement” has been issued, but prior to the contract being authorized. This
allows the contractor and the engineer to begin processing change order billings using
the iEWB system. Progress estimates are not to be requested until confirming the
contract has been authorized and the E-FIS contract document has reached the final
stage.
To establish a contract in CAS, a minimum of one contract item must be used. This is
typically covered by establishing the one item for the amount of the contract payment
bond. In order to process change order billings, CAS requires at least one change order
be issued. The change order is administrative only, and issued for the total of the
construction authorization, less the value of the bid item(s), less $15,000 (example;
change order amount=total allotment-item(s)-$15,000). Establishing the change order
for this amount provides protections to ensure change order billings are not authorized
for more than the available funds.
5-103B (3) Completing Form CEM-6003, “Progress 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 (3a) Project Key
Enter the letter “U” under “FB,” and in the remaining spaces, enter the district and
contract number.
5-103B (3b) Card Type C05 (each field is independent and can be updated
separately)
For the following data fields under card type C05, do the following:
• Resident engineer’s phone number.
• Responsible unit: Though the current financial system (E-FIS) now uses a 4-digit
source unit value, enter the prior financial system (TRAMS) 3-digit source unit
value. The responsible unit may range from 501 to 545. Warning: Until this number
is in the computer file, progress pay estimates cannot be processed.
• Date work started: Enter the date the contractor began work on the job site. If work
has not begun, leave this field blank and submit an update when work begins.
• Estimated date for completion: Enter your best estimate, not the calculated
completion date. When progress estimate requests are submitted, this date is
updated.
• Password: Use of this feature is optional. Enter any combination of six characters.
The characters may be alphabetic, numeric, or one of the following special
characters: *, /, =, (,), +, -, @, #, %, &. Once established, this password is required
when you file, among other things, contract item payments, using Form CEM-6004,

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 “Contract Transactions Input.” The password will restrict access to the computer
files.
• Suspension or reactivation: If a contract is suspended, enter the date of suspension
and “S” in the “SR” column. When the suspended contract is reactivated, enter the
date of reactivation and “R” in the “SR” column. You only have 30 calendar days
from the suspension or reactivation date to enter this information into the computer.
• Plant establishment: If the project requires retentions be held at 5 percent for the
contract’s life, enter an “X” in the “PE” column. Current legislation prohibits
retentions on all state and federally funded contracts through January 1, 2020.
• First Chargeable Working Day: Enter the date that contract time begins, usually 15
calendar days after the approval date. This is the date used to calculate the number
of working days that determine satisfactory progress and the percent of time elapsed.
5-103B (3c) Card Type C06 to C08
Resident 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 (3d) Card Type C09 to C14
Only the headquarters Division of Construction progress pay coordinator can change the
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 (3e) 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: Though the current financial system (E-FIS) now uses a
4-digit source unit value, enter the prior financial system (TRAMS) 3-digit source
unit value. The unit may range from 550 to 599.
• Original authorized amount for structure work: At the 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, 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.
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5-103B (4) 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.
• Change order transactions: These consist of three types of transactions that refer to
change orders.
The Contract Transaction Processing Module processes this total of 12 transaction types.
Together with the services that the change order and Daily Extra Work Report (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 change
order. This will cause the authorized quantity to be adjusted automatically. Thus, you do
not have to account for status changes due to change orders. You can reference contract
items through the following contract item transactions:
• Contract item payment: Make item payments by posting line entries to Form CEM-
6004 in any order. Indicate bridge items by entering “B” in the proper column. If
you use the report titled Bridge Quantities by Structure, you will also need to enter
the structure number in accordance with instructions in Section 6, “Estimates,” of
the Bridge Construction Records and Procedures manual, Vol. 1. Refer to Example
5-1.2, “Contract Transaction Input,” Line 01 of this manual.
• Contract item quantity balance: You may adjust the authorized quantity, if
necessary, by submitting quantity balances as line entries on Form CEM-6004,
“Contract Transactions Input.” 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 effect on the contingency
balance. This transaction type adjusts the authorized final cost for your project, as

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 shown in the later discussion of progress pay estimates. Refer to Example 5-1.2,
Line 02 of this manual.
• Contract item anticipated change: This transaction gives the engineer a method to
allocate project funds to a specific contract item based on knowledge of anticipated
additional or decreased work. Such transactions affect the estimated final quantity
for the item and the estimated final cost for the project. The effect of these
transactions is cumulative. If additional work is authorized by change order, a
reversing entry is necessary. Refer to Example 5-1.2, Line 03 of this manual.
• Contract item final balance: When work is completed on a contract item, you should
enter this fact into the system. This entry will mark the item in the computer file as
“Complete.” On all subsequent progress pay estimates, the authorized quantity and
the estimated final quantity will default to the amount paid to date, thus
automatically balancing out the item. Additional item payments may be made, and
the system will continue to balance the contract items. Refer to Example 5-1.2, Lines
04 and 05 of this manual.
• Contract item final balance (“Reopen”): This transaction allows you to reverse the
status of the contract item from “Complete” to “Active.” For example, you would
use “Reopen” to change an incorrect entry that showed the item was complete. Refer
to Example 5-1.2, Line 06 of this manual.
5-103C (1b) Miscellaneous Transactions
The four transaction types listed below comprise “miscellaneous transactions,” the
second category of contract transactions:
• Anticipated change: Use this transaction to record anticipated additional or
decreased work when it is not possible or desirable to tie the anticipated change to a
specific contract item or change order. These transactions are not cumulative and
will affect the project’s estimated final cost only on the next progress pay estimate
to be generated. Refer to Example 5-1.2, Line 07 of this manual.
These transactions are placed in the computer file, and their sum will appear on the
next progress pay estimate that generates payment. If the next estimate is a
supplemental progress pay estimate, only enter material on hand payment requests
if the material on hand payment request was mistakenly omitted from the previously
run progress pay estimate.
• For more information about materials on hand, refer to Section 3-9, “Payment,” and
Example 5-1.2, Line 08 of this manual.
• Department-furnished materials allotment transfer: Use this transaction to increase
or decrease the value of the Department-furnished materials allotment for your
contract. The construction allotment will automatically adjust. To increase the
Department-furnished materials allotment, enter a positive number. (This type of
entry will decrease the contingency balance.) Refer to Example 5-1.2, Line 09 of
this manual.
• 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 Department-furnished materials allotment. Refer to Example 5-1.2, Line 10
of this manual.

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5-103C (1c) Change Order Transactions
The three transaction types listed below comprise “change order transactions,” the final
category of contract transactions:
• Change order anticipated change: This transaction has the same effect as does the
contract item anticipated change except that a change order is being changed. Refer
to Example 5-1.2, Line 11 of this manual.
• Change order final balance: This transaction has the same effect as does a contract
item balance. When work on a change order is finished, mark it “Complete” by
entering this transaction. As with contract items, additional change order bills may
be paid, and the system will continue to balance the change order. Refer to Example
5-1.2, Line 12 of this manual.
• Change order final balance (“Reopen”): This transaction allows you to reverse the
status of the change order from “Complete” to “Active.” Refer to Example 5-1.2,
Line 13 of this manual.
5-103C (2) Completing Form CEM-6004, “Contract Transactions Input”
The resident engineer will use Form CEM-6004 more often than any other form in CAS.
This section contains a completed sample of the form. Refer to Example 5-1.2, “Contract
Transaction Input.”
We cannot overemphasize the importance of legible entries. 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. Refer
to Example 5-1.1, “Quantity Calculation,” for a typical source document.
• Note: The last six characters of the source document description can be the structure
number if this item concerns structure work. Refer to Example 5-1.2, Line 01 of this
manual.
• Mark the structure field with the character “B” if this transaction concerns “structure
work.” Otherwise, leave the space blank. If you use the report titled Bridge
Quantities by Structure you will also need to enter the structure number in
accordance with the instructions in Section 6, “Estimates,” of the Bridge
Construction Records and Procedures manual, Vol. 1.
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,

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 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 on 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.)

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5-1.50 Project Records and Reports
 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).
5-103C (2b) Miscellaneous Transactions
The following are the rules for making miscellaneous transactions:
• Anticipated changes:
1. If the amount anticipated exceeds $100,000, a warning message is issued.
2. If the amount anticipated exceeds 10 percent of the construction allotment, a
warning message is issued.
• Material on hand payments:
1. If the amount exceeds $100,000, a warning message is issued.
2. If the amount is negative, a warning message is issued. (The system assumes
that this is a correcting entry to a previous transaction accepted by the system
and not yet processed for payment.)
3. A total is calculated for payment for the next estimate. This is the sum of all
transactions since the last estimate. If the total is negative, a warning message is
issued.
• Department-furnished materials allotment transfer:
1. If the amount of the transfer exceeds $100,000, a warning message is issued.
2. A new total is calculated for the Department-furnished materials allotment. If it
is negative, the transaction is rejected.
• Total allotment changes:
1. If the amount exceeds $100,000, a warning message is issued.
2. If the amount exceeds 10 percent of the total allotment, a warning message is
issued.
3. If the amount of the change is negative, a warning message is issued.
4. A new total allotment is calculated. If the amount is negative, the transaction is
rejected.
5. If the new total allotment is less than the total paid to date on the last estimate,
a warning message is issued.

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 5-103C (2c) Change Order Transactions
The following are the rules for change order transactions:
• For the change order anticipated change, the new estimated final cost is computed
for the change order and reported. The system does not do any checking.
• Change order final balance and final balance (“Reopen”):
1. The change order status is set to “Complete,” or “Active,” respectively. The
system does not do any checking.
2. For a change order final balance (“Reopen”), the word “Reopen” must be left-
justified.
5-103C (2d) General
The Contract Transactions Processing Module will sort your transactions into order, will
edit each transaction for reasonableness and conformance to this manual, and will either
accept or reject each transaction. From this processing, the system will issue a report
titled “Contract Transactions Input Edit.” This report will list the disposition of each line
entry that you submitted. A comprehensive set of warning messages exists. Do not
ignore warning messages on the report.
Do not use the same page and line numbers again.
You will find a summary on the last page of the Contract Transactions Input Edit report.
The summary lists each Form CEM-6004, “Contract Transactions Input,” page that was
processed and the numbers of transactions on that page that were accepted, for which
warnings were issued, or that were rejected. Any missing line numbers on the page
(breaks in the sequence of line numbers) will be printed. Use this list to ensure that all
the transactions were entered into the system.
Examine the remainder of the report. You must respond to rejected entries and possibly
to warnings.
5-103C (2e) Audit Trail
In any accounting procedure, it is necessary to link transactions to the specific source
documents that generate the transactions. This linking is called an audit trail. Change
orders and daily extra work reports carry unique identifying numbers that 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.

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5-1.52 Project Records and Reports
 Example 5-1.1. Quantity Calculation

Field Measurement: Estimated Quantity: 400

Field Counted:  Unit of Measure: linear feet
Final Pay Item: Unit Price: $25.00
75% = 300
125% = 500

Remarks or Other Calculations:

200 linear feet placed on 5-03-01 at Maple Street onramp 

Material Inspection/Release: Certificates of compliance obtained on 4-29-01

PAY THIS ESTIMATE: 200 

PREVIOUS PAID: 100 
TOTAL TO DATE: 300 

POSTED BY DATE POSTED TO

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

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 Example 5-1.2. Contract Transaction Input

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5-1.54 Project Records and Reports
5-103C (3) Computer Processing
The contract item totals listed below are kept for contract work and for structure work so
that the totals can be reported separately when appropriate. Records of the financial status
of the contract items are maintained as follows:
• Bid quantity: This quantity cannot be changed.
• Authorized quantity: This item is the total of the bid quantity and the algebraic sum
of the quantity changes due to change orders that have been filed.
• Authorized quantity: This item is the total of the authorized quantity and the
algebraic sum of the quantity balances that the engineer entered.
• Anticipated final quantity: This item is the total of the authorized quantity and the
algebraic sum of the anticipated quantity changes that the engineer entered.
• Item status flag: This flag is a file mark that indicates whether a contract item is
“Active,” “Deleted,” or “Completed.”
5-103D Change Orders
CAS maintains separate records for each authorized change order on a project. As each
change order is authorized, it must be entered into CAS through the use of Form CEM-
4901, “Change Order Input.”
The method of entering each change order into the system may vary from district to
district, but can be done as follows:
• The resident engineer writes a change order and completes Form CEM-4901,
“Change Order Input.” For approval procedures, refer to Section 5-3, “Change
Orders,” of this manual. The approval date must be entered on Form CEM-4901,
and the Form CEM-4901 data is then entered into CAS.
• The result of entering the form data for each change order will consist of a change
order report and a disposition report.
• The resident engineer should review the change order report and correct any errors.
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 authorized quantity adjusted to reflect
the change.
• Immediately after Form CEM-4901 has been processed, CAS will accept change
order bills and anticipated changes that refer to the change order.
• When CAS processes a supplemental change order, the daily extra work reports in
the holding file (due to insufficient funds in the original change order) will be made
available for payment.
5-103D (1) Completing Form CEM-4901, “Change Order Input”
Use Form CEM-4901 to perform the following functions:
• File a new change order in the computer file.
• Update (change existing information) a change order in the computer file.

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

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5-103D (1b) Update
Use this function in the following way to replace any incorrect information in Card Type
1 or Card Type 4:
• Enter the contract and change order numbers.
• Place the letter “U” in the function box at the top right of the form.
• Enter the correct information in the appropriate fields. All information in Card Type
1 is always required.
• Leave all other fields on the form blank.
• The module for processing change orders will identify the fields that you have
completed and will change this information in the computer file.
5-103D (1c) Replace
If a change order has been stored with incorrect information that cannot be corrected by
the update function, use the replace function in the following way:
• Complete the entire form exactly as you would for the file function, using correct
information.
• Place “R” in the function box at the top right of the form.
The module for processing change orders will replace the data stored in the computer
file with the new change order.
If payments have already been recorded against a payment method that you are trying to
eliminate, it is not possible to immediately replace an old change order with a new one.
The same holds true if the payment to date exceeds the authorized amount. In these cases,
the system requires that you do the following:
• Enter corrections for the change order bills that reverse payments to date to zero for
the particular method of payment to be eliminated. For payments exceeding the
authorized amount, enter corrections for the change order bills to reduce payments
below the authorized amount.
• Submit the replace request.
• After the change order has been replaced, reenter the change order bills that were
reversed. When possible, use the update function instead of the replace function.
5-103D (1d) Delete
You can eliminate a change order from the computer file as follows:
• Enter the contract and change order numbers.
• Place the letter “D” in the function box at the top right of the form.
As with the replace function, a change order cannot be deleted until all payments have
been reduced to zero through correcting entries on the daily extra work reports.
5-103D (2) Edits
The following lists some of the edits that a change order must pass through before the
system will accept it:
• The change order number and the change order supplement number must be filled
in or the change order will be rejected.
• The change order description cannot be blank, or the change order will be rejected.

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 • The net change amount cannot exceed the construction allotment. If the net change
amount does exceed the construction allotment, the system will issue a warning
message but will still file the change order.
• The approval date must be after the bid opening date and less than or equal to
“today’s” date; otherwise, the change order will be rejected.
• If the time extension days exceed 10 percent of the working days in the contract, the
system issues a warning message but will still file the change order.
• If any payment method appears more than once on the input cards, the order will be
rejected.
• If you enter any contract item change for a void item, the system will reject the
change order.
• Lump sum items may appear on change orders only as a deletion of that item. Any
increase or decrease in a lump sum item will be rejected.
• You can enter a contract item on a change order as an increase and also as a decrease.
If the item appears a third time, the system will reject the change order.
• If the contract item “mobilization” appears on a change order, the change order will
be rejected.
• If the quantity change entry for a contract item exceeds the bid quantity, a warning
message will be issued.
• The net dollar amount for the structure work on the change order must be greater
than the sum of the negative changes and less than the sum of the positive changes,
or the change order will be rejected.
• The net dollar change for the change order must equal the sum of the dollar amount
in Card Type 2 and the extended dollar amounts for the quantities in Card Type 3,
or the change order will be rejected.
• If the change order is already on file, the system will reject this duplicate entry.
Additionally, if this change order’s number exceeds by five the largest change order
number on file, or if the supplement’s number is more than two above the latest
supplement on file for this change order, the system will reject the change order.
However, if you checked the override field on the input field, the system will bypass
such responses.
• If the contract is completed, a warning is issued.
If you request the replace or delete function, more extensive processing is done. The
system checks to see if it can maintain the payment to date under a payment method.
If the system cannot maintain the payment to date in this way, it rejects the request to
replace or delete. A rejection notice is generated along with an explanation of what must
be done to resolve this unacceptable situation.
The following is an example of this type of problem:
• A change order is entered for extra work at force account and accepted by the
system.
• Subsequently, change order bill payments are recorded against the change order.
• A request is entered to delete the change order from the computer file. In this case,
the system will reject the delete request because the payment method would be
eliminated. There are no other supplements to this change order. The system requires
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5-1.58 Project Records and Reports
 that entries to correct change order bills be to reverse payments to date to zero. In
such a case, the system would accept a delete request. In the more complicated cases
where supplements to a change order exist, the system makes similar demands.
At this point, the processing of the change order is complete. However, when a
supplemental change order is processed, the daily extra work reports in the holding file
(due to insufficient funds in the original change order) will be made available for
payment. The system produces a report, called a “DEWR Release From the Holding
File.” This report shows the action the system took.
5-103E Change Order Billing
Change order billing is input, revised, corrected, and submitted for payment using the
internet extra work billing system (iEWB) at:
http://www.dot.ca.gov/hq/construc/iewb/
Computer-based training for learning how to use the iEWB system is available at:
http://www.dot.ca.gov/hq/construc/iewb/EWB_CBT/index.html
or
http://www.dot.ca.gov/hq/construc/iewb/index.htm
The iEWB system allows authorized users to correct extra work bills that have been
previously processed and paid. Change order bills or corrected approved extra work bills
that need to be paid but have insufficient funds will not be rejected because of insufficient
funds (subject to the limitations in Section 3-906C, “Extra Work,” of this manual).
Instead, the system will place these change order bills in a pending status to await the
resident engineer’s further action. If there are insufficient funds to pay the extra work
bill, usually, the resident engineer must write a supplemental change order to provide
additional funds; the supplemental change order will make the appropriate change order
bills available for payment. Once additional funds are added by the supplemental change
order in CAS, the iEWB system will automatically process and pay the extra work bills
that have been previously approved and are in the pending funds status.
All standard contracts are required to use the iEWB system to process payments for
change orders.
For contracts that are not in CAS and therefore are not using the iEWB system, the form
CEM-4902, “Extra Work Bill (Short Form),” can be used. This form is only used on
contracts that are not in CAS.
Use Form CEM-4902 to enter basic information related to extra work performed under
a change order. The following describes the procedures for obtaining the information
from the contractor, entering the information into the computer, and producing the daily
extra work reports.
5-103E (1) Preparing Form CEM-4902, “Extra Work Bill (Short Form)”
The contractor may enter change order bills on the Form CEM-4902, “Extra Work Bill
(Short Form).” Or, if more entries are required for equipment, labor, or material, the
contractor must use the four part forms CEM-4902A, “Extra Work Bill–Title Page,”
CEM-4902B, “Extra Work Bill–Labor Charges,” CEM-4092C, “Extra Work Bill–
Equipment Charges,” and CEM-4902D, “Extra Work Bill–Material Charges.”
The contractor initiates forms containing force account payment and submits them to the
resident engineer. The resident engineer initiates forms containing payment at agreed

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 prices. The backs of the forms contain the basic instructions for completing the forms.
The following information supplements the instructions on the forms:
5-103E (1a) Basic Information (Title Page)
Do the following for the basic information:
• The change order number: Right-hand justify this three-digit number; for instance,
change order 1 is 001, change order 10 is 010.
• Report number: The contractor should leave the report number blank. Duplicate
numbers will be rejected (except for corrections to previous bills).
• Date performed: A separate change order bill must exist for each day on which force
account work is performed (except for work done by a specialist). Enter the date the
work was performed in these spaces. For change order bills covering invoices only,
enter the date on which the material was used. If this entry is not practical, enter the
current date. You must enter a date in this field. You may enter the acronym “VAR”
in the date performed field if the pay method is lump-sum unit-price or if equipment
and labor are not present on the bill.
• Date of report: Enter the date on which the report is prepared.
• Payment method: Ensure the method selected matches one of the methods
authorized by the change order.
• Bridge: Place the letter “T” in this box if toll bridge work is involved and you want
to apply a 10 percent markup to equipment and material and a 25 percent markup to
labor.
• Fifty percent flagging: You must include on the change order bill the total hours
spent on flagging because the computer will make payment of only 50 percent of
the total. For flagging that is not subject to the 50 percent split, submit separate
change order bills.
• Labor surcharge: The contractor should enter this surcharge as a whole number; for
instance, “15 percent” is entered as “15.” The contractor should obtain the applicable
percent from the effective Labor Surcharge and Equipment Rental Rates (Cost of
Equipment Ownership) book. This surcharge is for regular hours. The system will
apply the overtime surcharge based on the regular hour surcharge.
• Work performed by: This field should contain the name of the organization (the
contractor, subcontractor or other) that performed the work. If the change order bill
is for an invoice only, enter the name of the organization to which the invoice was
addressed. Submit a separate daily change order bill for each 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 and Equipment Rental Rates (Cost
of Equipment Ownership) book. Make a copy of this publication available to the
contractor. A listing of miscellaneous equipment, for equipment that is not shown in
the Labor Surcharge and Equipment Rental Rates (Cost of Equipment Ownership)
book is available from the Division of Construction’s website.
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• For equipment that is neither in Labor Surcharge and Equipment Rental Rates (Cost
of Equipment Ownership) book nor available from the website’s miscellaneous
listing, the contractor must request a rate from the resident engineer. The resident
engineer will obtain an authorized rate from the Division of Construction’s rental
rate engineer.
• Equipment for which a change order has established the rental rate will not have an
equipment description and must be included as a unit price payment on the material
charges portion of Form CEM-4902 (Short Form), lines 24–25, or Form CEM-
4902D (Long Form), 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 and
Equipment Rental Rates (Cost of Equipment Ownership) book.
• Regular hours for which payment is to be made: Enter the regular hours for which
payment is to be made. Regular hours may not exceed 8 unless you are entering a
daily rate item. If the date the work was performed is various, you may enter up to
99 in the regular hours field. Various is used for equipment at day rates.
• Overtime hours: Enter the overtime hours worked. Overtime hours may not exceed
16.
5-103E (1c) Other Expenses Subject to Labor Markup
This portion of the form is for travel expenses that cannot be entered as “Subsistence”
under “Labor.”
If the units and rate are already entered, the computer will calculate the amount.
Otherwise, enter the amount, and this figure will be used.
Note: If you use the “Unit” and “Rate” fields, leave the “Amount” field blank. If you
enter an amount in the “Amount” field, don’t make an entry in the “Unit” and “Rate”
fields.

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 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, “Extra
Work Bill (short Form),” 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 Change Order No._________.”
4. Units: Enter the units to be paid as a percentage of the lump sum amount,
expressed in decimals. For instance, express 75 percent as 0.75. This figure must
never exceed a total of 1.000.
5. Unit cost or net pay: Enter the lump sum amount from the change order.
• Unit price payments: Enter this item in the same manner as described under “Lump
Sum” above.
• Units: enter the number of units to be paid.
• Unit cost or net pay: enter the unit cost from the change order.
5-103E (1e) Signature of Prime Contractor’s Representative
For all force account payments, the contractor or contractor’s authorized representative
must sign the change order bill. For agreed price payments, the signature is not required.
5-103E (2) Processing Form CEM-4902
The resident engineer receives Form CEM-4902, “Extra Work Bill (Short Form),” from
the contractor, reviews the form, and if it is satisfactory, signs the change order bill and
authorizes it for entry into CAS. When reviewing the submitted change order bill, the
resident engineer must be guided by the policy contained in Section 3-9, “Payment,” of
this manual. The following explains how the system will process Form CEM-4902:
• Request that CAS print a copy of the change order bill after it has been entered into
the system before it will be paid.
• Computer programs will perform the following processes:
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 1. Edit all information for acceptability. For example, numeric data must be in
numeric form, or the program will issue a warning.
2. Select information from the equipment database; for example, rates,
descriptions, and attachments.
3. Validate the contract number, change order number, report number, type of
work (payment method), dates, corrections, labor surcharge, and equipment
description.
4. Audit right-of-way delay and the hours equipment and labor are used for work.
5. Compute extensions, markups, and summaries.
6. Ensure the authorized amount (for instance 100 percent or $15,000) is not
exceeded.
7. File a validated change order bill for payment at the estimate time.
8. Produce a daily extra work report. This report will contain all the information
as entered on the change order bill plus equipment descriptions, extensions,
markups, total payment, and contract information.
9. Produce an edit report. This report will contain processing results. These results
are tabulated by change order within a contract. If the system rejects an entry,
the rejection messages will be included on the daily extra work report. If the
system accepts the change order bill, all warning messages will be contained on
the edit report.
• After the reports have been printed and the district construction office has received
them, the district will forward copies to the resident engineer. Daily extra work
reports are printed in two parts, one for the contractor and one for the resident
engineer.
5-103E (3) Corrections to Change Order Bills
You can make corrections to the change order bill after it has been entered into the
system, but there is a limit of four corrections per change order bill. Refer to the Entry of
Extra Work Bills Manual (CASEWBM).
5-103F Generating Estimates
CAS produces 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.

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 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 includes the following steps:
• Preparing Form CEM-6101, “Project Record—Estimate Request,” and verifying
the estimate. Transmit these to the district office.
• Computer processes your estimate and prints the reports.
• The district construction office verifies the estimate results.
• Returning the estimate reports to the resident engineer.
The schedule for completing the pay process and making payment to the contractor is
rigid. This rigid schedule means all people involved must adhere to their individual
schedules. District construction offices will advise resident engineers of the schedules.
5-103F (1a) Preparing Form CEM-6101, “Project Record—Estimate Request”
To request an estimate, complete this form accurately in accordance with the following:
5-103F (1b) Estimate Parameters
For the estimate parameters, follow the instructions below.
• Enter the contract number.
• Enter the estimate number. This number must be one greater than the last estimate
that was successfully processed and paid.
• Enter the work period ending date in the estimate for the 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, and authorized time extension days (change order)
in the three matching fields of the form. As of February 16, 2012, “Other day” time
extensions are no longer allowed, therefore do not increase this value to more than

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5-1.64 Project Records and Reports
 existed prior to this date. In most cases, this value should always be zero. The system
will check the chargeable working days and weather nonworking days against the
working days calendar and inform you of possible entry errors. However, it cannot
check the two types of time extension days. These values affect the 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 refer to the following item 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” or entered a number in
percent time elapsed, enter a short explanation in the 25 spaces immediately below
these fields on the form. Typical entries might be “change order days pending” or
“Nonstandard time format.”
• If the estimate is a supplemental progress estimate, proposed final estimate,
semifinal estimate, or final estimate, check the appropriate box. Note that on a
supplemental progress estimate the date for “Estimate for Work Performed
Through” and all of the working day information should be the same as the date for
the last estimate.
• If this estimate is a rerun (a recalculation) of a prior successful estimate, check the
recalculation box. Note that, if the last estimate processed was a status purpose only
estimate, you are not rerunning an estimate this month; instead, you are trying to run
the estimate that did not generate payment. Normally, the district office will enter
requests to rerun an estimate.
5-103F (1c) Deductions
If you wish to take one or more deductions or to return one or more deductions from a
prior estimate, enter them on Form CEM-6101, “Project Record—Estimate Request.” If
you wish to rerun an estimate or to pay an estimate after a status only estimate, you still
must enter the deductions again because any deduction stored in the computer file and
carrying this estimate number will be erased automatically. You can enter five types of
deductions on this form. Each deduction entered requires an alpha code to be placed in
the 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.

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 • 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 $1,000.
• 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 $1,000.
• Liquidated damages deductions: Enter “LIQ” in the type field. Both plus and minus
deductions are allowed. Plus deductions reverse earlier deductions. Only use this
type of deduction when liquidated damages are being assessed. If during the course
of the work, the contractor’s progress is unsatisfactory and has progressed to a point
where a reasonably accurate estimate of possible liquidated damages can be made,
make a deduction in lieu of any retention for unsatisfactory progress using an ADM
in the type field with the text “Antic.Liq.Damages.” Reverse the ADM when the
actual liquidated damages are being assessed by using LIQ in the type field. Refer
to Sections 3-807, “Liquidated Damages,” and 3-906G, “Deductions,” of this
manual for more detailed guidance.
• Other outstanding documents deductions: Enter “OOD” in the type field. If you wish
to take this deduction, leave the amount field blank. The system will compute the
amount for you. Take this deduction only once per contract. The system will
maintain the correct deduction on subsequent estimates by generating “OOD” in the
type field with a description, “MAINTAIN OOD DEDUCT.” You can reverse the
deduction at any time by entering a plus amount that exactly reverses the OOD
deductions to date from the previous estimate. Negative OOD deduction amounts
are never allowed on the input form.
After carefully preparing Form CEM-6101, “Project Record—Estimate Request,”
promptly send it to the district office. The specific deadline for submittal may vary by
district.
5-103F (2) Computer Processing
Once you have made your entries on Form CEM-6101, “Project Record—Estimate
Request,” 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-6101, “Project Record—Estimate Request,” has been entered into
CAS, the system will do the following:
• Edit Form CEM-6101 for consistency with previous estimates and with the working
days calendar stored in the computer.
• Identify and summarize all daily extra work reports entered in the system and
eligible for payment since the last estimate.

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• Identify and summarize all contract transactions entered in the system since the last
estimate.
• Identify and balance the change orders that require balancing.
• Identify and balance the contract items that require balancing.
• Make calculations for the item “Mobilization” (if necessary), for the various
deductions and retentions, for percent time elapsed, for percent complete, and for
various status totals, such as authorized final cost. The system also determines
whether the contractor’s progress is satisfactory.
• Edit any deduction submitted for processing on Form CEM-6101, “Project Record
—Estimate Request.” Special attention is given to three of the deductions as follows:
1. If the resident engineer has submitted an EEO deduction, 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 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-6101,
“Project Record—Estimate Request.”
2. For each type of deduction, you cannot give back more than has been taken. If
you make this error, the estimate will fail. Messages are produced stating which
deduction is in error.
3. At this point in the processing, the final values are computed for total work
completed and total payment to the contractor. If there are “Limitation of
Payment” dates and amounts in the special provisions for this contract, the
Division of Construction progress pay coordinator will have entered them in the
computer. The system will check the period ending date of this estimate and

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 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.
• Make 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 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 the estimate is
rejected, the exact reason will be found here. To assist in preventing overpayments,
among other problems, warning messages have been set based on carefully chosen
tolerances. Read these messages carefully.
• Transaction selection: The system will print a list of the exact pages and lines of
contract transactions that were used to produce the estimate. This list enables you to
verify that all the contract transactions you submitted were used to produce the
estimate.
• Change order processing: This lists any balancing of change orders by the system.
Occasionally, the list also contains warning messages.
• Contract item processing: This part of the report does the same things as described
in the bullet above, but for contract items instead of change orders.
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• 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 in Section 5-103F, “Generating Estimates,” of this manual 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 transactions: 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:
• Edit data input on Form CEM-6101, “Project Record—Estimate Request.”
• Select from the computer file the change order bills that will be used to generate this
estimate.
• Select from the computer file the contract transactions that will be used to generate
this estimate.
• Process the change orders.
• Process contract items.
• Process deductions.
• Conduct miscellaneous computations.
• Generate reports.
5-103G Approval of Estimates
The authorization of an estimate depends on the type of estimate being run. The
following is the general outline and method for approving contract estimates.

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 5-103G (1) Resident Engineer
After an estimate has been run, the resident engineer must authorize it before the process
of payment is continued. To expedite payment, the resident engineer can authorize
through a memo, form letter, or telephone call with subsequent written confirmation to
the district office.
5-103G (2) District Director
At the time the estimate was produced, so was a 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 a payment
voucher has been verified and authorized.
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 the Contract Administration System
CAS online reporting through CA-View is available at:
https://gogreen1.go-online.ca.gov/CADVweb.asp
CA-View user guide and tips are available at:
http://it.onramp.dot.ca.gov/information-about-cas
5-103H (1) District (XX) Estimate Status
This report, which is also available statewide, provides information on the pay status of
each contract in the district. For each contract, the report includes the following:
• Contract number
• Date of last estimate processed (if there was one)
• Number of the estimate
• Number of days elapsed since the estimate was processed
• Type of estimate
• Pay status and date paid (if paid)
• Date on which the payment voucher was authorized
• Resident 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.

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5-103H (2a) 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) 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-post mile
• Date of the last estimate
• Percent complete
• Percent of time elapsed
• Construction allotment
• Total amount paid to date
• Estimated final cost
• Estimated final contingency balance
5-103H (4) Progress Payment-Work Done by Structure Construction (Copies)
This report is for use by Structure Construction. For details, refer to Section 6,
“Estimates,” of the Bridge Construction Records and Procedures manual, Vol. 1.

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 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; 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
The district office requests this report monthly for all ongoing contracts. The report must
be filed in Category 60, “Contract Administration System Inputs and Reports.”
For this report, the system prints one line of information for each contract item and
summarizes the net effect of all contract transactions that have been entered against the
item. This report allows the resident engineer to review each item and determine whether
quantity balances and anticipated changes, among other things, are necessary.
If any particular number on the report seems questionable, the project record item sheets
provide supporting detail. For example, if the authorized quantity differs from the bid
quantity, the project record item sheets describe, under the item number, any changes
due to change orders.
When applicable, take particular care to flag an item “COMPLETE” (using the item final
balance transaction on Form CEM-6101) so that an accurate project status will be
produced. Remember, flagging an item “COMPLETE” does not mean that contract item
transactions will no longer be accepted; it means only that you have commanded the
system to keep the item in balance at all times.
5-103H (7) Project Record Item Sheet
The district office requests this report monthly for all ongoing contracts. The report must
be filed in Category 60, “Contract Administration System Inputs and Reports.”
With the following exceptions, the project record item sheets list every contract
transaction entered into the system since the beginning of the contract:
• Item and change order final balance transactions will appear only on the report
following the next estimate. Thereafter, they are dropped from the report.
• Miscellaneous anticipated change transactions also appear only on the report
following the next estimate.
The report lists the contract transactions, first by the estimate number on which they were
paid, and then by the page and line number of the input form. The total to date will be
printed.
This is a cumulative report. Do not retain previous issues of this report in the project files.
However, one issue of the report, usually the one requested immediately after all final
quantities have been paid, must be retained in the project’s files.

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5-103H (8) Status of Change Orders
Normally, the district office requests this report monthly for all ongoing contracts. The
report must be filed in Category 60, “Contract Administration System Inputs and
Reports.”
This report is similar to the status of contract items, which allows the engineer to review
each change order.
Use the report to determine when supplemental change orders will be necessary to
complete the work. The report also facilitates a review of those change orders where a
credit is due Caltrans.
When applicable, flag change orders “COMPLETE” (using the change order final
balance transaction) so that an accurate project status can be produced. Similar to
flagging a contract item, flagging a change order “COMPLETE” means only that you
have commanded the system to keep the change order in balance at all times.
5-103H (9) Change Order Master Listing
Normally, the district office requests this report monthly for all ongoing contracts. The
report must be filed in Category 60.
This report summarizes all change orders stored in the computer file. It also contains the
change order time extension and change order category code. The report lists each
individual supplement with all the information the system contains. Do not retain
previous issues in the project’s files. However, one issue, usually the one requested
immediately after final payment has been made on all change orders, must be retained
in the project’s files.
5-103H (10) Bridge Quantities by Structure
This report is for use by 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 Section 6, “Estimates,” of the Bridge Construction Records and
Procedures manual, Vol. 1.
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.

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 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 other
reports that are produced automatically. Therefore, you do not need it for routine contract
administration.
5-103H (16) DEWRs in Holding File
This report lists change order bills that are in the holding file for all contracts in the
district. If there are reports in the holding file, process supplemental change orders to
provide additional funds. The bill must be re-approved in the iEWB system in order to
be released for payment on the next estimate.
5-103H (17) Daily Extra Work Report
Copies of daily extra work reports are produced under the procedure outlined in Section
5-103E, “Change Order Billing,” of this manual. You can obtain copies by using the
second page of the report request form or receive reports directly from the iEWB system.
Refer to the iEWB User Guide for details.
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 Structure Construction
In addition to the reports discussed above, CAS provides reports for Structure
Construction. For details, refer to Section 6, “Estimates,” of the Bridge Construction
Records and Procedures manual, Vol. 1.

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5-1.74 Project Records and Reports
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 Final Construction Project Records 5-104
Final Construction
5-104A General
Project Records
Construction project records consist of all material in the construction files, whether in
the field office or the district construction office. This section contains guidelines for the
disposition of construction project records after Caltrans makes the final payment to the
contractor. This section also provides guidelines for allowing public access to
construction project records and for producing a set of as-built plans for each completed
construction project. In addition to construction project records, the district keeps a
project history file. When the construction project is completed, the resident engineer
initiates assembly of the project history file by transmitting designated records to the
district Construction Unit for compilation. The project history file is stored in a secure,
central file location within the district. For information about the project history file, refer
to Chapter 7, “Uniform File System,” of the Project Development Procedures Manual.
The construction records retention schedule, Form STD 73, “Records Retention
Schedule,” lists records that are retained by the districts and Construction headquarters.
For specific records stored in the project history file, refer to Section 5-104C,
“Disposition of Construction Project Records,” of this 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.

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 If copies of payroll records are requested, refer to Section 7-1.02K(3), “Certified Payroll
Records (California Labor Code, §1776),” 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.
District construction offices must follow the statewide procedure for handling project
records. This procedure is in accordance with the statewide records retention schedule
and achieves 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 in accordance with Table 5-1.1 of this manual
and as follows:
1. For projects that involve federal participation, retain the records for a minimum
of 3 years after submission of the final federal voucher.
2. For projects that do not involve federal participation, retain the records for a
minimum of 3 years after the date on which the final estimate is scheduled for
payment.
3. For projects on which some legal question exists, such as a pending claim, a
labor compliance case, or litigation, retain the records for 3 years after
settlement. The district construction office must send a memorandum to the
district records officer to hold these records until further notice.
After records from the resident engineer’s office are sent to the district construction
office, eliminate duplicate records.
The construction project records retention schedule lists the length of time certain files
must be retained, as well as files that must be kept permanently in the project history files
in accordance with federal requirements.

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5-1.76 Project Records and Reports
 Table 5-1.1. Construction Records Retention Schedule

Project Records Retention

Funding Type

Project Record Category Fed & Fed &

Fed State
State State
FE FFV+3 FE+3 PHF
(See (See Notes (See (See
Note 1) 3 & 4) Note 2) Note 5)
1. Project Personnel X
2. Project Office Equipment and Supplies X
3. Equipment and Personnel Cost Reports X
4. Service Contracts X
5. General Correspondence X X
6. Safety X X
7. Public Relations X
8. Construction Surveys X X
9. Welding X X
10. (Extra category number)
11. Information Furnished at Start of Project
X X
(except documents noted below)
a. Detail Estimate of Project Cost X
b. Notice of Award of Contract X
c. Contract Special Provisions & Addendums X
d. Notice of Approval of the Contract X
e. Executed Contract X
f. Bid Book X
12. Contractor (except documents noted below) X X
a. Contractor's Borrow Agreements X
13. Signs and Striping X X
14. Photo Records X
15. Accidents X X
16. Utility Agreements X
17. Utility Work Performed X X
18. Agreements (except documents noted below) X X
a. Right of Way Agreements (with/without obligation) X
b. Forest Service Agreements X
c. Borrow Agreements (between state/owner) X
d. Disposal Agreements (between state/owner) X
e. Service Agreements (charged to contract allotment) X
19. Hazardous Waste and Hazardous Materials X

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 Table 5-1.1. Construction Records Retention Schedule (continued)

Project Records Retention

Funding Type

Project Record Category Fed & Fed &

Fed State
State State
FE FFV+3 FE+3 PHF
(See (See Notes (See (See Note
Note 1) 3 & 4) Note 2) 5)
20. Water Pollution Control Plan or
X X
Stormwater Pollution Prevention Plan
21. Construction or Maintenance Zone Enhanced Enforcement Program X X
22. Traffic Management Information X X
23. (Extra Category Number)

24. Disadvantaged Business Enterprises and Disabled Veteran Business

X X
Enterprises

25. Labor Compliance and Equal Employment Opportunity X X

26. Progress Schedule X X
27. Weekly Statement of Working Days X X
28. Weekly Newsletter X
29. Materials Information and Preliminary Tests X X
30. Basement Soil Test Results X X
31. Notice of Materials to Be Used X X
32. Notice of Materials to Be Inspected at the Job Site X X
33. Notice of Materials to Be Furnished X X
34. Treated Base X X
35. Hot Mix Asphalt X X
36. Concrete (other than structure items) X X
37. Initial Tests and Acceptance Tests X X
38. Quality Control X X
39. Materials Testing Qualifications of Employees X X
40. Field Laboratory Assistant Reports to Resident Engineer X X
41. Report of Inspection of Material X X
42. Material Plants X X
43. Concrete and Reinforcing Steel X X
44. Recycle Materials and Diversion of Solid Waste X X
45. Resident Engineer’s Daily Reports X X
46. Assistant Resident Engineer’s Daily Reports X X
47. Drainage Systems X X
48. Bid Item Quantity Documents X X

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5-1.78 Project Records and Reports
 Table 5-1.1. Construction Records Retention Schedule (continued)

Project Records Retention

Funding Type

Project Record Category Fed & Fed &

Fed State
State State
FE FFV+3 FE+3 PHF
(See Note (See Notes (See (See
1) 3 & 4) Note 2) Note 5)
49. Change Orders (except documents noted below) X X
a. Change Orders (no drafts) X
b. Memorandums (no drafts) X
50. Adjustment in Compensation Calculations X X
51. Materials on Hand X X
52. Charges to Total Contract Allotment X X
53. Credit to Contract X X
54. Deductions from Payment to Contractor X X
55. Partnering X X
56. (Extra category numbers)
57. (Extra category numbers)
58. (Extra category numbers)
59. Bridge Estimate Data X X
60. Contract Administration System Inputs and Reports X X
61. Estimate and Project Status (except documents noted below) X X
a. Final Estimate X
b. Invoice & Receiving Records (if applicable) X
62. Disputes X X
63. Project Completion Documents (except documents noted below) X X
a. Contract Acceptance X
b. Final Materials Certification X
c. Final Acceptance Checklist for Federal Aid High Profile Projects X
Notes:
1. FE: Final Estimate for state-funded projects only
2. FE + 3: Final Estimate + 3 years
3. FFV: Federal Final Voucher for projects with some form of federal funding
4. FFV + 3: Final Federal Voucher + 3 years
5. PHF: Project History File (permanent)

Prepare a transmittal list specifying the contents of each box when records are sent from
the district construction office to the State Record Center or to another district. In a
separate file in the district construction office, retain a copy of the transmittal list. Files
stored electronically must also be sent.
The Bridge Construction Records and Procedures manual should be referenced for
structure-related records that are transmitted to Structure Construction at the completion
of the project for permanent storage.

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 5-104D As-Built Plans
Districts are responsible for all as-built road plans, and 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 afterward transferred to the original
CADD files in the district office. The set of plans, with changes delineated by the district
Design Unit, becomes the as-built plans.
To attain uniformity in final project plans, include the following data on the as-built
plans:
• Change order number.
• Revisions in alignment and right-of-way.
• Grade revisions in excess of 0.1 foot.
• Changes in length, size, flow line elevations, and station of culverts. When alternate
types of culverts are permitted, show which alternate was used.
• Drainage changes.
• Location of sewers, conduits, and other features.
• Location of monuments, bench marks, freeway fences, and gates.
• Revision of typical cross sections.
• Changes in pavement lanes, tapers, ramps, frontage roads, road connections,
driveways, sidewalks, islands, and median openings.
• Curb and gutter changes.
• Electrical conduits, pull boxes, and service points.
• Revision in location of utility crossings and irrigation crossovers.
Do not show the following on as-built plans:
• Construction quantities.
• Property fences.
• Miscellaneous small features, such as markers and delineators, which are readily
changed by maintenance forces.
The resident engineer must complete the as-built plans as soon as possible after work is
completed to ensure compliance with the archiving of as-built plans, but no later than 90
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
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5-1.80 Project Records and Reports
the construction review, refer to Chapter 15, “Final Project Development Procedures,”
of the Project Development Procedures Manual.
5-104D (2) Procedure on As-Built Plans for Bridges and Structures
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 Structure Design.
• The structure representative will make the as-built corrections to these prints and
forward them to Sacramento 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,
Sacramento Structure Construction must forward the prints directly to Structure
Design, Documents Unit. All other projects must be forwarded to Structure
Maintenance and Investigations, which determines which sheets should be
microfilmed for the structure files.
• Those prints not identified for filing by Structure Maintenance and Investigations
will be forwarded to the appropriate district office for the preparation of as-built plan
sheets. Structure Design will make the as-built corrections on the original plan
sheets. If the original plan sheet is not currently stored in Structure Design, it may
be obtained from the district.
On state projects that do not have a representative from 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 Structure Construction in Sacramento. The procedure outlined
above must then be followed.
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 Special
Funded Projects’ Information and Procedures Guide and the Encroachment Permits
Manual.
For additional guidelines and details for completing structure as-built plans, refer to the
Bridge Construction Records and Procedures manual.
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 desired, the district can make a copy of the plans for their own records
before returning them to the local agencies.
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 Special Funded Projects, Structures Local Assistance, 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.

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Chapter 5 Contract Administration

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

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Funds 5-2.i
Chapter 5 Contract Administration

Section 2 Funds Section 2

Funds
5-201 General 5-201
Caltrans aims to complete construction projects within the planned scope, allotted time, General
and projected budget. The project allotment includes a contingency fund for unforeseen
expenses or unknown factors encountered during construction. Occasionally, the
magnitude and cost of unforeseen expenses or unknown factors are greater than the
budgeted amount. In such instances, the contract allotment may be supplemented with
additional funds to complete the project as originally planned. The California
Transportation Commission adopted resolutions G-11 and G-12 in 1978: G-11 to
allocate funds for emergency contracts and G-12 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. This section explains the processes for managing project funds and obtaining
additional project funds. Refer to the “Dir Orders Guidelines” link on following
website for additional details on the G-11 and G-12 processes for additional funds on
emergency contracts:
http://onramp.dot.ca.gov/hq/maint/orway/ha23/index.htm
5-202 Managing Funds 5-202
The resident engineer is responsible for managing the project construction costs within Managing Funds
the current allotment, which includes item payments, Department-furnished materials,
contingencies, and supplemental work. The resident engineer must track project
expenditures, forecast future costs, determine the need for additional funds, and
immediately notify the construction engineer of any apparent funding shortfalls. The
resident engineer must not allow work to proceed that would require the encumbrance
of additional funds before those funds have been approved and added to the project
allotment.
The resident engineer must update the project contingency balance continuously as
changes occur and whenever additional costs are initially identified. For example,
payment for item overruns will come from the contingency fund, and extra money
from item underruns will be returned to the contingency fund.
5-203 Obtaining Additional Funds 5-203
When the resident engineer determines that additional funds are needed, the resident Obtaining
engineer must consult with the construction engineer. Both engineers should discuss Additional Funds
additional funds and potential alternatives to complete the project within budget.
An assessment of financial status must show that the existing contingency balance will
prove insufficient to complete the project within the approved contract scope. Do not
request additional funds to settle disputes that are not yet resolved.
The resident engineer and the construction engineer must next meet with the
construction field coordinator and the project manager to discuss the funding need and
alternatives. For emergency contracts or for maintenance funded contracts, include in

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Funds 5-2.1
 the early discussions the district maintenance major damage coordinator or the district
maintenance engineer respectively, and the funding program advisor.
5-203A G-12 Funds Request
If it is decided that the best alternative is to request additional funds, the construction
engineer must then write a “Construction Phase Request for Supplemental G-12
Funds” memorandum to request additional funds and send it to the project manager.
The memo must include sections titled “Potential Overrun Explanation, Justification,
and Alternatives” and “Financial Status.” The “Potential Overrun Explanation,
Justification, and Alternatives” 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:
1. Why are additional funds needed?
2. What work will be performed with the additional funds?
3. What alternatives have been considered to mitigate the unforeseen expenses?
The construction engineer ensures that informational copies of the request are emailed
to the construction field coordinator and the appropriate funding program advisor. For
an example of the memorandum to Division of Budgets, refer to the Division of
Construction intranet site at:
http://construction.onramp.dot.ca.gov/contract-administration/supplemental-funds
The project manager manages the project G-11 or G-12 funding capacity. The project
manager completes the request for additional funds using the information in the request
from the construction engineer. The project manager provides any additional
information needed to complete the request, including any participation concurrence
from other funding partners, and if applicable, an explanation of previously approved
funding requests.
After the project manager coordinates getting the district signatures, the project
manager emails the “Construction Phase Request for Supplemental G-12 Funds” or
“Construction Phase Request for Supplemental G-11 Funds,” whichever is applicable,
to the G-11/G-12 mailbox:
[email protected]
The budget analyst in the Division of Budgets reviews and processes the request. Upon
concurrence, the budget analyst forwards it to the Division of Construction change
order engineer and informs the appropriate funding program advisor as needed.
Rejected G-12 memos are returned to the project manager for revision.
The change order engineer reviews each G-12 memo for completeness, signature
authority, compliance with policy, and ensures that it addresses the following issues:
• Existing and projected financial status.
• Justification for the G-12 funding.
• Clearly defined scope of work.
• Consideration of sufficient alternatives.
When the change order engineer concurs with the G-12 memo, it is sent to the
construction field coordinator and the project management coordinator for review and
approval. After the coordinators approve the request, a copy of the fully executed

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

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Funds 5-2.3
 • The State Highway Operation and Protection Program and Minor Program
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 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
Following are the requirements for specific funding types:
5-204A (1a) Federal Funds for State Highway Projects
Segregate the costs for federal participation only for major change orders as defined in
Section 5-311A, “Division of Construction Approval,” of this manual, maintenance
work, and work financed by others. Refer to Section 5-3, “Change Orders,” of this
manual for details about cost segregation. Quantity or cost segregation for all other
planned work is handled on a percentage basis according to the detail 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 a final statement of all
quantities or costs incurred as a result of agreements with contributing agencies.
Segregate in sufficient detail the quantities and costs, whether covered by change order
or resulting from normal variations, so that an accurate final breakdown can be made
and the proper costs applied to each funding agency. The report should reference the
original and subsequent funding agreements and any change orders or other items that
altered the work.

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5-2.4 Funds
Chapter 5 Contract Administration

Section 3 Change Orders

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

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Change Orders 5-3.i
 5-307C (6) Maintenance
5-307C (7) Right of Way
5-307C (8) Environmental
5-307C (9) Locally Funded Projects
5-308 Federal Highway Administration Change Order Requirements
5-308A Projects of Division Interest
5-308A (1) Federal Highway Administration Approval Requirements—Major Change Orders
5-308A (2) Federal Highway Administration Approval Requirements—Minor Change Orders
5-308A (3) FHWA Denial
5-308B Delegated Projects
5-308B (1) Federal Highway Administration Involvement Requirements—Major Change Orders
5-308C All Federally Funded Projects
5-309 Federal Segregation Determination on Change Orders
5-310 Locally Funded State Highway Projects
5-311 Change Order Approval Process
5-311A Division of Construction Approval
5-311A (1) Change Order Determinations
Table 5-3.5 Division of Construction’s Change Order Direction
5-311B District Approval Limitations
5-311C Prior Authorization to Proceed
5-312 Substantiation
5-312A Engineering Analysis
5-312B Contractual Analysis
5-312C Cost Analysis
5-312D Time Impact Analysis
5-313 Executed Change Order Copy Distribution
5-314 Value Engineering Change Proposals
Figure 5-3.1 Change Order Decision-Making Concept Flowchart

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5-3.ii Change Orders
Chapter 5 Contract Administration

Section 3 Change Orders Section 3

Change Orders
5-301 General 5-301
A change order is a legally binding document used to make changes to the contract. General
Form CEM-4900, “Change Order,” is used for change orders. Form CEM-4903,
“Change Order Memorandum,” must be prepared for each change order.
This section describes the use of Forms CEM-4900 and CEM-4903, describes Caltrans
policies for change orders, and provides guidelines for writing change orders and
memorandums.
5-302 Change Order Policy 5-302
The authority for Caltrans to make changes to a contract is located in Section 3-403, Change Order
“Changes and Extra Work,” of this manual. Work that is outside the scope of an Policy
existing contract should be done in a separate contract. However, in special situations it
may be added to an existing contract if:
• A director’s order has been approved for the new work in accordance with Deputy
Directive 26-R2, “Use of Director’s Orders,” dated July 31, 2009, available at:
https://onramp.dot.ca.gov/sw_policy/dd/dd_by_number.html
• The Division of Construction chief concurs with adding new work to the existing
contract by co-signing the director’s order.
• On all federal-aid projects, the Federal Highway Administration (FHWA)
transportation engineer approves the change as outlined in Section 5-308, “Federal
Highway Administration Change Order Requirements,” of this manual.
• On locally funded state highway projects, the contributing agency agrees to the
change as outlined in Section 5-310, “Locally Funded State Highway Projects,” of
this manual.
• The contractor agrees to the change.
District construction personnel should consider the following in determining if the
proposed change is within the scope of the original contract. Answering “yes” to any of
the following questions indicates that the new work may be outside the scope of the
original contract:
• Is the type of work for the proposed change significantly different from other types
of work within the original contract?
• Is it necessary for the prime contractor or a subcontractor to mobilize specialized
forces and equipment to perform the work of the proposed change?
• Will the estimated cost of the proposed work, when combined with all other
changes, be outside the approved contract allotment?
• Does the proposed change represent a significant deletion to the original contract?

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Change Orders 5-3.1
 • Does the proposed change significantly delay completion of the contract when
compared to the number of original contract working days?
• Is the proposed change outside the original contract limits?
• Can the project be completed as contemplated at the time of bid without the
proposed change?
Answering the previous questions assists in determining if a proposal is within the
scope of the existing contract. However a complete analysis of all the facts and
circumstances surrounding the proposed change or new work is required to make a
final determination. When district construction is uncertain if the new work is within
the scope of the original contract, the district construction deputy director must consult
the appropriate Division of Construction field coordinator for determination.
When new work resulting from the director’s order may be accomplished best by
adding to an existing contract, the district submits a request to the Division of
Construction chief to co-sign the order. After the director’s order is approved, district
personnel may process a change order incorporating the new work, in accordance with
the procedures described in Section 5-311, “Change Order Approval Process,” of this
manual.

5-303 5-303 Purpose of Change Orders

Purpose of Change Use change orders to change any part of the original contract. In addition, change
Orders orders are used for administrative and other purposes. The following are some of the
reasons for writing change orders:
• To change contract plans, specifications, or both.
• To describe the work and method of payment for work stipulated in the contract to
be paid as extra work.
• To authorize an increase in extra work funds necessary to complete a previously
authorized change.
• To make payment adjustments.
• To implement a value engineering change proposal or a construction evaluated
research proposal. Refer to Section 3-5, “Control of Work,” of this manual for a
discussion of value engineering change proposals.
• To clarify terms of the contract.
• To resolve disputes or potential claims prior to the proposed final estimate, or
exceptions (claims) after the proposed final estimate, and to pay for contract claim
determinations. For the use of change orders in the dispute resolution process, refer
to Section 5-4, “Disputes,” of this manual.

5-304 5-304 Initiation of Change Orders

Initiation of Change The resident engineer usually determines the need for and initiates a change order.
Orders However, the contractor, other Caltrans units, or outside agencies or individuals may
request changes. Other Caltrans units requesting a change order must clearly document
the need for the change and provide information sufficient to demonstrate that the
requested change meets Caltrans policy for making changes to the contract. For all
changes requested by any person except the contractor, indicate “Change Requested by
Engineer” on Form CEM-4900, “Change Order.”

California Department of Transportation  Construction Manual  July 2017

5-3.2 Change Orders
5-305 Preliminary Considerations 5-305
When preparing to write a change order, consider the following: Preliminary
• Is the proposed change order necessary to complete the work as contemplated at
Considerations
the time the plans and specifications were approved?
• What is the overall impact on the planned work?
• Are there sufficient unobligated contingency funds? If additional funds are
required, can they be obtained soon enough to prevent delays? Refer to Section
5-2, “Funds,” of this manual for the procedure for obtaining additional funds.
• Will the contract time be affected?
• What are the impacts of adjusting contract time?
• When a project is nearing completion, give careful consideration to the effect the
change will have on the time of completion. Changes near the end of a contract
tend to extend the time of completion more than changes made earlier. Late
changes may adversely affect the 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 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 work-character change?
• If a payment adjustment resulting from a work-character change is deferred, how
will the adjustment be determined?
• Is timely coordination with other affected Caltrans units possible? Does the
proposed change adhere to existing permit conditions, environmental mitigation
requirements, local agency and utility obligations, and right-of-way agreements?
Does the proposed change require new coordination, permits, or agreements?
• Will the contractor cooperate in providing timely cost estimates for extra work at
agreed price and cost information for payment adjustments? Should you make cost
estimates and determinations and present them to the contractor?
• Will the ordered change require a Cost Effectiveness/Public Interest Finding for
the use of patented or proprietary materials or equipment; or mandatory use of a
borrow or disposal site?
• 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 Change Order Content 5-306
The change order must be clear, concise, and explicit. When appropriate, it must Change Order
include the following: Content
• What is to be done

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Change Orders 5-3.3
 • Location and limits of proposed work
• Any applicable specification changes and references to specifications
• The proposed change order’s effect on time of completion
• Method and amount of compensation
5-306A Specifications
The specifications for bid item work already included in the contract will apply to
added bid item work. You do not need to repeat or reference specifications for added
work that is clearly shown to be bid item work.
In the change order, completely describe extra work. Include directly or by reference
the specifications for extra work, whether paid for at agreed price or at force account.
The contractor must complete this extra work exactly as it is specified in the change
order.
The contract will include some supplemental work specifically designated as extra
work. For an example, refer to Sections 12-1.01, “General,” 12-1.03, “Construction,”
and 12-1.04, “Payment,” of the Standard Specifications.
5-306B Description of Work
The change order must clearly describe added work or other changes to the contract.
Include appropriate references to special provisions, contract plans, Standard Plans, or
Standard Specifications. Decide whether a written statement clearly defines the
proposed change or if plans or drawings need to be included.
The contractor normally chooses the method of performing extra work, subject to the
resident 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 change order.
On plans attached to a change order, show pertinent dimensions and the scale or label
the plans “not to scale.” Plainly mark reduced reproductions “Reduced Plans, Scales
Reduced Accordingly.” When using existing plan sheets, clearly show the difference
between new work, work already included in the contract, and changed or eliminated
work. A simple sketch on a letter-sized sheet will more clearly depict the change than
an obscure revision to an existing sheet of the original plans. An 8.5-by-11 inch
attachment is always preferable to a full-size contract plan sheet.
Section 6735, “Preparation, signing, and sealing of civil engineering documents,” of
the Professional Engineers Act, requires that all civil engineering plans and
specifications that are permitted or that are to be released for construction shall bear the
signature and seal or stamp of the licensee and the date of signing and sealing or
stamping. All final civil engineering calculations and reports shall bear the signature
and seal or stamp of the licensee, and the date of signing and sealing or stamping. Plans
or specifications attached to a proposed change order must meet this requirement, with
the exception that a licensed civil engineer does not need to sign revisions already
covered by Standard Plans, Standard Specifications, standard special provisions,
previously engineered drawings, or minor changes not requiring calculations or
determinations by a licensed engineer.
Show the Caltrans contract number, sheet number, and change order number on plans
or other documents made a part of a change order. Include all attachments with each
distributed copy of a change order.

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5-3.4 Change Orders
5-306C Methods of Payment
When writing a change order, the resident engineer often can choose the payment
method for added or changed work. The following lists, in order of preference, the
payment methods:
1. Bid item unit prices; refer to Section 5-306G, “Change Order Format,” of this
manual.
2. Bid item unit prices with a payment adjustment at agreed unit price or lump sum;
refer to Sections 5-306C (2), “Payment Adjustment”; 5-306C (2a), “Adjustments
for Increased or Decreased Quantities”; 5-306C (2b), “Adjustment Calculations
Involving Hot Mix Asphalt Dikes and Miscellaneous Areas”; and 5-306C (2c),
“Deferred Bid Item Adjustments,” of this manual.
3. Payment adjustment at agreed unit price or lump sum; refer to Sections 5-306C
(2e), “Adjustments for Work-Character Changes”; 5-306C (3), “Extra Work”; and
5-306C (3a), “Extra Work at Agreed Prices,” of this manual.
4. Force account; refer to Section 5-306C (3b), “Extra Work at Force Account,” of
this manual.
When a bid item has a work-character change, the resident engineer may delete the
entire bid item, or the portion of it affected by the change, and pay for the entire work
at force account. A preferred choice is to determine a correct and equitable payment
adjustment to the bid item unit price. A payment adjustment providing for increased or
decreased costs due to the work-character change allows the contract price to remain
unchanged. Before resorting to force account payment, resident engineers must make
every effort to make payment adjustments or negotiate agreed prices.
Refer to Section 3-901, “General,” of this manual for methods of payment. Section
3-904, “Payment Adjustments,” of this manual describes how the various methods of
payment are used in change orders.
5-306C (1) Increases and Decreases in Bid Items at Bid Item Unit Prices
Changes in planned work or adding or decreasing work will often result in increases or
decreases in bid item quantities. Except for bid items designated in the Bid Item List as
final pay quantities, show changes in bid item quantities as estimates on a change
order. Calculate the estimated increases or decreases that will result from the work as
changed by the change order. The actual quantity paid for each bid item will be
determined by the method specified for measuring each bid item quantity. For
guidelines on measuring bid item quantities, refer to Section 3-9, “Payment,” of this
manual.
Show changes in the quantity of bid items that are designated as final pay quantities as
fixed amounts added to the quantity shown in the Bid Item List. If a portion of a final
pay item quantity is eliminated, the final pay quantity will be revised in the amount
represented by the eliminated portion of the item of work quantity. For a standard
clause for revised final pay quantities, refer to “Change Order Standard Clauses” at:
http://www.dot.ca.gov/construction/change-order/standard-clauses.html
For the method of indicating changes in bid item quantities, refer to Section 5-306G,
“Change Order Format,” of this manual and the change order examples at:
http://www.dot.ca.gov/construction/change-order/examples.html

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Change Orders 5-3.5
 Increases and decreases or estimated increases or decreases in bid items at contract
prices may be executed unilaterally or with the contractor’s agreement.
5-306C (2) Payment Adjustment
For the definition of payment adjustments, refer to Section 3-904, “Payment
Adjustments,” of this manual. Section 3-4, “Scope of Work,” of this manual discusses
payment adjustments for increased or decreased quantities and for work-character
changes.
Payment adjustments usually involve estimating the cost of work or determining the
actual cost of work performed. The following explains how to estimate or determine
such costs.
Verify the 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 9-1.05, “Extra Work Performed by Specialists,” of the Standard Specifications,
calculate the adjustment on this basis. Ensure the specialist rate or billing is in line with
the firm’s usual charges.
For bid item overrun and underrun adjustments, when the contractor does not furnish
sufficient and timely cost information, issue a unilaterally approved change order
adjusting the item. Base the adjustment on your cost determination. This approved
change order establishes the time allowed for protest and helps avoid delays.
Even though the contractor may have agreed to pay a fixed price to others for an item
of work, use a force account based adjustment of the item price. Use a force account
cost determination even when the work is subcontracted unless the item of work was
performed by a specialist, as defined in Section 9-1.05, “Extra Work Performed by
Specialists,” of the Standard Specifications.
For large and complex adjustments, request auditing assistance from the Division of
Audits and Investigations through the Division of Construction. Refer to procedures in
Section 5-410, “Audits,” of this manual.
5-306C (2a) Adjustments for Increased or Decreased Quantities
As soon as it is known that a bid item quantity will vary from the Bid Item List by
more than 25 percent, consider the method of adjustment that will be used. Make daily
reports for the item with the same degree of detail used in force account daily reports.
Doing so will facilitate determining any necessary adjustment. When required, make
payment adjustments for increased or decreased quantities as soon as the contractor
completes work on a bid item. Refer to Section 3-904, “Payment Adjustments,” of this
manual.
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.
Verify a contractor’s records by comparing them with Caltrans records. Where more
extensive auditing is required, request the assistance of the Division of Audits and
Investigations. When examining the contractor’s records to determine the cost of

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5-3.6 Change Orders
equipment used, consider only the hours worked. Force account equipment rental rates
must be used regardless of what rate the contractor may have used. When verifying the
contractor’s records, eliminate supervision and overhead costs and any costs properly
chargeable to other work.
When making adjustments, use Caltrans records to determine the amounts of labor,
equipment, and materials. The verified 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 judgment 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 4-1.05B, “Work-
Character Changes,” of the Standard Specifications, may later become eligible for
further adjustment under Section 9-1.06, “Changed Quantity Payment Adjustments,”
of the Standard Specifications. In making the quantity payment adjustment, deduct or
add payments made in making the work-character change adjustment to determine the
contractor’s total cost of the work.
5-306C (2b) Adjustment Calculations Involving Hot Mix Asphalt Dikes and
Miscellaneous Areas
The bid item “Place HMA (hot mix asphalt) Dike” is paid for by the ton of HMA and
by the linear foot for HMA dike. The bid item “HMA (miscellaneous areas)” is paid
for by the ton of HMA and by the square yard for HMA (miscellaneous areas). The
specifications do not exactly separate the work covered under each bid item. Carefully
separate the items when it is necessary to adjust either the HMA dike bid item or the
HMA (miscellaneous areas) bid item.
The following is the recommended procedure to determine the costs for computing
adjustments of HMA dike and HMA (miscellaneous areas):
1. Subtract the estimated normal haul and placing unit cost for HMA used in paving
from the bid item unit price to determine the cost of manufacturing HMA. Also,
consult the contractor for an accurate estimate for comparison purposes. For
commercial plants, you may use published price lists to determine the cost of
manufacturing HMA.
2. To obtain the total cost of manufacturing HMA used in dikes or miscellaneous
areas, multiply the actual mass of HMA used for dikes or miscellaneous areas by
the unit cost of manufacturing HMA as determined above.
3. To obtain the total force account cost of dikes or miscellaneous areas, add to the
total cost of manufacturing HMA the total force account haul and placing costs for
HMA used in dikes or miscellaneous areas.
4. Calculate the force account unit cost of the dike or miscellaneous areas item and
proceed as with any bid item increase or decrease adjustment.
To some extent, this procedure constitutes an adjustment in the HMA item as well as in
the items for HMA dike or HMA (miscellaneous areas) paid by linear foot or square
yard. However, this statement is true only for the HMA used on that portion of the dike
or miscellaneous areas in excess of 125 percent of the Bid Item List. Also, an overrun
or underrun in HMA dike or HMA (miscellaneous areas) will usually have little effect
on the overall quantity of HMA.

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

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5-3.8 Change Orders
File with the contract records any calculations made to determine extra work at agreed
price. These calculations are subject to audit and must be in such a form that they
clearly substantiate and justify the amount paid for extra work. In lieu of showing all
the calculations necessary to substantiate extra work at agreed price in the change order
memorandum, you may include a statement that such calculations are on file in the
project records.
When a subcontractor is to perform extra work at agreed price, include the
subcontractor markup in the agreed price calculations. For subcontractor markup
guidelines, refer to Section 3-9, “Payment,” of this manual.
Agreed prices may be unit prices or lump sum. Before an agreed price may be used to
pay for extra work, the resident engineer and the contractor must agree on
compensation. The contractor must execute the change order providing for extra work
at agreed price.
After the extent of extra work has been determined, request the contractor to submit a
proposed agreed price. Analyze the 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 agreement,
process the change order and retain in the project files the records fully justifying the
agreed price.
Ensure that payments of agreed lump sum prices do not exceed the amount authorized
on the change order. Agreed unit prices can be applied to an estimated number of units
in the change order. Although the unit price remains fixed, the number of units paid
may vary from the estimated number.
When extra work consists entirely of work that neither the contractor nor any of the
subcontractors would normally perform, the work is considered “specialist work,” and
the contractor should obtain three bids for the extra work. Determine the agreed price
by taking the lowest bid and adding the markup, as described in Section 9-1.05, “Extra
Work Performed by Specialists,” of the Standard Specifications.
When this method is used, ensure that the work is accurately and completely described
when bids are solicited. The same description of the work must be used in the change
order. If the contractor or a subcontractor includes a bid along with independent firms,
you must make an analysis using the force account method. The contractor’s or
subcontractor’s bid will be acceptable only if the analysis can justify it. If the contractor
or a subcontractor is capable of performing the extra work, the work is not considered
“specialist work.”
For examples of change orders with extra work at agreed price, refer to the change
order examples for “Flagging Only (Extra Work at Agreed Unit Price),” and
“Additional Work. Increase Bid Item Quantities (Clause for Final Pay Items and Extra
Work at Agreed Price)” at:
http://www.dot.ca.gov/construction/change-order/examples.html
5-306C (3b) Extra Work at Force Account
Pay for extra work at force account under the following conditions:
• When the work cannot be estimated within reasonable limits of accuracy.
• When the resident engineer and the contractor are unable to agree on a unit or
lump sum price for the work.

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

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5-3.10 Change Orders
5-306E Change Order Standard Clauses
Information on change order standard clauses is available at:
http://www.dot.ca.gov/construction/change-order/standard-clauses.html
The examples show standard clauses for specific situations found in various types of
change orders. Customize standard clauses to read what is appropriate for the change
order being written.
5-306F Work Designated as Extra Work in the Specifications
The Standard Specifications and the special provisions describe certain work and
specify that it is to be paid for as extra work. In some cases, supplemental funds are set
aside to pay for this extra work. Make an independent cost estimate of the work for
which the supplemental funds were provided. This estimate must be as accurate as
possible.
Refer to the specific section of the specifications that identifies the extra work for the
change order. Also, describe the exact work to be performed.
Traditionally, Change Order No. 1 provides for extra work specified for public traffic
and public convenience. This change order must be limited to the following:
• Work designated as extra work in the specifications
• Work related to the needs of public traffic or for public convenience
Refer to the change order template “Maintain Traffic” at:
http://www.dot.ca.gov/construction/change-order/templates.html
This change order indicates the method for incorporating specified extra work into a
change order. Note that the change order template 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
change order template, “Flaggers,” which provides for payment for flaggers at an
agreed unit price. Payment for flaggers at an agreed price may be written as a separate
change order or combined with the other traffic related work paid for as extra work at
force account.
5-306G Change Order Format
The example change orders at the Division of Construction’s website follow the
generally accepted format for writing change orders. The following describes the
format:
• Describe the work or change that will cause increases and decreases to bid item
quantities. Refer to any attached drawings or documents (sheets __ and __ of __).
If the bid item work cannot be described separately from other work, describe the
entire work at this stage. Describe work paid for by other methods in the
appropriate sections of the change order. The intent is that the change order clearly
specifies the work paid for by each payment method.
• Show the increases and decreases in bid item quantities. Include the percent of the
Bid Item List represented by this change. Also show the accumulated percent
change to date from the original quantity in the Bid Item List.

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Change Orders 5-3.11
 • Write clauses for situations resulting from increases or decreases or estimated
increases or decreases in bid item quantities (deferred adjustments or actual
payment adjustments for overruns or underruns).
• Write clauses for adjustments or deferred payment adjustments due to any cause.
Describe the work or change causing the adjustment or deferred adjustment. Show
the amounts of adjustments if not deferred.
• Describe work to be paid for as extra work at agreed price. Show the price as
agreed. Agreed prices may be fixed unit prices and an estimated or actual number
of units, or agreed prices may be fixed lump sums.
• Describe the work to be paid for as extra work at force account. Show the
estimated cost of the extra work.
• Write time deferment or time adjustment clauses.
5-307 5-307 Change Order Memorandum
Change Order Include with all change orders sufficient documentation to explain the scope and
Memorandum reasons for the change. For this purpose, use Form CEM-4903, “Change Order
Memorandum,” with any necessary attachments. The memorandum is intended for
interdepartmental use only. Do not send the memorandum to the contractor.
The memorandum must be sufficiently complete to enable a person unfamiliar with the
details of the project to review the change order and understand the justification for the
work, the reasonableness of the compensation, and the time adjustment provisions.
5-307A Contents of the Memorandum
Include the following in the memorandum:
• State what the change order provides. Supplemental change orders should also
include a description of the original change order.
• Explain the need for the change, including the contractual basis of the change.
When another Caltrans unit requests a change, the correspondence requesting the
change should also justify the need for the change. Attach supporting letters to the
memorandum.
• State the reasons a particular method of payment was chosen. Include a complete
cost analysis, or state that the cost analysis is on file with the project records. The
statement should include the method used in making the cost analysis.
• Explain the reasons the ordered change causes any change in the character of the
work. To substantiate any additional compensation due, you may need to provide a
summary of events leading up to the change.
• State the extent of coordination and concurrence. If agreement with any district
unit cannot be obtained, then indicate specific discussions that would influence a
decision for approval. Refer to Section 5-307C, “Coordination and Concurrence by
Others,” of this manual.
• If prior approval of the change order has been obtained, state the name of the
person who granted prior approval and the date.
• Show the unobligated balance of funds available to finance the change order. The
resident engineer must ensure the available funds are not exceeded. For obtaining
additional funds, refer to Section 5-2, “Funds,” of this manual.

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5-3.12 Change Orders
• Show the total authorized funds to date, as well as the dollar amount of a
supplemental change order.
• Indicate when funds for supplemental work shown in the detail estimate of job cost
are used in the change order.
• For major changes on federal high-profile projects, indicate the name and date of
discussion and concurrence, if any, by the FHWA transportation engineer. Refer to
Section 5-308, “Federal Highway Administration Change Order Requirements,”
of this manual. For details relating to federal funding to be shown on the change
order memorandum, refer to Section 5-309, “Federal Segregation Determination
on Change Orders,” of this manual.
• For change orders involving participation by local agencies, identify the portion of
the work that is applicable to the contributing agency.
• For a change order that is to be unilaterally approved, explain why the contractor
will not sign or why the contractor’s signature is not required. Attach a copy of any
correspondence from the contractor regarding the change order.
• Include justification for a time adjustment. Describe the method used to determine
time adjustments. State the controlling activity during the delay period. Whenever
possible, and when resolving a previously deferred time adjustment, indicate the
specific working days in which there were delays and represent the period of the
time adjustment. By indicating the specific working days, you ensure other time
adjustments do not cover the same time period.
• Indicate the cumulative time adjustments and total number of change orders with
unreconciled deferred time.
5-307B Change Order Category Codes
The resident engineer is responsible for assigning a four-letter code to every change
order to indicate the main reason for the change. Preferably, there should only be one
issue per change order. For change orders with multiple distinct issues, assign the
coding based on the one issue that has the greatest impact to the project. Assign the
coding according to the reason for the change, not according to how the problem was
corrected. To determine the code, the resident engineer may use the “CCO Code
Generator” from the following Division of Construction intranet website:
http://construction.onramp.dot.ca.gov/contract-administration
The resident engineer should enter this code on Forms CEM-4903, “Change Order
Memorandum,” and CEM-4901, “Change Order Input.”
The change order code will identify one or more discrete pieces of information about
the change:
1. The type of change order (first character).
2. The specification that authorizes the change, or the physical asset affected by the
change (second character).
3. The source document that led to the need for a change (third and fourth
characters).
4. The disposition of a dispute resolution (third and fourth characters).

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Change Orders 5-3.13
 Administrative types of change orders (accelerations, and changes that are anticipated
and authorized by existing administrative specifications) require only minimal coding
information. Consequently, extra coding positions will be assigned a default character
placeholder, the letter Z. Assign characters from left to right, as subsequent character
code selection is dependent on the preceding characters.
Character 1: Change Order Type:
Use the codes in Table 5-3.1, “Change Order Type,” to categorize the change order
according to its general type, for example, administrative or dispute resolution. Coding
for dispute resolution takes precedence over coding for any other potential scenario.
After selecting the first character code, use the corresponding directions on Table 5-3.1
to complete the coding for the remaining three characters.
Character 2: Specification or Physical Asset:
Next, based on your selection for the first character code, and using the directions
within Table 5-3.2, “Specification or Physical Asset,” select the code that most
accurately identifies the appropriate administrative specification, or the affected
physical asset. Enter this code as the second character. In the case of a change order
that is strictly for acceleration, with no physical change in the planned work (the first
character code is a B); then the second character code is defaulted to a placeholder Z
character.
Characters 3 and 4: Source Document or Dispute Disposition:
If the change order is needed to bring about a plan or specification change (the first
character code is C or D), use Table 5-3.3, “Source Document,” to identify the pair of
character codes that together best describe the original document that created the need
for the change order. The reason for the change may be from:
• Constructability issues, errors, conflicts, or inconsistencies.
• The introduction of improved products, means, or methods.
• Any other reason, provided that the change will affect some physical aspect of the
planned work.
If the change order is for a dispute resolution (first character code from Table 5-3.1 is
E, F, G, or H), use Table 5-3.4, “Dispute Disposition,” to assign the third and fourth
characters. Begin by selecting the code for the third character that most closely
identifies the time frame before the dispute was resolved. The milestones for the third
character are listed chronologically. For the fourth character, choose a code from Table
5-3.4 that most accurately explains how the dispute was resolved (entitlement,
negotiated settlement, and arbitration award, full or partial resolution.)
If the change order type was administrative (first character code is either A or B), then
the third and fourth character codes are defaulted to Zs.
General Examples:
Change orders that are strictly for constructive accelerations when there is no change to
the final configuration of a planned permanent physical asset are all coded “BZZZ.”
No additional coding information is necessary.
When a change order resolves a dispute based on contract administration, and there
was no change to the planned work on some permanent physical asset:
1. The first character will be either E or G (refer to Table 5-3.1).

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5-3.14 Change Orders
2. The second character represents the disputed administrative specification. Choose
this character from the upper portion of Table 5-3.2.
3. The third and fourth coding characters are selected depending on when and how
the dispute was resolved. Choose these characters from Table 5-3.4, “Dispute
Disposition.”
When a change order is authorized by an administrative specification and there is no
formalized dispute involved:
1. The first character will be A (refer to Table 5-3.1).
2. Select the second character from the upper portion of Table 5-3.2.
3. The third and fourth characters will both default to the placeholder letter Z. No
other coding information is necessary in this particular example.

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Change Orders 5-3.15
 Table 5-3.1. Change Order Type (Character 1)

Change Order Type Code Description

Change order used to pay for work or adjustments already authorized

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

(Use only Zs for subsequent code characters 2, 3, and 4.)

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

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5-3.16 Change Orders
 Table 5-3.2. Specification or Physical Asset (Character 2)
Code Specification (use this portion of Table 5-3.2 only when the first character code is A, E, or G )
A 9-1.06: Changed Quantity Payment Adjustments
B 7-1.04: Public Safety
C 4-1.06: Differing Site Conditions (23 CFR 635.109)
D 7-1.02K: Labor Code
E 7-1.03: Public Convenience
Standard Specifications (No.) or Special Provision (SP)

F 8-1.10: Liquidated Damages

G 8-1.07: Delays
H 5-1.36D: Nonhighway Facilities
I 9-1.17C: Proposed Final Estimate
Authorizing Specification

J 12-1: Temporary Traffic Control - General [Flagging Costs]

K 80-15.02, 83-11.03B: Reconstruct Fences, Reconstruct Metal Bridge Railings
L 4-1.05B: Work-Character Changes
M 19-1.03B: Unsuitable Material
N 19-2.03F: Slides and Slipouts
O 20-1.03C: Roadside Clearing
P 10-6, 87-21.03B: Watering, Maintaining Existing Electrical System
Q 9-1.07: Payment Adjustments for Price Index Fluctuations
R 5-1.43E(1)(c): Dispute Meetings
Payment Scope – Interest for late payments (unpaid and
S 9-1.03:
undisputed)
T 4-1.07C: Value Analysis Workshop
U 5-1.09: Partnering
V 6-2.02 & 6-2.01: Quality Control and Quality Assurance
Other listed Supplemental Work (Describe in transmittal memo)
W SP:
(Use only if no other code describes this supplemental work)
X Other: Other (Describe the “other” specification in transmittal memo)
Z Default: (Use only when the first character is B)
Code Physical Asset (use this portion of Table 5-3.2 only when the first character code is C, D, F, or H )

A Building (maintenance facilities, pump stations, etc.)

B Electrical (signals, lighting, communications, electrical systems, etc.)
C Drainage (culvert, subsurface, roadway drainage, gutters, lined ditches, etc.)
D Earthwork (excavation, embankment, soil stabilization, slope protection, erosion control, etc.)
Affected Permanent

E Landscaping (plants, irrigation, etc.)

Physical Asset

F Materials (borrow or disposal sites, surplus, salvage, etc.)

G Property (fence, survey monument, easements, right-of-way obligations, etc.)
H Structure (vehicle or pedestrian)
I Base, subbase, shoulder backing
J Surfacing (pavement, pavement reinforcing, shoulders, sidewalks)
K Traffic control devices (barriers, railing, signing, delineation, etc.)
L Utility
M Wall (retaining, sound, aesthetic, etc.)
X Other (Describe the “other” affected permanent physical asset in transmittal memo)
Z Default (Use only when the first character is B)

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Change Orders 5-3.17
 Table 5-3.3. Source Document (Characters 3 and 4)
(Use Table 5-3.3 only when the first character code is C or D from Table 5-3.1)

Character 3 (General) Character 4 (Specific)

A Cooperative
A Agreement B Permit
C Right-of-Way Obligation
A Environmental Clearance
C Certificate
B Right-of-Way Clearance
A Data/Control
G Survey
B Detailed Cross-Sections
A Log of Test Borings
M Materials
B Information Handout, Brochure
A Construction detail
B Contour grading
C Electrical
D Elevation view
E Environmental mitigation
F Erosion control
G Foundation
H General cross-sections
I Irrigation
J Layout/plan view
K Mechanical
P Plan
L Pavement delineation
M Planting
N Profile
O Schedule of materials
P Signage
Q Standard Plans
R Substructure
S Superelevation
T Superstructure
U Typical section
V Utilities
A Special Provision
S Specification
B Standard Specifications
A Construction area signs
B Construction easements
C Construction staging
D Electrical
E Erosion control
T Temporary Plan F Environmentally Sensitive Area (ESA)
G Lane closure chart
H Standard Plans
I Water Pollution Control/Prevention (WPCP or SWPPP)
J Traffic handling
K Traffic management plan
A,C,G,M,
Any of Above X Other specific document (describe in transmittal memo)
P,S,T
X Other Y Other (describe in transmittal memo)
Z Default Z When the first character is either A or B

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5-3.18 Change Orders
 Table 5-3.4. Dispute Disposition (Characters 3 and 4)
(Use Table 5-3.4 only when the first character code is E, F, G, or H, from Table 5-3.1, representing
a Dispute Resolution)

Character 3 (Time Frame)

Code Chronological Milestone

Prior to a “Differing Site Condition Management Review Committee”
A
Table 5-3.1 is E or F)
character code from
(Use only when first
Potential Claims

(DSC-MRC) hearing

B Prior to a “Dispute Review Board” (DRB) hearing

C Prior to the “Construction Contract Acceptance” (CCA) date

D Prior to the Proposed Final Estimate (PFE) date

character code from Table

E Prior to a “Board of Review” (BOR) hearing

(Use only when first

5-3.1 is G or H)

F Prior to an Arbitration Filing

Claims

G Prior to the Arbitration Hearing

H Prior to the Arbitrator’s Decision

I After the Arbitrator’s Decision

Character 4 (Resolution Authority)

Code Description

A Entitlement, Partial Resolution (Describe unresolved issues in transmittal memo)

B Entitlement, Full Resolution

Negotiated Settlement, Partial Resolution

C (Describe unresolved issues in transmittal memo)

D Negotiated Settlement, Full Resolution

Arbitration Award, Partial Resolution (Describe unresolved issues in transmittal memo)

E (Use only with first character code from Table 5-3.1 is G or H)

Arbitration Award, Full Resolution

F (Use only with first character code from Table 5-3.1 is G or H)

X Other (Describe in transmittal memo)

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Change Orders 5-3.19
 5-307C Coordination and Concurrence by Others
Secure recommendation or concurrence from affected functional units and other
agencies. Concurrence is evidence of agreement but does not constitute approval of a
change order. Process all change orders for approval as described in Section 5-311,
“Change Order Approval Process.”
Use district procedures for circulating change orders for concurrence. If contacted
parties are unresponsive, in the change order memorandum, state the facts of the
circulation process to ensure the proposed change is appropriate. Obtaining
concurrence should not delay the project.
The following lists some of the Caltrans functional units and reasons for seeking their
concurrence.
5-307C (1) Project Development
The project engineer must concur with all design-related change orders, including plan
or specification changes and value engineering change proposals. You may obtain
design assistance from the project engineer on some of the more complex design
changes. Remember that the project engineer is the engineer of record, and unless the
project engineer is consulted, the resident engineer may not know why some design
decisions were made.
By coordinating with the project engineer on all design and specification change
orders, a continuous and informal “constructability review” process develops.
Cooperation between design and construction personnel will result in better plans and
specifications and fewer change orders. Cooperation may also reduce potential for
construction delays, effects on the contractor, and claims.
5-307C (2) Project Management
For change orders with the following conditions, obtain concurrence from the project
manager:
• Potential for significant delays to the planned work.
• Unanticipated large project cost increases, including those requiring a request for
additional funds.
• Changes that may be considered outside the scope or intent of the planned work.
• Changes that may require a Cost Effectiveness/Public Interest Finding.
The project manager’s duties relating to change orders include the following:
• Monitoring project costs.
• Expediting decisions by functional units as needed, so there is no delay or other
adverse effect on the contractor’s activities.
5-307C (3) Structures
Where changes are to be made that involve structures, Structure Construction
determines the need for the change, the intent or content of the change order, and any
methods or restrictions in doing the work. The resident engineer is responsible for
administration, including processing the change order for approval. The structure
construction engineer and other personnel in the Division of Engineering Services may
need to concur. For procedures for obtaining concurrence for structure change orders,

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5-3.20 Change Orders
refer to Section 7-0.0, “Contract Change Orders,” of the Bridge Construction Records
and Procedures manual, Vol. 1.
5-307C (4) Materials
The district materials engineer, as well as the project engineer, must concur with all
change orders that change or modify material specifications. Also, seek concurrence
from the district materials engineer for proposed changes in structural section, slope
rates, installation of subsurface drains, removal of unsuitable material, erosion control,
and repair of slides and slipouts.
5-307C (5) Traffic
Obtain concurrence from the appropriate traffic engineer in the district for change
orders affecting traffic management plans, hours of work, detours, signing, delineation,
highway lighting, traffic signals, illuminated signs, guardrail, barriers, or any other
traffic control device or facility. Clear any proposed special sign with the district traffic
design engineer.
5-307C (6) Maintenance
Obtain concurrence from the appropriate maintenance region manager or engineer for
changes affecting maintenance facilities, lands and buildings, and maintenance
activities. Concurrence from the appropriate maintenance manager or engineer is
required for all change orders affecting the use of maintenance funds.
5-307C (7) Right of Way
Obtain concurrence from the district Right of Way Unit for any changes to right-of-
way contracts or agreements, right-of-way fencing or alignment, or gates.
Contact the district Right of Way Unit for assistance with any required rights-of-entry
permits, permanent or temporary construction easements, or agreements.
The district utility coordinator must concur with all changes involving utility work. The
district utility coordinator must also make proposed revisions to Form RW 13-14,
“Notice to Owner.” For information about coordinating utility work, refer to Section
3-518C, “Nonhighway Facilities,” of this manual.
5-307C (8) Environmental
For environmental concerns and requirements, refer to Chapter 7, “Environmental
Stewardship,” of this manual. Contact the district environmental unit for assistance and
concurrence with any change affecting environmental considerations or requirements
or affecting obligations or commitments to other agencies.
The environmental document on any project is valid only for the work described by the
document and shown on the plans submitted for environmental approval. For any work
proposed in addition to or as a deviation from the approved work, consult with the
district Environmental Unit. Significant changes may require amended or additional
environmental approval or permits. The types of changes that may require additional
consultation and approval include the following:
• New materials sites
• New haul or access roads
• Previously unidentified clearing and grubbing and hazardous materials

California Department of Transportation  Construction Manual  July 2017

Change Orders 5-3.21
 • Increases in earthwork
• Unforeseen utility relocation
• Diversion or extraction of water from a stream not covered by a Lake/Streambed
Alteration Agreement, more commonly known as a “1601 permit,” from the
California Department of Fish and Wildlife
• Use of disposal sites not specified in the contract
• Revision to allowable work windows
5-307C (9) Locally Funded Projects
For guidelines for processing change orders on locally funded projects, refer to Section
5-310, “Locally Funded State Highway Projects,” of this manual.

5-308 5-308 Federal Highway Administration Change Order Requirements

Federal Highway Change orders written for projects with federal funding participation must comply with
Administration the Code of Federal Regulations and FHWA contracting requirements.
Change Order
5-308A Projects of Division Interest
Requirements
Projects of Division Interest (PODI) are subject to full FHWA oversight requirements.
Refer to the Stewardship & Oversight Agreement, available at:
http://www.dot.ca.gov/hq/oppd/stewardship/
Early and frequent communication with the FHWA transportation engineer is essential
to ensure full compliance with all federal requirements.
5-308A (1) Federal Highway Administration Approval Requirements – Major
Change Orders
Major change orders require FHWA approval. The resident engineer must obtain
approval before proceeding with a proposed change. The resident engineer may obtain
same-day verbal approval by telephone upon furnishing the FHWA transportation
engineer with the requested information. Following the verbal approval, the FHWA
transportation engineer sends the written approval electronically (email, fax, or both).
The district sends a copy of the change order and change order memorandum to the
FHWA transportation engineer upon approval of the change order.
Written and signed FHWA approval is required for any of the following major change
orders:
• Change order that would increase the cost greater than $200,000.
• Change order that would increase the cost of anticipated supplemental work item
listed in the detail estimate greater than $200,000.
• Supplemental change order above the $200,000 threshold.
• Change in specifications (with the exception of lane requirements and hours of
work charts).
• Change in method of payment.
• Change in material processing.
• Change in type or quantity of materials furnished (with the exception of minor
building materials).

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5-3.22 Change Orders
 Example: The change order revises aggregate to an HMA material.
• Change in proprietary or sole source materials for which specific or blanket
approval has not been previously given.
• Waiver to the Buy America requirements, above the minimal amount that is
allowed in Section 3-604, “Buy America,” of this manual and the project special
provisions.
• Value engineering change proposal.
• Experimental Work Plan.
• Change to federal environmental requirements such as:
1. Environmental mitigation. Refer to the Mitigation Monitoring Reporting
Record, if available.
2. Permit conditions.
3. Agreements with federal resource agencies.
Example: Revising sound 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
• Change to, or requiring of, mandatory disposal or borrow sites. (a Cost
Effectiveness/Public Interest Finding and National Environmental Policy Act
clearance may be needed.)
• Expansion of project limits beyond the limits set in the environmental document.
• Form of payment (not just a change order) to a contractor resulting from a claim,
board of review, exception to proposed final estimate, district director
determination or arbitration.
• Supplemental change orders to any of the above.
• Change resulting in a time adjustment of 20 or more working days. Additionally, if
time is increased by more than 20 percent of the original working days, then that
change and each subsequent change order that increases time.
5-308A (2) Federal Highway Administration Approval Requirements–Minor
Change Orders
Change orders other than those listed above are considered minor. Although approval
may be granted retroactively, minor change orders require written and signed FHWA
approval. These approvals occur during FHWA construction reviews, or occur with
final approval of the project by FHWA.
5-308A (3) FHWA Denial
When FHWA declines participation in a change order, the district can proceed with the
change order by justifying it in the change order memorandum. The project manager
must concur with the change in funding.

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Change Orders 5-3.23
 5-308B Delegated Projects
Projects not meeting criteria for PODI are considered delegated projects from FHWA.
Caltrans is delegated the authority to administer these contracts. Resident engineers are
not required to coordinate with the FHWA transportation engineer except for those
instances described in the Stewardship and Oversight Agreement. However,
discussions for technical guidance are encouraged. For delegated projects, FHWA will
verify compliance with federal regulations with annual program and process reviews.
5-308B (1) Federal Highway Administration Involvement Requirements—Major
Change Orders
There are several events that may make FHWA involvement necessary. The FHWA
transportation engineer is contacted sufficiently in advance of the project event deemed
necessary to allow participation. In all other cases, contact the FHWA transportation
engineer as soon as practical to ensure federal concurrence and participation.
FHWA involvement is required for any of the following major change orders:
• Changes to federal environmental requirements:
1. Environmental Mitigation. Refer to the Mitigation Monitoring Reporting
Record, if available.
2. Permit conditions.
3. Agreements with federal resource agencies.
Example: Revising sound walls – height, length, location, adding auxiliary lanes,
and disturbing a site on or eligible for the National Register of Historic
Places.
• Introduction of new social, environmental, or economic issues that need to be
addressed under applicable federal laws.
• Changes for mandatory disposal or borrow sites; Cost Effectiveness/Public Interest
Finding and National Environmental Policy Act clearance may be needed.
• Waivers to Buy America requirements, above the minimal amount that is allowed
in Section 3-604, “Buy America,” of this manual and the project special
provisions.
• Expansion of project limits beyond the limits set in the environmental document.
5-308C All Federally Funded Projects
For each example listed in Sections 5-308A (1), “Federal Highway Administration
Approval Requirements–Major Change Orders,” and 5-308A (2), “Federal Highway
Administration Approval Requirements–Minor Change Orders,” of this manual, the
resident engineer contacts the FHWA transportation engineer and provides documents
as necessary. In addition to the major change orders listed above for PODI and
delegated projects, there are several other issues or events that may invoke the
involvement of the FHWA. Refer to Section 5-007 “Federal Highway Administration
Involvement in Contract Administration,” of this manual.
For PODI, the FHWA transportation engineer should indicate concurrence on Form
CEM-4903, “Change Order Memorandum,” by signature in the appropriate box in the
“Concurred By” section of the form or by providing signature on an FHWA

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5-3.24 Change Orders
concurrence form. In the “Federal Participation” section, check the appropriate box and
provide an explanation when required:
• Participating: Full federal participation.
• Participating in Part: Partial federal participation; provide explanation for this
decision.
• None: No federal participation provided; not a federally funded project.
• Nonparticipating (Maintenance): Project Funded by Caltrans Maintenance; no
federal participation provided.
• Nonparticipating: FHWA will not participate in the change order; provide
explanation for this decision.
5-309 Federal Segregation Determination on Change Orders 5-309
The resident engineer is responsible for managing project construction costs within the Federal
current construction allotment. Funds for a project may come from more than one Segregation
source, such as from state highway funds, local funds, and federal funds. For a change Determination on
order, the resident engineer must identify and segregate the funds required from each Change Orders
source. Show the proper distribution of change order funding on Form CEM-4903,
“Change Order Memorandum.” For more information on project funding, refer to
Section 5-2, “Funds,” of this manual.
At the beginning of the project, the resident engineer should receive the federal detail
estimate with an estimate for each category of funds and the applicable limits of federal
eligibility. If you do not receive this detail estimate, contact the project manager. In
some cases the FHWA transportation engineer has a color-coded plan title sheet for
more complex multiple-funded projects.
Funding sources for a change order may be different from the funding sources
indicated in the detail estimate for a particular project. If the change order funding
percentages are the same as the detail estimate, simply mark the “Change Order
Funded Per Contract” in the “Federal Segregation” section on Form CEM-4903.
A change order may not be eligible for participation from one or more of the funding
sources, depending upon the location and the work to be performed. In this case, mark
the “Change Order Funded as Follows” box and indicate the percentage of each
funding source’s participation in the appropriate box. If this box is left blank or is
incorrect, Caltrans may lose federal funds that should have been secured on this
project. For additional information on nonparticipating cost items refer to Change
Order Information at:
http://www.dot.ca.gov/construction/index.html
For example, a change order written for a project funded from both federal and other
sources may not be eligible for federal participation. In this case, the cost of the change
order must be distributed between the other funding sources. In the box in the lower
right-hand corner of Form CEM-4903, show the percentage of participation by each
funding source.
5-310 Locally Funded State Highway Projects 5-310
Generally, participation will be based on Caltrans’ original agreement with the Locally-Funded
contributing agency. State Highway
Projects

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Change Orders 5-3.25
 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 project’s unit) to have the agreement modified.
In the margin of the headquarters and district copies of change orders covering the
work, obtain the signature of an authorized representative of the affected agency.
Include in the change order memorandum sufficient information to identify the portion
of the work that is applicable to the contributing agency. As soon as the change order
and memorandum are approved, send the Division of Accounting, Accounts
Receivable and Program Accounting sections a copy.

5-311 5-311 Change Order Approval Process

Change Order Caltrans must approve a change order, and whenever possible, the contractor should
Approval Process sign it. When the contractor signs a change order, it is referred to as “executed.” If the
contractor declines to sign the change order, then Caltrans may, in some cases, approve
it unilaterally.
So that the contractor will execute the change order, make every effort possible to
reach agreement. However, do not delay the work by waiting for the contractor to
respond. If necessary, submit the change order for unilateral approval. Receipt by the
contractor of an approved change order establishes a time for protest.
When the contractor does not agree with the method or amount of the payment and
time adjustment, the resident engineer processes the change order using extra work at
force account.
If the contractor disagrees with extra work at unit price, extra work at lump sum, or
increase in contract items with a payment adjustment, the resident engineer writes the
change order using extra work at force account. If the contractor declines to accept the
change order within 7 working days, draft and process it unilaterally.
If the contractor agrees with the extra work unit of measurement and method of
payment but disagrees with the effect on time proposed by the resident engineer,
execute the change order using deferred time. Close out deferred time change orders
within 21 working days of the completed change order work.
If the change order is not protested within the specified time, it is considered an
executed change order. Refer to Section 5-1.06, “Protests,” of the Standard
Specifications and Section 3-403, “Changes and Extra Work,” of this manual.
You may routinely submit for approval without the contractor’s signature any
supplemental change orders written solely to increase force account funds. However,
should the extent or type of work covered in the supplemental change order differ from
that included in the original, consider writing a separate change order instead of a
supplemental change order. If it is decided to write a supplemental change order,
submit it to the contractor for acceptance.
On sensitive or complex change orders, districts are encouraged to submit a draft copy
to the Division of Construction for review and recommendation before preparing the
final version of the change order. In following this practice, however, discuss the work
with the contractor in the usual manner.
Before issuance of the proposed final estimate, resolving entitlement for potential
claims is delegated according to Table 5-4.2, “Delegation of Authority,” of this
manual.

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5-3.26 Change Orders
5-311A Division of Construction Approval
District construction personnel may approve all change orders, except those requiring
Division of Construction approval. Division of Construction approval is required on
the following types of change orders:
• Any change order that has a total absolute value exceeding $200,000.
Example:
A change order containing a $50,000 decrease of items, a $20,000 increase of
items, and $150,000 of extra work at force account would require Division of
Construction approval:
|-$50,000| + |$20,000| + |$150,000| = |$220,000|
• Any change order that increases the cost of anticipated supplemental work listed in
the detail estimate by more than $200,000.
• Once any of the above cost thresholds is reached, each associated supplemental
change order will also require Division of Construction approval.
• Any change in the following:
1. Method of payment
2. Method of materials processing
3. Type or quality of materials to be furnished, excluding those for minor
changes to building facilities contracts
4. Proprietary material for which specific or blanket approval has not been
previously received
5. Specifications, except as follows:
a. “Lane Requirements and Hours of Work” charts
b. Addition of approved standard special provisions
c. Any editing of an approved standard special provision, in accordance with
its instructions.
• Any change resulting in a time adjustment of more than 19 working days or 10
percent of original working days, whichever is greater.
• Any change order that compensates the contractor for field or home office
overhead costs as the result of a final audit report issued by Division of Audits and
Investigations.
Before the contractor is allowed to commence work included in a nondelegated change
order, the Division of Construction must approve the change order or grant prior
authorization to proceed with the associated work.
5-311A (1) Change Order Determinations
The Division of Construction sometimes receives requests from the districts to review
and approve change orders that contradict policy, delegation, and change order
approval criteria. These requests are sometimes received after the district has approved
the change order and the contractor has performed the work or the contract has been
accepted. In each situation, the Division of Construction change order engineer issues a
review determination. Additional criteria include:

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Change Orders 5-3.27
 1. Change order work started without the Division of Construction’s authorization to
proceed.
2. Change order not initiated by the district before the work has been completed.
3. Deferred time change orders not processed in a timely manner.
The Division of Construction will track these change orders and report performance to
the Division of Construction chief. This information may be used to re-evaluate the
appropriate level of change order delegation of authority to the district.
These change orders are divided into two categories: “ratify post performance” and
“unauthorized direction,” and are shown in Table 5-3.5, “Division of Construction’s
Change Order Direction.” This table explains scope and subsequent actions for change
orders that require Division of Construction approval. This direction is communicated
in a written Division of Construction telecopy addressed to the district change order
desk: [email protected].

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5-3.28 Change Orders
 Table 5-3.5. Division of Construction’s Change Order Direction

Direction Direction Scope District Action

Division of Construction authorization to
proceed required for change order work Authorize the change order work in writing in
authorized prior to full execution of the accordance with Standard Specifications Section
change order. This written work 4-1.05, “Changes and Extra Work.” Prepare
To Proceed
authorization by the engineer is to be change order and obtain Division of Construction
with the Work
used only in an extenuating circumstance issue and approve direction within 7 working
exception basis. The authorization is days. Execute the change order as soon as
complete and satisfactorily prepared by possible; no later than 21 working days.
the district.
Approve the change order in accordance with
Division of Construction approval granted
Division of Construction direction including any
To Issue and on the basis of a satisfactorily prepared
required minor revisions or conditions
Approve change order and change order
designated by the Division of Construction
transmittal memorandum.
telecopy.
Revise the change order in accordance with the
Division of Construction telecopy. Submit for
To Revise -
Changes are required before Division of reconsideration or elevate the issue for
Not
Construction approval will be granted. resolution to the district construction division
Authorized
chief and the assistant Division of Construction
chief.
Division of Construction approval for this
To Process in change order is not required. Authority to
Approve the change order in the district.
the District approve the change order has been
delegated to the district.
District administration of the change order
Review internal change order procedures and
Ratify Post committed the Division of Construction to
implement measures to assure future
Performance a course of action without required
transgressions are prevented.
approvals.
Collect the requested information and transmit it
Additional information is required for the
Request for to the Division of Construction. The district may
Division of Construction to evaluate the
Information elect to revise the change order and resubmit it
change order.
when the additional information is provided.
Changes that are authorized or executed
by the district outside their delegated
Void authority and that are fatally flawed; Void the change order.
including provisions that violate state law
or federal law.
Division of Construction originated and
Change
approved a change order without district Process the change order by entering it in the
Order
involvement. Often used to expedite contract administration system (CAS) and
Approved in
arbitration or other payments to the flagging the change order for payment.
Headquarters
contractor.
The district exercised authority outside of
policy or delegation. The change order
contradicts policy, delegation, or approval
Review internal change order procedures and
criteria. The contractor may have
Unauthorized implement measures to ensure future
performed the work without authorization
transgressions are prevented
to proceed. The district may not have
initiated the change order before the work
was completed.
Division of Construction approval is not granted.
Category used for all situations that
Other District complies with instructions provided by
cannot be classified above.
the Division of Construction telecopy.

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Change Orders 5-3.29
 5-311B District Approval Limitations
Districts may not delegate below the level of construction manager the “Approval
Recommended” signatures on Division of Construction-approved change orders.
Only a district construction deputy director may approve change orders for value
engineering change proposals. Approval authority is determined by considering each
element of the value engineering change proposal in the context of the delegation
criteria listed above. Project engineer concurrence for all revisions of standard or
project specific design elements is required prior to approving change orders to
implement all value engineering change proposals.
District approval of the following types of change orders may not be delegated below
the level of a region construction division chief or district construction deputy director:
• Project limit modifications
• Acceleration of the contract work through a decrease of contract time
• Order of work revisions
• Revision of the contract staging requirements
District approval of the following types of change orders may not be delegated below
the level of construction manager:
• Those that include deferred time
• “Lane Requirements and Hours of Work” charts
• Addition of approved standard special provisions
• Any editing of an approved standard special provision, in accordance with its
instructions
District approval of other types of change orders may not be delegated below the level
of senior-level resident engineer or construction engineer. Within this delegation,
senior-level resident engineers or construction engineers may be given written
authority to approve change orders that increase the contract cost or approved
supplemental work by up to $50,000.
5-311C Prior Authorization to Proceed
A “prior authorization to proceed” with change order work should be issued only on an
exception basis due to extenuating circumstances.
Whoever holds change order delegated authority as stated in this section must
recommend approval for all change orders requiring prior authorization to proceed.
In addition to writing and dating the prior authorization to proceed, the engineer must
include the following information:
• Change order number reserved for the work
• Estimated value of the work
• Proposed method of payment
• Estimated duration of the work
• Estimated contract time adjustment needed to perform the work
• Estimated time required to execute the associated change order

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5-3.30 Change Orders
Document in the resident engineer’s daily report the date, time, and name of the
division change order engineer or whoever holds the district delegated authority who
provided advance approval to issue the prior authorization to proceed. The change
order that received the prior authorization to proceed should be submitted to the
contractor for approval within 7 working days of the date of the prior authorization to
proceed. If the contractor does not execute the change order within an additional 7
working days, a unilateral change order must be processed within 21 working days of
the prior authorization to proceed.
The district should have procedures for prior authorization to proceed actions in
accordance with this section. The district procedures should clearly designate the roles
and responsibilities of the staff involved in preparing and approving change orders.
5-312 Substantiation 5-312
Each change order must be carefully considered, analyzed, and documented in the Substantiation
project records. For things to consider when preparing to write a change order, refer to
Section 5-305, “Preliminary Considerations,” of this manual.
5-312A Engineering Analysis
Conduct an engineering analysis for each change to the contract plans and
specifications. Consider the impact of each change on the entire project and related
facilities.
Change orders must meet all engineering and design standards unless a design
exception is approved by the Division of Design. The project engineer who stamped
the project plans is the engineer of record for the project and must concur with all
engineered changes.
5-312B Contractual Analysis
Determine the contractual basis and authority to issue each change order. Include this
information in the transmittal memorandum and change order. Use Figure 5-3.1,
“Change Order Decision-Making Concept Flowchart,” at the end of this section, to
assist you in this determination.
5-312C Cost Analysis
Prepare an independent force account or bid item cost analysis for comparison with the
contractor’s estimated cost. Accept the contractor’s estimated cost only if it is justified
by this analysis. Do not include costs for disputed work. Include subcontractor
markups in the cost estimate when a subcontractor will be performing extra work paid
for by unit price, payment adjustment, or lump sum. For subcontractor markup
guidelines, refer to Section 3-9, “Payment,” of this manual.
File in the project records any calculations made to determine extra work at unit price,
payment adjustment, or lump sum. These calculations substantiate and justify the
amount paid for extra work and are therefore subject to audit. Either show these
calculations in the change order memorandum or include a statement that the
calculations are on file in the project records.
5-312D Time Impact Analysis
A time impact analysis (TIA) illustrates the impact of each change on the scheduled
completion date or an internal milestone. The contractor submits a written TIA to the
resident engineer with each time adjustment request. Review the TIA for logic and

California Department of Transportation  Construction Manual  July 2017

Change Orders 5-3.31
 duration impacts to determine the time adjustment or construct an independent TIA to
determine the time adjustment. Refer to Section 8-1.02D (8), “Time Impact Analysis,”
of the Standard Specifications for more information regarding TIA submittals. For an
example of a TIA reference on a Change Order Memorandum, refer to the example
“Compensation for Critical Delay (Payment Adjustment)” at:
http://www.dot.ca.gov/construction/change-order/examples.html

5-313 5-313 Executed Change Order Copy Distribution

Executed Change For all contracts, one copy of each executed authorization to proceed, change order,
Order Copy and corresponding memorandum is electronically scanned and transmitted to the
Distribution Division of Construction file server.
Combine each executed authorization to proceed or change order and change order
memorandum for each contract change, supplemental change, and authorization to
proceed into a single Adobe Acrobat file using the following filename convention:
Contract No. CCO No. or ATP No. Supplemental No. Approval Date
Examples:
04-012024 ATP 002 S00 11-20-06.pdf
04-012024 CCO 002 S02 11-27-06.pdf
Transmit the file directly to the Division of Construction file server using the
centralized access provided to each district. Transmit approved change orders at least
once a month.
Send an email notification to the change order engineer upon transfer of any
information to the Division of Construction file server.
The Desk Guide for the Electronic Distribution of Approved Contract Change Orders
to assist districts with this process is available on Division of Construction’s intranet
website:
http://construction.onramp.dot.ca.gov/contract-administration/change-orders
For PODI, districts are delegated authority to send one copy of each approved change
order and corresponding change order memorandum directly to the FHWA field
operations engineer delegated to the district or program administering the contract. The
method of document transfer to the FHWA field operations engineer will be negotiated
between the district and the FHWA field operations engineer on a case-by-case basis.
The FHWA field operations engineer:
• May issue a determination of funding ineligibility or modify the level of funding
participation for any reviewed change order.
• Will communicate all funding eligibility findings by stamping the change order
and returning it to the district.
• Will notify districts of all changes in federal participation prior to issuance of a
final voucher.
Districts are responsible for updating CAS for federal participation information on
change orders.

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5-3.32 Change Orders
5-314 Value Engineering Change Proposals 5-314
For procedures for a value engineering change proposal, refer to Section 3-5, “Control Value Engineering
of Work,” of this manual. Change Proposals
Prepare value engineering change proposal change orders as a complete package, with
no deferred time or deferred cost considerations.
Give careful attention to the clauses in the change order covering payment. Value
engineering change proposal change orders may involve any combination of bid item
work, payment adjustments, and extra work at agreed price.
Prices for bid items might not represent the costs of doing either the planned or
changed work as computed on a force account basis. In this case, in addition to
increases and decreases at contract prices, include payment adjustments to reflect the
actual force account cost of increases and decreases in bid item quantities. Also, in the
analysis of cost savings, consider adjustments based on a 25 percent overrun or
underrun.
Value engineering change proposal change orders must include a payment adjustment
that returns either 50 or 60 percent of the savings to the contractor. Determine the
adjustment in the following manner:
• Determine the total decrease in construction cost. This decrease will be the sum of
increases and decreases in bid items at bid item unit prices, payment adjustments
including work-character change adjustments, and extra work at agreed price.
• Provide for a payment adjustment to pay the contractor either 50 or 60 percent of
the total decrease as allowed by the specifications.

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Change Orders 5-3.33
 Figure 5-3.1. Change Order Decision-Making Concept Flowchart

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5-3.34 Change Orders
Chapter 5 Contract Administration

Section 4 Disputes
5-401 General
5-402 Disputes and Claims Prevention
5-403 Requests for Information and Potential Claim Records
5-403A Requests for Information
5-403B Potential Claim Records
5-403C Documentation
5-404 Alternative Dispute Resolution
5-405 Claims
5-406 Claims Resolution Process
5-406A Issue Proposed Final Estimate—Target Day 40
5-406B Proposed Final Estimate Returned—Target Day 70
5-406C Preliminary Construction Claim Findings Completed—Target Day 110
5-406D District Construction Review of Preliminary Construction Claim Findings Completed—
Target Day 130
5-406E Board of Review Meeting—Target Day 160
5-406E (1) Board of Review Secretary
5-406E (2) Board of Review Member Selection
5-406E (3) Board of Review Operation
5-406E (4) Board of Review Settlements
5-406F Board of Review Report Completed—Target Day 200
5-406G Construction Claim Findings and Draft District Director Determination of Claims
Completed—Target Day 220
5-406H District Director Determination of Claims—Target Day 230
5-406I Minor B Contracts
5-406I (1) Contract Accepted—Target Day 0
5-406I (2) Claim and Invoice Submission—Target Day 30
5-406I (3) Additional Information Received—Target Day 45
5-406I (4) Preliminary Determination of Claims—Target Day 50
5-406I (5) Presentation of Unresolved Claims—Target Day 80
5-406I (6) Final Determination of Claims—Target Day 85
5-406I (7) Department of General Services, Government Claims Program and Superior
Court
5-407 Claim Settlements
5-407A Claim Settlement Process
5-407A (1) Claim Settlement Request Memorandum

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Disputes 5-4.i
 5-407A (2) Claim Settlement Agreement
5-407B Contract Time Settlements
5-408 Claim Payments
5-409 Overhead Claims
5-409A Home Office Overhead
5-409B Field Office Overhead
5-409C Contractor Submitted Audits
5-410 Audits
5-410A Audit Request Procedure
5-410B Construction Response to Audit Reports
5-411 Arbitration
5-412 Preliminary Construction Claim Findings and Category 62 Preparation
and Guidelines
5-412A Preliminary Construction Claim Findings Format
5-413 Board of Review Report Preparation and Guidelines
5-413A Format
5-413A (1) Introduction
5-413A (2) Items That Are Common to All Claims
5-413A (3) Summary of Resolved Claims
5-413A (4) Individual Claim Information
5-413A (5) General Description of the Claim
5-413A (6) Contractor’s Position
5-413A (7) District’s Position
5-413A (8) Comments of the Board
5-413A (9) Findings of the Board
5-414 Construction Claim Findings Preparation and Guidelines
5-414A Format
5-414A (1) Title Page
5-414A (2) Table of Contents
5-414A (3) Project Chronology
5-414A (4) General Information
5-414A (5) Summary of Claims
5-414A (6) Claim Categories
5-414A (7) Claim Number, Title, and Claim Amount
5-414A (8) Description of the Claim
5-414A (9) Contractor’s Position
5-414A (10) District’s Position
5-414A (11) Findings and Recommendations
5-414A (12) Tabular Reference to Supporting Information

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5-4.ii Disputes
 5-414A (13) Summary of Resolved Claims in Tabular Format for All Claims
5-414A (14) Deputy District Director of Construction Signature Block
5-414A (15) Exhibits
5-414B Helpful Hints
5-414C Things to Avoid
5-415 District Director Determination of Claims Preparation and Guidelines
5-416 Copy Distribution of Claim Documents
Table 5-4.1 Required Post Acceptance Event Codes and Dates
Table 5-4.2 Delegation of Authority

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Disputes 5-4.iii
Chapter 5 Contract Administration

Section 4 Disputes Section 4

Disputes
5-401 General 5-401
The objective of this section is to provide guidance to the contract administrative team General
to ensure that requests for information, protests, contract disputes, potential claims, and
claims are addressed and resolved expeditiously and consistently. The contract
administrative team includes the resident engineer, the construction engineer, and other
Caltrans personnel with the responsibility to analyze and resolve disputes.
The resident engineer, with the support of the contract administrative team, administers
the dispute resolution process. Subject matter experts are consulted to aid in the
evaluation of the technical aspects of a dispute.
Contractors submit requests for information to the resident engineer when there is
discrepancy or confusion in the contract, to ask for a time extension, or to protest the
resident engineer’s decision. The resident engineer responds to the request within the
specified time. This may lead to a contract dispute when the contractor does not agree
with the response.
A contract dispute is a disagreement between the contractor and Caltrans over the
interpretation of plans, specifications, bid proposals, material handouts, and other
documents. When this occurs, the contractor provides notice of the dispute using the
three-part Potential Claim Record process. The resident engineer acknowledges receipt
of the dispute and begins the process of analyzing and resolving it. Try to resolve
disputes as early as possible, in accordance with the contract, and at the lowest
responsible level. Determine the relevant facts and responsibilities. Compensate the
contractor where merit exists, even in part, and deny compensation with clear reasons
when no merit exists.
Take this action within your authority as described in Section 5-311, “Change Order
Approval Process,” and Table 5-4.2, “Delegation of Authority,” of this manual.
If you lack the authority to resolve the dispute, discuss the issue with the rest of the
contract administrative team and the Division of Construction field coordinator.
Promptly issue and obtain approval of a change order for the portions of the dispute
that have merit.
Disputes that have not been resolved prior to issuing the proposed final estimate may
become claims if the contractor lists them in their exception to the proposed final
estimate. Caltrans has 240 days from contract acceptance to review the contractor’s
claims and issue its final determination of claims. The contractor can initiate arbitration
by filing a complaint with the Office of Administrative Hearings within 90 days of the
receipt of the district director determination of claims letter or 240 days after contract
acceptance if no district director determination of claims letter was issued. Caltrans
Legal Division is the lead for defending Caltrans in arbitration. The districts and the
Division of Construction support the Legal Division in arbitration proceedings. Refer
to Section 5-411, “Arbitration” of this manual for additional information.
Provisions for contract claims are incorporated into Minor B contracts based on the

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Disputes 5-4.1
 California Government Code. Resident engineers must follow Section 5-406I, “Minor
B Contracts,” of this manual, when resolving disputes on Minor B contracts.

5-402 5-402 Disputes and Claims Prevention

Disputes and Claims There are many things that the contract administrative team can do to minimize the
Prevention number and size of disputes and claims. Be proactive, professionally communicate
with the contractor, and properly administer the contract. Partner with the contractor,
within the confines of the contract, and maintain a respectful relationship through
completion of the project. Be knowledgeable about the contract documents, policies,
procedures, and federal and state laws applicable to the proper administration of the
contract. Knowing the contractual responsibilities of each party will help in the timely
resolution of the dispute.
Take the following actions to minimize claims:
• Partner with the contractor.
• Expeditiously investigate the situation.
• Consider the facts.
• Define the critical issues.
• Review the appropriate contract specifications.
• Communicate your position as soon as possible.
• Work within the contractual constraints.
• Document resolution and elevate, if appropriate.
5-403 5-403 Requests for Information and Potential Claim Records
Requests for The contractor can ask questions and make requests for additional compensation.
Information and Sections 5-1.42, “Requests for Information,” and 5-1.43, “Potential Claims and
Potential Claim Dispute Resolution,” of the Standard Specifications include provisions and
Records requirements for the contractor and the resident engineer to follow to document the
request and move toward resolution should a dispute arise. The contract administrative
team needs to respond without delay to the contractor’s requests. Timeframes for the
responses are included in these sections.
Requests for information must be submitted by the contractor to the resident engineer
during the course of the project and up to receiving the proposed final estimate. The
response may lead to a dispute if the contractor protests the response. Section 5-1.43,
“Potential Claims and Dispute Resolution,” of the Standard Specifications outlines the
three-part potential claim record process, which includes an initial potential claim
record, a supplemental potential claim record, and a full and final potential claim
record. Note the date and time these documents were received and the name of the
person who received them.
Disputes become claims when the contractor lists them as exceptions to the proposed
final estimate.
5-403A Requests for Information
The contractor submits a request for information upon recognition of any event or
question of fact arising under the contract in accordance with Section 5-1.42, “Requests
for Information,” of the Standard Specifications. Respond to requests for information
within the time specified.

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5-4.2 Disputes
Make every effort to provide a complete response to the contractor’s request. If it is
unclear about what is being requested, ask the contractor to clarify the request. If more
information is needed from the contractor, be specific about what is needed, ask them
to provide it, and let them know that you cannot respond until it is received. Notify the
contractor when unable to provide an answer because more information is forthcoming
from other sources. Provide a date when the information will be available. For
additional information, refer to Section 3-521, “Requests for Information and Potential
Claim Records,” of this manual.
5-403B Potential Claim Records
Section 5-1.43A, “Potential Claims and Dispute Resolution—General,” of the
Standard Specifications outlines the three-part potential claim record procedure and
informs the contractor that failure to comply with it is a waiver of the potential claim, a
waiver of the right to a corresponding claim for the disputed work in the administrative
claims process, and is a bar to arbitration.
A unique identification number must be assigned to each potential claim and the nature
and circumstances of the potential claim must not change throughout the submittal of
all three potential claim record components:
• Initial Potential Claim Record
• Supplemental Potential Claim Record
• Full and Final Potential Claim Record
Make sure that the contractor is aware of and complies with the contractual
responsibility to minimize and mitigate the effects of potentially claimed work or
events.
5-403C Documentation
Place copies of all documents related to every dispute on the project in Category 62,
“Disputes,” of the project records. This information provides the basis for preparing
position papers in the alternative dispute resolution process and preliminary
construction claim findings. Follow the procedures outlined in Section 5-102,
“Organization of Project Documents,” of this manual for documenting claims. Refer to
Section 3-521D, “Documentation Guidelines for Disputes,” of this manual for more
information.
5-404 Alternative Dispute Resolution 5-404
The purpose of the alternative dispute resolution process is to provide a means for Alternative Dispute
Caltrans and the contractor to resolve project disputes at the project level with the help Resolution
of a neutral party who has no financial interest in the outcome of the dispute. The
alternative dispute resolution process is not allowed for disputes solely between the
contractor and a subcontractor because these disputes are outside of the scope of the
contract that Caltrans has with the contractor. Additionally, the alternative dispute
resolution process is not allowed for overhead-type disputes. Refer to Section 5-409,
“Overhead Claims,” of this manual for information regarding overhead-type disputes.
The contractor is required to use alternative dispute resolution in order to pursue a
claim. Dispute resolution ladder (DRL), dispute resolution advisor (DRA), dispute
resolution board (DRB), and partnering are different types of alternative dispute
resolution processes available. Refer to Section 3-522, “Alternative Dispute Resolution
Processes,” of this manual for more information.

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Disputes 5-4.3
 5-405 5-405 Claims
Claims The contractor submits a written claim statement for each unresolved potential claim
record, administrative issue, and overhead adjustment by listing them as exceptions to
the proposed final estimate as described in Section 9-1.17D, “Final Payment and
Claims,” of the Standard Specifications.
All claims included in the exceptions to the proposed final estimate should be
considered. Exceptions to the proposed final estimate that were not previously
submitted in accordance with Section 5-1.43, “Potential Claims and Dispute
Resolution,” of the Standard Specifications are considered new claims. Exceptions for
administrative or overhead claims are not considered new claims. Overhead claims are
addressed in Section 9-1.07D(2)(b), “Overhead Claims,” of the Standard
Specifications. Refer to Section 5-409, “Overhead Claims,” of this manual for
information regarding overhead-type disputes.
Analyze the merit of new claims and document the claims as outlined in Section
3-521D, “Documentation Guidelines for Disputes,” of this manual. Include the analysis
in the preliminary construction claims findings.
5-406 5-406 Claims Resolution Process
Claims Resolution The following claims processing milestones were established to ensure that the claims
Process process is completed within the statutory requirement of 240 days after contract
acceptance. The number of days is calculated from the date of contract acceptance.
Districts are responsible for populating and updating the Division of Construction’s
claims database with the actual milestone dates to ensure that milestones, events, and
dates, are current and correct. Refer to Table 5-4.1, “Required Post Acceptance Event
Codes and Dates,” of this manual. Project claims information should be updated by the
15th of each month to maintain reliability of the data.
5-406A Issue Proposed Final Estimate—Target Day 40
The resident engineer issues 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.
Do not postpone issuing the final estimate to await additional information from the
contractor. Ensure that all quantity calculations and adjustments are completed in time
to process the proposed final estimate within the target date. Send the proposed final
estimate by certified mail with return receipt requested.
5-406B 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.
Process the final estimate when the contractor returns the proposed final estimate
indicating acceptance, or when the contractor does not return the proposed final
estimate within the required 30-day period.
When the contractor returns the proposed final estimate with a written statement of
claims within the 30-day period, district construction sends a copy of the contractor’s
claim package to the resident engineer, construction engineer, and district construction
claims engineer.

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5-4.4 Disputes
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.
5-406C Preliminary Construction Claim Findings Completed—Target Day 110
By target day 110, the resident engineer completes the preliminary construction claim
findings. These include a compilation of the existing information and documents that
are filed in Category 62, “Disputes,” of the contract records. The construction engineer
sends the preliminary construction claim findings to the deputy district director of
construction. Refer to Section 5-412, “Preliminary Construction Claim Findings and
Category 62 Preparation and Guidelines,” of this manual for detailed format, content,
and suggestions in preparing this document.
Review the contractor’s statement of claims for conformance with procedural
requirements. This review ensures that each claim is a continuation of a previously
submitted potential claim. Overhead claims or administrative disputes that occur after
issuance of the proposed final estimate do not need to be a continuation of a previously
submitted potential claim. Document the contractor’s failure to comply with the
potential claim process and file the detailed findings in Category 62, “Disputes” of the
project records. Summarize them in the preliminary construction claim findings for
each claim. The detailed findings may include, but are not limited to:
• Failure to provide a statement of claims within the 30-day time period.
• Failure to provide the identification number corresponding to the supporting full
and final documentation of the potential claim record and the final amount of
requested additional compensation.
• Failure to provide documentation in support of the final amount of the claim if
different from that stated in the full and final potential claim record.
If the contractor submits a claim without the corresponding identification number, or if
there is a disparity in the identification number, notify the contractor of the omission or
disparity. The contractor has 15 days after receiving the notification to correct the
omission or disparity. Assign an identification number if the contractor fails to correct
the omission or disparity.
If the 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:
• Contract item quantity payments
• Changed quantity payment adjustments
• Administrative deductions and withholds
• Payments for extra work
• Resolution of disputed labor, equipment, and materials
If administrative claims have merit, payment is made through item payments, change
orders, or by releasing withholdings. Accompany payment of these types of claims
with a letter stating that the payment resolves the respective claim in its entirety. If the
contractor does not accept the payment as full resolution, refer to Section 5-408,
“Claim Payments,” of this manual, for more information. The results of the attempted

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Disputes 5-4.5
 resolution of these administrative disputes must be sent to the district construction
claims engineer by day 200 for incorporation into the construction claim findings.
If the statement of claims includes claims for overhead, such as field or home office,
and cost escalation associated with delays caused by Caltrans, these claims must be
supported with an audit by an independent certified public accountant (CPA). Send
these types of claims to the deputy district director of construction as part of the
preliminary construction claim findings. The Division of Audits and Investigations
may review the audit. For additional details, refer to Section 5-409, “Overhead
Claims,” of this manual.
5-406D District Construction Review of Preliminary Construction Claim Findings
Completed—Target Day 130
The deputy district director of construction, or delegated authority, completes the
review of the preliminary construction claim findings and segregates the claims into the
following three categories:
• Claims with entitlement
• Claims to refer to a board of review
• Claims of an administrative nature
The district construction claims engineer finalizes the preliminary construction claim
findings and authorizes payment for claims with entitlement.
By day 130, the deputy district director of construction reviews the preliminary
construction claims findings and uses this information to prepare the “Review of
Claims by Deputy District Director of Construction” notification letter. This notifies
the contractor which claims are resolved, claims that are of an administrative nature
returned to the resident engineer for further review, and which claims will or will not
be heard at a board of review meeting. Refer to the example “Review of Claims by
Deputy District Director of Construction Notification Letter” at:
http://www.dot.ca.gov/construction/claims/bor-examples.html
5-406E Board of Review Meeting—Target Day 160
The board of review convenes when the deputy district director of construction or a
delegated authority decides that certain claims may warrant further analysis by a board
of review. The target date to hold a board of review meeting is 160 calendar days after
contract acceptance. The board of review secretary must notify the contractor of the
date, time, and the location of the board of review meeting as soon as the board
members have been selected and all the necessary arrangements have been made. In
the “Board of Review” notification letter, state that both the contractor and Caltrans
will be allowed to make only oral presentations in support of their previously submitted
written information and that no additional written information will be accepted by the
board of review. Refer to the example “Board of Review Notification Letter” at:
http://www.dot.ca.gov/construction/claims/bor-examples.html
The resident engineer, supported by Caltrans personnel discussed below, is responsible
for preparing and delivering the presentation at the board of review meeting with
support by other Caltrans personnel.
The board of review is an informal meeting allowing the contractor and Caltrans the
opportunity to make presentations in support of previously submitted written

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5-4.6 Disputes
information for claims identified within the board of review notification letter to the
contractor. The board of review listens to the presentations made by the contractor and
Caltrans, and provides objective recommendations in the board of review report. The
board of review report should be issued within 200 days after contract acceptance.
If requested, Caltrans personnel including district and structure personnel involved with
the contract 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.
5-406E (1) Board of Review Secretary
The district assigns a secretary for the board of review. Generally, the district
construction claims engineer serves as the board secretary. Other personnel that have
organizational and writing skills may also serve as board secretary. The secretary must
do the following:
• Arrange the meeting date, time, and location and notify the contractor by certified
mail at least 15 days before the meeting. In the notification letter to the contractor,
request the contractor inform Caltrans of any intentions to have legal
representation at the board of review meeting. If the contractor plans to have legal
representation at the meeting, the district should consider having a legal
representative attend as a legal advisor. A Legal Division representative is present
only to advise and counsel the board on significant legal issues. Contact the
Division of Construction field coordinator for advice on legal representation.
• Notify respective Caltrans staff of the meeting date, time and location, and verify
their attendance.
• Verify the attendance of the contractor, subcontractors, district and structure
personnel involved with the project, and any other Caltrans personnel before the
meeting.
• Ensure board members have copies of the preliminary construction claim findings,
review of claims by deputy district director of construction notification letter,
board of review notification letter, project plans, and special provisions, two weeks
before the meeting.
5-406E (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, but not including $250,000, one or two members
• Total claims of $250,000 to $1,000,000, two members
• Total claims of more than $1,000,000, three members
Exceptions to these guidelines can be made depending on the complexity of claims.
Discuss exceptions to the guidelines with 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.

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Disputes 5-4.7
 • The board of review chairperson should be either the deputy district director of
construction or a delegated manager at a supervising engineer level or above, with
a minimum of 5 years of experience in construction. The chairperson should be
assigned to the district in which the claim originated.
• The other two members of the board of review will either be a supervising
engineer level or above with a minimum of 5 years of construction experience, or a
senior engineer level with a minimum of 8 years of construction experience. The
members may be from 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.
5-406E (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.
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
Section 9-1.17D(3), “Final Determination of Claims,” of the Standard
Specifications, which allows 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 make their presentations, the board may
allow rebuttals by both parties. Attendees must only respond when board members
request a response.
• If the contractor attempts to submit new information regarding a claim, the board
chairperson must inform the contractor that the board does not permit additional
claims or additional information regarding claims.
If the contractor attempts to discuss a claim other than those to be heard by the board as
stated in the “Review of Claims by Deputy District Director of Construction”

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5-4.8 Disputes
notification letter, the board chairperson informs the contractor that the board will not
hear the issue and will not accept any additional information. Refer to the example
“Review of Claims by Deputy District Director of Construction Notification Letter” at:
http://www.dot.ca.gov/construction/claims/bor-examples.html
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 and review of the
claims.
The board of review must make decisions on claims, after reviewing the preliminary
construction claim findings and the information presented by both the contractor and
the district personnel at the board of review meeting. The board secretary compiles the
board of review report under the direction of the board chairperson, with suggestions
from the other board members. For additional details, refer to Section 5-413, “Board of
Review Report Preparation and Guidelines,” of this manual. The board of review
report will contain a determination of claims heard and the board’s conclusions.
If the contractor did not attend a scheduled board of review meeting, the board of
review report will be based on the information contained in the preliminary
construction claim findings. Since the contractor did not attend the meeting, the claims
cannot be filed in arbitration as stated in Section 10240.2, “Administrative Review,” of
the Public Contract Code. If this happens, attach a letter with the district director
determination of claims explaining the situation, referencing the above noted section.
For an example of the letter, refer to the example “District Director Determination of
Claims—Board of Review Held, Not Attended by the Contractor” at:
http://www.dot.ca.gov/construction/claims/bor-examples.html
The board members and other Caltrans personnel involved in the claims resolution
process must review drafts of the board of review report. Once all comments and
corrections have been made, the board secretary will complete the board report and
obtain the signatures of the board of review members. For complex claims with
significant statewide impact, the board members must consult with the Division of
Construction before sending the report to the district director.
5-406E (4) Board of Review Settlements
The board of review may decide that a negotiated settlement of the claims is
appropriate. The board secretary prepares the claim settlement request memorandum.
The board of review chairperson submits the claim settlement request memorandum
directly to the Division of Construction for approval. Upon approval, negotiate
settlement with the contractor in accordance with that approval. For roles,
responsibilities, and information on preparing a claim settlement request memorandum,
refer to Section 5-407A, “Claim Settlement Process,” and Table 5-4.2, “Delegation of
Authority,” of this manual.
5-406F 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 sends the report and the supporting documents to the
district Claims Unit and the district director by target day 200.
5-406G Construction Claim Findings and Draft District Director Determination of
Claims Completed—Target Day 220
The construction claim findings will name each of the contractor’s claims in summary

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Disputes 5-4.9
 form including the items below:
• References to the supporting documents
• Resolution of the administrative claims by the resident engineer
• Analysis of claims that were not heard by a board of review
• Board of review findings
For detailed information on preparing the construction claim findings, refer to Section
5-414, “Construction Claim Findings Preparation and Guidelines,” of this manual.
In addition to preparing the construction claim findings, the district construction claims
engineer prepares a draft district director determination of claims. For detailed
information on preparing the draft district director determination of claims, refer to
Section 5-415, “District Director Determination of Claims Preparation and
Guidelines,” of this manual.
Send the construction claim findings and the draft district director determination of
claims to the deputy district director of construction by day 220.
The deputy district director of construction approves the construction claim findings,
and then sends the findings and the draft determination of claims to the district director
for signature.
Prepare and obtain approval of a change order compensating the contractor for claims
found to have merit based on the construction claim findings. The change order must
state that the payment is for full resolution of the claim specified. Refer to Section 5-3,
“Change Orders,” of this manual for more information.
Run a semifinal estimate to make payment and add any time for approved change
orders.
5-406H District Director Determination of Claims—Target Day 230
The district director determination of claims is the final determination of claims and
completes the claims resolution process. The determination concludes Caltrans’
administrative claims process, triggers preparation of the final estimate, and opens the
contractor’s 90-day arbitration filing window.
The district director reviews and approves the determination of claims. The district
construction claims engineer sends the approved determination of claims to the
contractor within 230 days after contract acceptance. Refer to the example “District
Director Determination of Claims—Major and Minor A Contracts” at:
http://www.dot.ca.gov/construction/claims/bor-examples.html
The district director signs all determinations that deny any portion of the contractor’s
claims. A regional district director may delegate signature authority to deny any portion
of the contractor’s claims to a district director. When all the claims are resolved, the
district director may delegate signature authority for determination letters to the
construction deputy district director who may further delegate this authority to the
construction manager. Refer to the example “Determination Letter to Close Out
Contracts With Completely Resolved Claims” at:
http://www.dot.ca.gov/construction/claims/bor-examples.html
After the district director determination is sent, do not have any further discussion of
claims with the contractor.

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5-4.10 Disputes
District construction processes a final estimate within 30 days of sending the district
director determination of claims. For information on the final estimate, refer to Section
3-907D, “Final Payment and Claims,” of this manual.
Before submitting a request for the final estimate, ensure change order payment has
been made for all claim determinations.
The district must store all project records in accordance with the procedures outlined in
Section 5-104, “Final Construction Project Records,” of this manual.
If the contractor has diligently pursued and exhausted the administrative procedures
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 the contractor files for arbitration and the final determination of claims has not yet
been issued, the district must nevertheless send a final determination of claims letter to
the contractor. The format of the final determination of claims may be similar to the
example “District Director Determination of Claims—Major and Minor A Contracts”
at:
http://www.dot.ca.gov/construction/claims/bor-examples.html
Consult the Division of Construction field coordinator and the designated attorney for
guidance. Send a draft copy of the final determination of claims to the designated
attorney for concurrence. After the designated attorney provides concurrence, the
district director approves the final determination of claims and it is sent to the
contractor. Do not have any further contact or discussion with the contractor
concerning the merit of claims.
Do not try to resolve claims in the time between issuing the district director
determination of claims notification letter and the contractor’s filing for arbitration.
After arbitration is filed, any request for claims settlement is initiated by Caltrans Legal
Division with preparation of a request for arbitration settlement authority
memorandum. Depending on the delegated settlement authority shown in Table 5-4.2,
“Delegation of Authority,” of this manual, the Division of Construction chief or the
deputy director for project delivery approves the requests.
5-406I Minor B Contracts
By law, the contractor has a maximum of 1 year from contract acceptance to file a
claim with the Department of General Services, Government Claims Program for
Minor B contracts. If a contractor submits a potential claim record, alternative dispute
resolution will help resolve disputes and mitigate damages. Use the concepts and levels
of the dispute resolution ladder as described in Section 3-522B, “Dispute Resolution
Ladder,” of this manual to assist the potential claims record process.
5-406I (1) Contract Accepted—Target Day 0
When the contract is accepted, the resident engineer discusses and attempts to resolve
any disputes. This will begin the dispute resolution process at Level 1.
5-406I (2) Claim and Invoice Submission—Target Day 30
Within 30 calendar days following acceptance of the contract, the contractor must
submit a written claim for an unresolved dispute as part of the fully itemized invoice
covering the actual work performed. Process payment to the contractor for the

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Disputes 5-4.11
 undisputed portion of the invoice. Immediately request additional information for the
unresolved claims. When the written claim is received, this ends Level 1 of the dispute
resolution process. Elevate the unresolved claims to the construction engineer,
beginning Level 2. Use Form CEM-6209, “Elevation of a Dispute,” to define the
unresolved claims when elevating to this level.
5-406I (3) Additional Information Received—Target Day 45
When the additional information is received for the unresolved claims, begin
preparation of the preliminary construction claim findings (refer to Section 5-412,
“Preliminary Construction Claim Findings and Category 62 Preparation and
Guidelines” of this manual. Concurrently, the district construction claims engineer
prepares a draft district director determination of claims (refer to Section 5-414,
“Construction Claim Findings Preparation and Guidelines,” of this manual).
5-406I (4) Preliminary Determination of Claims—Target Day 50
If the construction engineer cannot resolve the claims, finalize the construction claims
findings and provide a copy to the contractor; this ends Level 2 of the dispute
resolution process. This will serve as a preliminary determination of claims and notifies
the contractor of the opportunity to present any unresolved claims within 30 days to the
construction manager, or deputy district director of construction depending on the
district’s preference. This begins Level 3 of the dispute resolution process.
5-406I (5) Presentation of Unresolved Claims—Target Day 80
Any unresolved claims are presented, merits of the claims are discussed, and an
attempt is made to resolve the claims by the respective representatives at Level 3.
5-406I (6) Final Determination of Claims—Target Day 85
The final determination of claims is completed by the district claims engineer and
submitted to the deputy district director of construction for approval. The approved
final determination of claims is sent to the contractor by day 85 and ends Level 3 of the
dispute resolution process. The contractor can accept the district’s decision, thereby
ending the process, or continue the process through the Department of General
Services, Government Claims Program or Superior Court, as applicable.
5-406I (7) Department of General Services, Government Claims Program and
Superior Court
The Division of Construction arbitration engineer is responsible for coordinating Minor
B claims with the Legal Division and for updating the database that includes tracking,
monitoring, and reporting on all Minor B claims filed with the Department of General
Services, Government Claims Program, Superior Court, or Division of Construction.
The arbitration engineer is the point of contact regarding the status of and providing
statistics for all Minor B claims filed with Department of General Services,
Government Claims Program, Superior Court, or Division of Construction.
The contractor has 6 months to file a complaint in Superior Court after the Department
of General Services, Government Claims Program or the chief of the Division of
Construction rejects the contractor’s claim. The Legal Division is responsible for
representing Caltrans in court and expects district and headquarters construction staff to
provide assistance upon request.

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5-4.12 Disputes
5-407 Claim Settlements 5-407
A negotiated claim settlement is defined as a compromise of the contract requirements Claim Settlements
to settle a dispute in Caltrans’ best interest. Negotiated settlements of claims may arise
when both Caltrans and the contractor contributed to the disputed issue, and total
responsibility is difficult to attribute to either party. In these situations, district
management, the board of review, or Caltrans Legal Division will explore the
possibility of settlement with the contractor.
All negotiated settlements must be approved by the Division of Construction chief or
the deputy director for Project Delivery. Refer to Table 5-4.2, “Delegation of
Authority,” for the negotiated claim settlement authority and responsible parties.
No claim can be addressed between the district director determination of claims and the
contractor’s filing for arbitration.
5-407A Claim Settlement Process
When considering a decision to settle a claim, analyze Caltrans’ exposure to help
determine potential liability. This will serve as a guide for the settlement. The Division
of Construction field coordinator provides assistance on all settlement analyses and
should be consulted early in the process.
For consideration of settlements before arbitration, the field coordinator engages the
Legal Division. The Legal Division will consult with the district or the board of review
and provide direction for preparing a claim settlement request memorandum. For
consideration of settlements during arbitration, the case attorney prepares this
memorandum for approval.
The claim settlement request memorandum is an internal, confidential document
protected under attorney-client communication privilege and must not be given to the
contractor or included in the project files. The original claim settlement request
memorandum will be kept in the Division of Construction’s confidential files. The
claim settlement request memorandum must be approved before entering into any
negotiations with the contractor.
5-407A (1) Claim Settlement Request Memorandum
The claim settlement request memorandum must include the following items:
• Confidential attorney-client communication clause, “. . . prepared at the direction
of and in consultation with the Legal Division.”
• Project description.
• Chronology.
• Time extension summary.
• Description of claims.
• Summary of claims.
• Entitlement and settlement justification.
• Funding status.
• Consequences of not settling.
Refer to the example “Claim Settlement Request Memorandum” at:
http://www.dot.ca.gov/construction/claims/bor-examples.html

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Disputes 5-4.13
 5-407A (2) Claim Settlement Agreement
A fully executed change order is considered the claim settlement agreement for claims
settled before the district director determination of claims is issued. The change order
must be written in sufficient detail so that it clearly describes the claims being settled,
adjustments in contract time, disposition of liquidated damages, and compensation
amount. Refer to Section 5-3, “Change Orders,” of this manual for standard change
order clauses. The change order memorandum must refer to the approved claim
settlement request memorandum. Do not substitute a change order memorandum for a
claim settlement request memorandum.
During arbitration, the Caltrans case attorney prepares and signs a claim settlement
agreement. Agreement is reached when the opposing counsel signs the document. To
complete the administrative process, the Division of Construction’s arbitration engineer
prepares a unilaterally approved change order for payment.
5-407B Contract Time Settlements
Time adjustments for reasons other than those specifically enumerated in the contract
are considered contract time settlements. Defer contract time settlements until
completion of the contract. Prepare a claim settlement request memorandum and
settlement agreement as described above for contract time settlements. Attach
CEM-2702, “Overrun in Contract Time,” to the memorandum. Do not record these
contract time settlements on the CEM-2701, “Weekly Statement of Working Days.”

5-408 5-408 Claim Payments

Claim Payments If adequate funding is available, make payment immediately when you reach
agreement with the contractor or find entitlement on a claim. Prepare and process a
supplemental funds request if there are insufficient funds for payment.
When a change order is necessary to make payment for disputed work and the
contractor refuses to sign it, issue a unilaterally approved change order in accordance
with Section 4-1.05, “Changes and Extra Work” of the Standard Specifications and
Section 5-3, “Change Orders,” of this manual.
Claim payments are made in accordance with Table 5-4.2, “Delegation of Authority.”
For detailed information on contract payments, refer to Section 3-9, “Payment,” of this
manual.
5-409 5-409 Overhead Claims
Overhead Claims Overhead claims generally fall into two categories: home office overhead and field
office overhead. Overhead claims generally occur when there have been delays to the
completion of the contract. Delays caused by Caltrans to the controlling operation on
contracts with a time-related overhead bid item are compensated through bid item
quantity adjustments to the time related overhead item. Refer to Section 3-905, “Time-
Related Overhead,” of this manual.
All other overhead claims must be supported by an audit. The contractor must provide
the required audit in accordance with Section 9-1.17D(2)(b), “Overhead Claims,” of
the Standard Specifications. Provide a written response regarding Caltrans’
consideration of the overhead claim to the contractor before issuing the proposed final
estimate. If the resident engineer determines that a compensable delay exists, evaluate
the overhead claim through the audit process.

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5-4.14 Disputes
When a claim for overhead expenses is received without an independent CPA audit to
justify the claimed amount, notify the contractor that the submittal is incomplete and
will not be considered until an independent CPA audit report is received. Failure to
comply with the requirements justifies denying the overhead claim.
5-409A Home Office Overhead
Home office overhead, or general and administrative expenses, consists of indirect
costs that are not associated with a specific project but are the costs of general facilities
and administration necessary for the contractor’s performance on all contracts.
5-409B Field Office Overhead
Field office overhead consists of indirect costs that are associated with a specific
project. These costs do not include costs for labor, materials, or equipment used in
performing the work.
5-409C Contractor Submitted Audits
The Division 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.
The Division of Audits and Investigations will perform an audit of contractor
submitted audits if the following conditions exist:
• The deputy district director of construction and the Division of Construction field
coordinator have made a determination that an audit is warranted.
• The contractor has submitted an independent CPA audit report that conforms to
the AICPA Attestation Standards.
• The Division of Construction has received and prioritized the audit request.
• The contractor has fulfilled the provisions of Section 9-1.17D, “Final Payment and
Claims,” of the Standard Specifications.
A systematic review of the contractor’s claim and audit is required to decide if there is
reason to proceed with a detailed analysis of the costs contained within the contractor
submitted audit.
The audit process is initiated by the 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 9-1.17D,
“Final Payment and Claims,” of the Standard Specifications and with those policies
contained within the CPA Audit Desk Guide available at the Division of Construction’s
intranet website. Unallowable expenses including those relating to other businesses of
the contractor must be excluded from the claimed expenses for field office overhead
and home office overhead. For typical unallowable expenses, refer to the Code of
Federal Regulations, Title 48, Section 31.205, “Selected costs.” The independent CPA
audit report may be faxed to the Division of Audits and Investigations for assistance in
these regards. Deny the audit request if the audit report does not comply with Section
9-1.17D, “Final Payment and Claims,” of the Standard Specifications.

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Disputes 5-4.15
 The Division of Construction field coordinator decides if the facts and circumstances
warrant a detailed analysis requiring a state audit review. This determination may
involve significant analysis of many variables including concurrent delays as evidenced
by the Critical Path Method (CPM) schedule and time impact analyses. The Division
of Construction field coordinator will inform the resident engineer to deny the claim
and audit request if there is no justification.
If the audit report complies with Section 9-1.17D, “Final Payment and Claims,” of the
Standard Specifications and the Division of Construction field coordinator decides an
audit request is warranted, draft the audit request memorandum. Refer to Section 5-
410A, “Audit Request Procedure,” of this manual for guidance on requesting an audit.
5-410 5-410 Audits
Audits The Division of Audits and Investigations provides a service to Construction by
performing audits. Their audit services include:
• Reviewing contractor submitted audits for overhead claims.
• Reviewing the contractor’s project files.
• Auditing the contractor’s records.
• Reviewing cost escalation claims.
• Reviewing costs for contract termination.
• Reviewing costs for complicated work-character changes.
• Reviewing costs for complicated item adjustments.
• Reviewing costs for differing site conditions.
5-410A Audit Request Procedure
When it is determined that an audit by the Division of Audits and Investigations is
needed, the deputy district director of construction gets concurrence from the Division
of Construction field coordinator and submits the audit request memorandum to the
Division of Construction. For guidance, refer to the example “Audit Request
Memorandum” at:
http://www.dot.ca.gov/construction/claims/bor-examples.html
The memo must include the following information, as appropriate:
• Contract number
• Contractor name
• District contact person’s name, title, and phone number
• A justification
The justification must explain the reasons the contractor has entitlement on the claims
and the associated costs that a Caltrans audit needs to verify. If appropriate, the
justification must be accompanied by a summary of delay-related claim descriptions, a
chronology of events, and amounts. For a sample summary of delay-related claims,
refer to the examples “Summary of Delay-Related Claims” and “General Contract
Information and Contract Chronology” at:
http://www.dot.ca.gov/construction/claims/bor-examples.html
Upon receipt of the district’s audit request memorandum, the Division of Construction
prioritizes the audit request and sends a memorandum to the audit manager of the

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5-4.16 Disputes
Division of Audits and Investigations, requesting an audit. The policy of the Division
of Audits and Investigations is to complete the audit within 90 days after receiving the
audit request memorandum.
5-410B Construction Response to Audit Reports
The initiator of the request for the audit must provide an acceptable corrective action
plan in response to audit findings and recommendations.
The Division of Construction is responsible for the corrective action plans for force
account audits authorized under Section 5-1.27, “Records,” of the Standard
Specifications. Approval of the district corrective action plans may not be delegated
below the level of district division chief of construction.
A corrective action plan must be submitted to the external audit chief for the Division
of Audits and Investigations.
The district will use the final audit report or draft audit findings to decide if the
contractor is due any payment adjustments. The final audit report is a matter of public
record, and its distribution is not limited.
If compensation is due, the Division of Construction field coordinator will request that
district construction processes a change order for payment in accordance with the
overhead claim administration delegation of authority in Table 5-4.2, “Delegation of
Authority.” Note the name of the person authorizing the change order in the change
order memorandum.
Other delay-related expenses besides overhead, such as escalated materials, equipment,
and labor costs, may be included in the 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.
5-411 Arbitration 5-411
The contractor is entitled by law to file a complaint in arbitration no later than 90 days Arbitration
after receipt of the written district director final determination of its claims. 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 if the district director determination of claims has not been
issued. The arbitration process is initiated by filing a complaint with the Office of
Administrative Hearing.
The Caltrans Legal Division handles all construction contract arbitrations. When a
contractor files for arbitration, all contacts with the contractor regarding the specific
project must go through the designated attorney. The resident engineer, the
construction engineer, and other personnel involved with the contract, must assist in the
arbitration process. This assistance may be in the form of preparing calculations,
performing technical analysis, preparing documents, assisting in the discovery process,

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Disputes 5-4.17
 or providing testimony. Keep project records at one location for ease of discovery by
the Legal Division.
The arbitration payment process is a joint effort involving the Division of Construction,
the Legal Division, the district, the Division of Budgets, and the Division of
Accounting. The Division of Construction arbitration engineer is responsible for
updating the database that includes tracking, monitoring, and reporting all arbitration
cases. The Division of Construction arbitration engineer is the point of contact
regarding status of ongoing arbitration cases, coordinating arbitration payments, and
providing statistics on all arbitration cases.
5-412 5-412 Preliminary Construction Claim Findings and Category 62
Preliminary Preparation and Guidelines
Construction Claim Preparation of the preliminary construction claim findings can be completed quickly by
Findings and incorporating documents contained in Category 62, “Disputes,” of the project records.
Category 62 Complete the preliminary construction claim findings when you receive exceptions to
Preparation and the proposed final estimate from the contractor. Refer to the example “Construction
Guidelines Claim Findings” at:
http://www.dot.ca.gov/construction/claims/bor-examples.html
5-412A Preliminary Construction Claim Findings Format
The preliminary construction claim findings consists of the following sections:
• Title page
• Table of contents
• Project chronology
• General information
• List of claims
• Contractor’s exceptions to the proposed final estimate
• Exhibits obtained from Category 62, “Disputes”
A well-organized Category 62, “Disputes,” of the project records is imperative for
preparing the construction claim findings. Refer to Section 5-102C, “Description of
Categories,” of this manual for more details about the file categories. For each claim,
Category 62 should include:
• Claim checklist, refer to the example “Claim Checklist” at:
http://www.dot.ca.gov/construction/claims/bor-examples.html
• Request for Information (RFI)
• Form CEM-6201D, “Initial Potential Claim Record” and Caltrans’ response
• Form CEM-6201E, “Supplemental Potential Claim Record” and Caltrans’
response
• Form CEM-6201F, “Full and Final Potential Claim Record” and Caltrans’
response
• All correspondence
• District’s position paper for the DRB
• Contractor’s position paper for the DRB
• DRB recommendation

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5-4.18 Disputes
• Resident engineer diaries
• Assistant resident engineer diaries
• Applicable parts of plans and specifications
• Relevant change orders
• Photographs
• Calculations and analysis
• Weekly Statement of Working Days
• Critical path method schedules
• Other pertinent information
Refer to Section 5-406D, “District Construction Review of Preliminary Construction
Claim Findings Competed—Target Day 130” of this manual for more information.
5-413 Board of Review Report Preparation and Guidelines 5-413
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 are the Report Preparation
basis of the district director determination of claims. and Guidelines
In preparing the board of review report, the board members should follow the
guidelines below:
• State opinions, facts, positions, conclusions, determinations, and recommendations
in the report. However, the important items to be presented are facts, contract
language, and the results of applying the contract to the facts.
• Do not use words such as “think,” “feel,” and “believe.”
• Quantify all items. If the contractor was inefficient, state that 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 the board of review recommendations. For a sample of a board of
review report, contact the Office of Contract Administration in the Division of
Construction
5-413A Format
A board of review report follows the general format below.
5-413A (1) Introduction
The board of review report will start with an introductory paragraph describing the
board meeting attendees and date of occurrence.
5-413A (2) Items That Are Common to All Claims
List items such as the chronology and general information.

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Disputes 5-4.19
 5-413A (3) Summary of Resolved Claims
Reference claims that were entirely or partially settled.
5-413A (4) Individual Claim Information
Reference each individual claim number, title, and the amount.
5-413A (5) General Description of the Claim
Briefly describe the nature of the claim.
5-413A (6) Contractor’s Position
Quote directly from the contractor’s RFI, potential claim records, or written statement
of claims. Add any other pertinent information provided in other documentation.
5-413A (7) District’s Position
The district’s position must be compiled from the responses to potential claim records,
and supported by exhibits that include related correspondence.
5-413A (8) Comments of the Board
In this section of the report, include the following:
• Any new material or change in position if raised by the contractor at the board
meeting.
• Any board requests for additional information or analysis and any general
discussion of that information or analysis.
• Other information the board considers relevant to the issue.
The following are some examples of clauses that may be used in this section:
• “At the board of review meeting, the contractor informed the board . . .”
• “At the board of review meeting, the contractor submitted additional information
to support the 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 . . .”
5-413A (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 . . .
• The work included . . .
• Based on bid item number [xx], description . . .
• The contract further provided . . .
• The contract time is subject to extensions for . . .

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5-4.20 Disputes
• Work began on [date].
• By correspondence dated [date] . . . the contractor directed the resident engineer’s
attention to . . .
• The contractor requested issuance of a change order to provide compensation for . . .
• On [date], the contractor submitted request for information, dated [date].
• On [date], the contractor submitted an initial potential claim record, dated [date].
• On [date], the contractor submitted a supplemental potential claim record, dated
[date] . . . a claimed cost of $ [value] and a claimed delay of [number] days.
• On [date], the resident engineer responded to the contractor’s supplemental
potential claim record and directed the contractor’s attention to Section [xx] of the
Standard Specifications.
• On [date], the contractor submitted the full and final potential claim record, dated
[date] . . . with the claimed cost of $ [value] and a claimed delay of [number] days.
• On [date], the resident engineer responded to the contractor’s full and final
potential claim record.
• With the return of the proposed final estimate, the contractor included a
corresponding claim for $ [value] and a claimed delay of [number] days.
• The contractor has been compensated for the work of bid item number [xx] and
that the contractor is not entitled to any additional compensation for that work.
For each claim, the conclusions will be ended with a recommendation statement such
as, “Therefore, it is recommended that the claim be allowed [or denied] in the amount
of $ [value].”
Facts and findings address what actually occurred, including only facts the board
knows with certainty. Guesses or unverified information should not be used in the
conclusion.
The board of review report should specifically address any prior dispute resolution
advisor or dispute resolution board findings and recommendations pertaining to the
claim, and provide its conclusions. Particular attention must be paid when the board of
review’s conclusion disagrees with those findings and recommendations.
5-414 Construction Claim Findings Preparation and Guidelines 5-414
The board of review report is incorporated as a part of the construction claim findings. Construction Claim
The construction claim findings provide the basis for the district director determination Findings
of claims. The district construction claims engineer prepares the construction claim Preparation and
findings by refining the preliminary construction claim findings. Incorporate claims Guidelines
resolved and status, unresolved administrative claims addressed by the resident
engineer, and claims addressed by the board of review. When preparing the
construction claim findings document, consider that the document is used by a Caltrans
attorney if claims are filed in arbitration.
Concurrently, the district construction claims engineer prepares the draft district
director determination of claims. Refer to Section 5-415, “District Director
Determination of Claims Preparation and Guidelines,” of this manual.
The district construction claims engineer transmits the construction claim findings to
the deputy district director of construction for approval.

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Disputes 5-4.21
 The district construction claims engineer then transmits the construction claim findings
and the final district director determination of claims to the district director for
approval.
The following sections provide format, content, and guidelines for preparing the
construction claim findings. For an illustrative sample of the format and content of
construction claim findings, refer to the example “Construction Claim Findings” at:
http://www.dot.ca.gov/construction/claims/bor-examples.html
5-414A Format
Construction claim findings follow the format below:
5-414A (1) Title Page
The title page states the following:
• “Construction Claim Findings”
• Contract identification data such as contract number, district, county, route, post
mile, and federal project number, if applicable
• Applicable Standard Specifications and Standard Plans sections
• Names of the contractor, resident engineer, and other personnel with significant
involvement
• Date
5-414A (2) Table of Contents
Number all pages in the table of contents.
5-414A (3) Project Chronology
The project chronology includes the following:
• Advertisement date
• Bid opening date
• Contract award date
• Contract approval date
• First working day (date and working day number)
• Date contractor began work
• Working days specified (number of days)
• Computed completion date (date and working day number)
• Change order time adjustment (number of days)
• Nonworking days (number of days)
• Working days not worked on controlling operation (number of days)
• Extended date for completion (date and working day number)
• Project completion date
• Contract acceptance date
• Overrun in contract time (number of working and calendar days)
5-414A (4) General Information
The general information section should be presented in a narrative format, and include

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5-4.22 Disputes
the following:
• Description of the work
• Contractor’s bid amount
• Proposed final estimate amount
• Date the proposed final estimate was sent to the contractor
• Date the contractor returned the proposed final estimate with exceptions
• Total number and amount of claims submitted
5-414A (5) Summary of Claims
Provide the following information:
• Identification numbers and titles
• Claimed amounts
• Recommended payments
• Remaining amounts
5-414A (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
5-414A (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.
5-414A (8) Description of the Claim
Provide the following information:
• An explanation of what caused the claim.
• Pertinent statements of facts related to the issue, not beliefs or opinions.
• A reference to the applicable specifications relating to the claim. You may include
a separate section titled “Applicable Specifications,” listing the section numbers
and excerpts.
• The circumstances leading to each claim. Use facts supported with exhibits that
include daily reports or letters.
• Relevant dates if the claim includes time considerations.
• A statement of actions and responses made by Caltrans and the contractor.
• The method and time of notification of the claim.
5-414A (9) Contractor’s Position
Quote directly from the contractor’s RFI, potential claim records, 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 submitted.

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Disputes 5-4.23
 Provide the information in the following order:
• Full and Final Potential Claim Record
• Supplemental Potential Claim Record
• Initial Potential Claim Record
• Contractor’s RFI pertaining to the claim
• Reference table to contractor’s supporting exhibits
5-414A (10) District’s Position
The district’s position must be compiled from the responses to potential claim records,
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 Potential Claim Record.
• Resident engineer’s response to the Supplemental Potential Claim Record.
• Resident engineer’s response to the RFI.
• A list of exhibits including change orders for partial resolution of the potential
claim, photographs, CPM analysis, cost analysis, correspondence, and diaries.
Include a separate section stating deficiencies if the contractor has failed to comply
with Section 9-1.17C, “Proposed Final Estimate,” of the Standard Specifications.
5-414A (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.
5-414A (12) Tabular Reference to Supporting Information
5-414A (13) Summary of Resolved Claims in Tabular Format for All Claims
5-414A (14) Deputy District Director of Construction Signature Block
5-414A (15) Exhibits
Include the following exhibits as appropriate:
• Copy of the contractor’s written statement of claims
• Correspondence
• Cost data
• RFIs and potential claim records
• Detailed chronology of correspondence, other documents, or events
• CPM schedule, time impact analysis, or revised schedule
• Photographs

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5-414B Helpful Hints
When preparing the construction claim findings, the following hints may be helpful:
• Identify specific references in the following manner: “Section [xx] of the special
provisions requires . . .”
• Quote all excerpts. Avoid paraphrasing them.
• Include all pertinent correspondence.
• Include pertinent photographs.
• Identify the central issue, identify irrelevant contentions, and provide a response to
every relevant contention that the contractor makes.
• Use exact dates and numbers.
• State whether days are working or nonworking.
• When referring to days, when applicable, include the month, day number, and
year.
5-414C 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.
5-415
5-415 District Director Determination of Claims Preparation and District Director
Guidelines Determination of
The district director makes the final determination of claims in consideration of the Claims Preparation
construction claim findings and supporting documents. The district director and Guidelines
determination of claims is a stand-alone document and does not reference the board of
review report, or construction claim findings. The district director determination is
presented in a bulleted format, listing the construction claim findings.
For a sample district director determination of claims refer to the example “District
Director Determination of Claims—Major and Minor A Contracts” at:
http://www.dot.ca.gov/construction/claims/bor-examples.html
Once the district director determination of claims is completed, send it to the contractor
by hand delivery or deposit in the U.S. mail. Issue the final estimate in writing.
Once the district director determination of claims is submitted to the contractor, there
should be no further contact or discussion concerning merits of claims. If the contractor
pursues unresolved claims in arbitration, Caltrans’ Legal Division coordinates any
necessary responses.

California Department of Transportation  Construction Manual  July 2017

Disputes 5-4.25
 5-416 5-416 Copy Distribution of Claim Documents
Copy Distribution of The district must process and distribute copies of claims documents produced during
Claim Documents the claims resolution process. The district is also responsible for retaining copies in the
project files.

California Department of Transportation  Construction Manual  July 2017

5-4.26 Disputes
 Table 5-4.1. Required Post Acceptance Event Codes and Dates
Event
Definition Applicable Date
Code
Use the date that the arbitrator’s decision
ACD Arbitration Case Determination
(determination) is made.

Use the date that the contractor filed a complaint with

ACF Arbitration Case Filed
the Office of Administrative Hearing.

Use the first hearing date that the parties meet with
ACH Arbitration Case Hearing
the arbitrator to present the facts of the case.

Use the date that the ACP was deposited in the U.S.
ACP Arbitration Case Payment Processed Postal Service or that the ACP was hand-delivered to
the contractor.

Use the issuance date of the board of review

BORR Board of Review Recommendation
recommendation report.

District Claim Settlement Memorandum Sent to Use the date that the district sent the memorandum
DCS
Headquarters Construction to Headquarters Construction.

Use the date that the district sent the final district
DDD District Director Determination Sent to Contractor director determination of claims letter to the
contractor, regardless of who signed the letter.

Review of Claims by the Deputy District Director Use the date that the district sent the letter to the
DDS
of Construction Sent to the Contractor contractor.

Input the date that all district expenditures were

DED District Expenditures Done
completed.

Proposed Final Estimate Returned with Use the date that the contractor returned the PFE
Administrative Exceptions, Including Item Work designated by the earliest date stamp by the mail
PFEAE
Exceptions, CCO Work, and Extra Work Bill room or resident engineer. Internal routing time is not
Exceptions considered in this event date code.

Use the date that the contractor returned the PFE

designated by the earliest date stamp by the mail
PFEC Proposed Final Estimate Returned with Claims
room or resident engineer. Internal routing time is not
considered in this event date code.

Use the date that the contractor returned the PFE

Proposed Final Estimate Returned without designated by the earliest date stamp by the mail
PFENE
Claims and Administrative Exceptions room or resident engineer. Internal routing time is not
considered in this event date code.

Use the date that the contractor received the

PFER Proposed Final Estimate Received
proposed final estimate.

Use the date that the contractor is sent the proposed

PFES Proposed Final Estimate Sent to the Contractor
final estimate by certified mail.

California Department of Transportation  Construction Manual  July 2017

Disputes 5-4.27
 Table 5-4.2. Delegation of Authority (1 of 4)
Claims Resolution
Period Item(s) Entitlement Authority (See note 1)

Before issuance Notices, protests,

Authority to approve change orders resolving entitlement may be delegated under
of the proposed and potential
the authority to approve change orders. (See note 2).
final estimate claims

Authority to approve change orders resolving entitlement may be delegated under

the authority to approve change orders. (See Note 2).
From return of the
proposed final For change orders subject to district approval:
estimate Deputy district director of construction approves. Authority may be delegated to
construction managers, but not to construction engineers.
Send copy to the Division of Construction change order engineer.
Claims (Overhead claims) (See Note 3).

For change orders subject to Division of Construction approval:

To deputy district Deputy district director of construction signs under “submitted by” on change order
director of memorandum. (See Note 4).
construction’s Division of Construction field coordinator provides signature of approval on change
letter order memorandum. (See Note 4).
(Overhead claims) (See Note 3).

Approvals of change orders resolving entitlement are subject to the district director’s
determination and the delegation of authority for change orders. (See Note 2).

From deputy For change orders subject to district approval:

district director of Deputy district director of construction approves. Authority may be delegated to
construction’s construction managers, but not to construction engineers.
letter Send copy to the Division of Construction change order engineer.
(Overhead claims) (See Note 3).
Claims
For change orders subject to Division of Construction approval:
Deputy district director of construction signs under “submitted by” on change order
memorandum. (See Note 4).
To district director Division of Construction field coordinator signs recommending approval on change
determination of order memorandum. (See Note 4).
claims Division of Construction chief signs approval on change order memorandum. (See
Note 4).
(Overhead claims) (See Note 3).

California Department of Transportation  Construction Manual  July 2017

5-4.28 Disputes
 Table 5-4.2. Delegation of Authority (2 of 4)
Claims Resolution
Period Item(s) Negotiated Settlement Authority (See note 6)

Approval authority and responsibilities for a confidential claim settlement request depend
on the settlement amount, as follows: (See Notes 2, 7, 11).

Settlement Responsible Party Action

≤ $1.0M District, in consultation with Prepares request (See Note 8).
From start of work
the Legal Division
Deputy district director of construction Recommends approval
Deputy district director of construction Submits request for approval
(See Note 4).
Division of Construction field Recommends approval.
Notices, protests, coordinator
claims, and potential Division of Construction chief Approves.
claims
> $1.0M District, in consultation with Prepares request (See Note 8).
the Legal Division
Deputy district director of construction Recommends approval.
To deputy district
District director Recommends approval (See
director of
Note 9).
construction’s letter
District director Submits request for approval
Division of Construction field Recommends approval.
coordinator
Division of Construction chief Recommends approval.
Project Delivery deputy director Approves.

Approval authority and responsibilities for a confidential claim settlement request depend
on the settlement amount, as follows: (See Notes 2, 7, 11).

From deputy district Settlement Responsible Party Action

director of ≤ $1.0M District, in consultation with Prepares request (See Note 8).
construction’s letter the Legal Division
Deputy district director of construction Recommends approval.
Deputy district director of construction Submits request for approval
(See Notes 9, 10).
Division of Construction field Recommends approval.
coordinator
Claims Division of Construction chief Approves.

> $1.0M District, in consultation with Prepares request (See note 8).
the Legal Division
Deputy district director of construction Recommends approval.
To district director District director Recommends approval.
determination of District director Submits request for approval
claims (See (See Notes 9, 10).
Note10). Division of Construction field Recommends approval.
coordinator
Division of Construction chief Recommends approval.
Project Delivery deputy director Approves.

California Department of Transportation  Construction Manual  July 2017

Disputes 5-4.29
 Table 5-4.2. Delegation of Authority (3 of 4)
Arbitration
Period Item(s) Negotiated Settlement Authority (See Note 12).

Approval authority and responsibilities for the confidential Request for Settlement
Authority memorandum resolving claims in arbitration depend on the settlement
amount, as follows: (See Note 13).

Settlement Responsible Party Action

≤ $1.0M Legal Division (See Note 14). Prepares request.
From filing of Legal Division Recommends approval.
arbitration Legal Division Submits request for approval.
Deputy district director of Recommends approval.
construction
Division of Construction field Recommends approval (See
coordinator Note 15).
Request for Division of Construction chief Approves.
settlement
> $1.0M Legal Division (See Note 14). Prepares request.
Legal Division Recommends approval.
Legal Division Submits request for approval.
Deputy district director of Recommends approval.
To arbitration construction
hearing Division of Construction field Recommends approval.
coordinator
District director Recommends approval (See
Note 15).
Division of Construction chief Recommends approval (See
Note 15).
Project Delivery deputy director Approves.

Settlements Use negotiated settlement authority request for settlement item for the period from
reached before the filing of arbitration to arbitration hearing (above).
arbitrator issues a Division of Construction issues the change order and notifies the district to process
decision estimate.

Follow the same level of approval authority and memorandum preparation as for
Arbitrator issues a settlement shown above.
decision award to District processes request for additional funding, if required.
Arbitration The Division of Construction issues the change order and notifies the district to
contractor
process estimate.

Division of Construction establishes an accounts receivable with the Division of

Arbitrator issues a Accounting.
decision award to Division of Construction coordinates additional judicial remedies with the Legal
Caltrans Division, if required.

Notes:
1. Entitlement—merit, even partial, requiring compensation under Public Contract Code, section 10227 and
Section 3-403, “Changes and Extra Work,” of this manual.
2. Section 5-311, “Change Order Approval Process,” of this manual.

California Department of Transportation  Construction Manual  July 2017

5-4.30 Disputes
 Table 5-4.2. Delegation of Authority (4 of 4)

Notes (continued):
3. Approval authority on change order memorandum for overhead entitlement:
Field office overhead: <$200K, Division of Construction’s field coordinator
$200K to $1.0M, Division of Construction chief
>$1.0M, Project Delivery deputy director
Home office overhead: ≤$1.0M, Division of Construction chief
>$1.0M, Project Delivery deputy director
4. Revise the change order memorandum as appropriate.
5. The District Director Determination (DDD) is Caltrans’ final written decision of the claims. After the DDD is
issued, no further discussion with the contractor regarding claims should occur.
6. Negotiated Settlement—according to California Public Contract Code, Section 9201 and Section 5-407,
“Claim Settlements,” of this manual.
7. Attach the change order and change order memorandum to the claim settlement request and submit it to
the Division of Construction. Attach form CEM-2702, “Overrun in Contract Time,” to the claim settlement
request if recommending action related to time extensions, liquidated damages, or engineering and
inspection costs. The Division of Construction change order engineer will provide authorization or notify the
district to authorize approval. File the approved claim settlement request in the Division of Construction
confidential files. Destroy all drafts.
8. The Division of Construction field coordinator, deputy district director of construction, Legal Division
representative, Division of Construction chief, and FHWA transportation engineer meet to discuss the
settlement offer. If the offer is greater than $1.0M, the Project Delivery deputy director may also attend.
9. The deputy district director of construction is responsible for obtaining FHWA concurrence with the
settlement on high-profile and nondelegated projects.
10. The district, after obtaining approval from the Division of Construction field coordinator, negotiates the
settlement and submits the settlement request to the district director.
11. The claim settlement request is the written decision of the claim. After the claim settlement request is
approved, no further discussion with the contractor regarding the settled claim should occur.
12. Negotiated Settlement—according to California Public Contract Code, Section 9201 and Section 5-407,
“Claim Settlements,” of this manual.
13. Attach form CEM-2702, “Overrun in Contract Time," to the claim settlement request if recommending action
related to time extensions, liquidated damages, or engineering and inspection costs.
14. The Division of Construction field coordinator, deputy district director of construction, Legal Division
representative, Division of Construction chief, and FHWA transportation engineer meet to discuss the
settlement offer. If the offer is greater than $1.0M, the Division of Project Delivery deputy director may also
attend.
15. The Division of Construction field coordinator is responsible for obtaining FHWA concurrence with the
settlement on high-profile and nondelegated project.

California Department of Transportation  Construction Manual  July 2017

Disputes 5-4.31
Chapter 5 Contract Administration

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

California Department of Transportation  Construction Manual  July 2017

Emergency Contract Administration 5-5.i
Chapter 5 Contract Administration
Section 5
Section 5 Emergency Contract Administration Emergency
Contract
Administration

5-501 General 5-501

An emergency contract is a G-11 resolution that is authorized by a director’s order. A General
director’s order is a document that approves the use of special authority, delegated by
state law, to set aside normal contracting procedures so that Caltrans can quickly
initiate and complete emergency work sooner than can be done under normal
processes. The district Maintenance Unit has the responsibility to obtain a 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 the current
Minor B contract limit. For emergency work exceeding this threshold amount, the
director or delegated deputy director has approval authority.
For guidelines on director’s orders, supplemental director’s orders, and supplemental
funds, refer to the Caltrans Division of Maintenance intranet site at:
http://onramp.dot.ca.gov/hq/maint/orway/ha23/index.htm
Deputy Directive 26, “Use of Director’s Orders,” also covers director’s orders.
A number 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 procedures outlined in this
manual.
This section provides guidelines to assist resident engineers in administering
emergency force account (EFA) and emergency limited bid (ELB) contracts. The EFA
& ELB Desk Guide is available to aid construction staff and is on the Division of
Construction, Contract Administration intranet site:
http://construction.onramp.dot.ca.gov/contract-administration/emergency-
contracting
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 Division of Procurement and Contracts (DPAC)
typically prepares and executes these service contracts. The resident engineer becomes
the contract manager on a force account contract once work begins.

California Department of Transportation  Construction Manual July 2017

Emergency Contract Administration 5-5.1
 Form ADM-0366, “Confirmation of Verbal Agreement for Emergency Force Account
Highway Projects,” is the document that allows the contractor to begin work with
verbal approval. The form is available at:
http://dpac.onramp.dot.ca.gov/non-it-service-contracts-efa-elb
When using the form, which is limited to the highest level of emergency, the work
should begin within a day. For written prior approval, the emergency work should
begin within a few days of written approval. Do not permit the contractor to begin
work until the proper approvals have been obtained.

5-503 5-503 Specifications

Specifications The contract manager prior to the beginning of work will select the appropriate form
depending on the federal funding status and if the project is an EFA or ELB. In the
description portion of Form ADM-0366, add the following:
• A brief description of the work and estimated total cost.
• The location and limits of the work.
• The business enterprise participation goals, if required.
• The statement: “All work will be paid for in accordance with Section 9-1.04,
“Force Account,” of the Caltrans Standard Specifications dated [year] as amended
by the attached provisions.”
Contact the Division of Procurement and Contracts for boilerplate contracts and
sample provisions on emergency force account and emergency limited bid contracts.
5-504 5-504 Selection of Resident Engineer and Support Staff
Selection of Resident The construction engineer must establish adequate staffing levels to ensure control of
Engineer and Support work, testing, and documentation, and to ensure current contract files and fund
Staff expenditures. The construction engineer must also expeditiously assign a resident
engineer to be responsible for the site.
When structure work is necessary, use personnel from 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. If
district construction staff are not reachable prior to selection and notification, and
public safety demands an immediate response, Maintenance may act immediately
without district construction’s input. 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

California Department of Transportation  Construction Manual  July 2017

5-5.2 Emergency Contract Administration
• 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.
When resource conflicts occur between ongoing and emergency work, and the selected
contractor is the best for the emergency contract, district construction must determine
the best course of action.
To avoid work conflicts, generally keep to a minimum the number of contractors;
however, on large emergency contracts, multiple contractors may be necessary.
A representative from the Caltrans unit coordinating contractor selection will meet with
a representative from the selected contractor to sign Form ADM-0366. A senior-level
engineer or higher must also sign Form ADM-0366 when district construction
coordinates the selection of the contractor.
5-506 Initial Stages of the Project 5-506
A director’s order may take several days to obtain. However, in severe emergencies it Initial Stages of
is possible for the district Maintenance Unit to obtain verbal approvals by telephone in the Project
less than a day from the director or delegated deputy director.
While the 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
Form MTC-0130, “Director’s Order Request Funds Request” allows the emergency Tracking Costs
contract work to proceed and funds the project. It describes the work’s scope and limits
of the work, funding allocation, and duration. The resident engineer is legally allowed
to authorize fund expenditures up to the director’s order amount.
On emergency force account contracts, daily costs can be significant. Resident
engineers or other project staff must include complete records of labor, equipment, and
materials in the daily report. At the end of each shift, reach agreement with the
contractor on this work. Make a daily estimate of costs based on the daily report.
Encourage the contractor to submit a weekly bill itemizing labor, equipment, and
material used on the contract.

California Department of Transportation  Construction Manual July 2017

Emergency Contract Administration 5-5.3
 During administration of an emergency force account or emergency limited bid
contract, the resident engineer must ensure that the cost of work performed by the
prime contractor and all subcontractors does not exceed available funding. For further
details on cost tracking, refer to the EFA & ELB Desk Guide on the Division of
Construction’s intranet website:
http://construction.onramp.dot.ca.gov/contract-administration/emergency-
contracting
The resident engineer authorizes only work within the general scope of the damage
assessment form (USDOT/FHWA DAF) and forecasts expenditure of available funds
to ensure work performed does not exceed funding of the director’s order and any
approved supplemental director’s orders. Refer to Section 5-2, “Funds,” of this manual
for the G-11 additional funds process.
Use the extra work billing system to facilitate cost tracking. The project can be set up in
Contract Administration System (CAS) after the approval of the confirmation of verbal
agreement and prior to the contract approval, but progress pay estimates cannot be
requested until the contract is approved in the Advantage financial system. EFA and
ELB projects in CAS use the district and expenditure authorization rather than the
DPAC contract number. Payment for all emergency contracts estimated at greater than
the Minor B contract limit in construction cost go through CAS. Receiving records
may be used to compensate emergency force account and emergency limited bid
contract work for Minor B contracts. The existing procedure for use of receiving
records (Form FA-1226A, “Receiver”) remains the same.
The Division of Construction’s intranet website includes links to emergency
contracting information and to DPAC’s and the Division of Maintenance’s intranet
websites:
http://construction.onramp.dot.ca.gov/contract-administration/emergency-
contracting
The DPAC intranet website includes a progress tracking document named “EFA
Status.” The report shows progress of all EFA and ELB contracts, and includes the
requisition number (RQS), EA, and DPAC contract numbers, as well as the name of
the contract’s analyst. The website also contains updated Form ADM-0366, emergency
contract processing guidelines, and RQS number training:
http://admin.dot.ca.gov/pc/index.shtml
The Maintenance intranet website contains updated information about director’s
orders, supplemental director’s orders, supplemental funds requests, damage
assessment forms, and boilerplate state and federal emergency force account and
emergency limited bid contracts:
http://onramp.dot.ca.gov/hq/maint/orway/ha23/index.htm
For additional information on force account billing and record keeping, refer to Section
3-9, “Payment,” of this manual.

5-508 5-508 Prosecution of the Work

Prosecution of the The resident engineer must define the work to be done but only provide general
Work direction for accomplishing the work. Generally, the contractor must select the means
and methods to be used.

California Department of Transportation  Construction Manual  July 2017

5-5.4 Emergency Contract Administration
The following list contains items that the resident engineer must perform or of which
the resident engineer must be aware:
• As the work progresses, work plans will probably need adjusting. If the emergency
work is not progressing as quickly as it should, seek management advice, and
discuss with the contractor ways to increase production. Be innovative by using the
following:
1. Concurrent operations.
2. Multiple shifts.
3. Local material sites.
4. Detours to limit the effects on traffic.
5. Equipment and resources most appropriate for the changing circumstances of
the work to be performed.
• Although cost effectiveness is always desirable, in some emergency situations
production must predominate, sometimes requiring excess equipment to sit idle to
gain overall production.
• Ensure that the means and methods the contractor proposes are safe and
appropriate.
• To ensure that environmental mitigation, compliance requirements, and
commitments are adhered to, always coordinate with your contractor selection
coordinator, environmental-construction liaison, district or regional environmental
office, and project manager.
• Continuously try to prevent improper storm water runoff. Some operations may
have unavoidable sediment runoff. To ensure the timely involvement of regulatory
agencies, have prior discussions with them, both during the emergency and in the
future.
• The 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. Obtain this list from the Department of
Conservation website:
http://www.conservation.ca.gov/omr/SMARA%20Mines/ab_3098_list

5-509 Functional Unit Support 5-509

District management must assign a project manager to emergency contracts. The Functional Unit
project manager will assist the resident engineer in coordinating support from other Support
Caltrans units, other government agencies, the community, and legislators. To allow
more time to properly administer the contract, fully use the project manager and other
appropriate units.
5-510 Public Relations and Communication 5-510
Caltrans management and the public need accurate project information. To provide this Public Relations
information, follow the guidelines and procedures in Section 1-2, “Public Relations,” and
of this manual. When estimating completion dates, be realistically conservative. Communication

California Department of Transportation  Construction Manual July 2017

Emergency Contract Administration 5-5.5
 Chapter 6-
Sampling and Testing
Chapter 6 Sampling and Testing
Section 1 Sample Types and Frequencies
6-101 General
6-101A References
6-102 Types of Sampling and Testing
6-102A Preliminary Samples and Tests
6-102B Initial Samples and Tests
Table 6-1.1 Time Required for Source Testing
6-102B (1) Unprocessed Soils and Aggregates
6-102B (1a) Stone from Ledges and Quarries
6-102C (1b) Material Sites of Sand, Gravel, or Soil
6-102B (2) Processed Aggregates
6-102C Acceptance Samples and Tests
Table 6-1.2 Time Required for Materials Acceptance Tests
Table 6-1.3 Time Required for Products Acceptance Tests
6-102D Dispute Resolution Samples
6-102E Investigation Samples and Tests
6-102F Research Samples and Tests
6-103 Field Sampled Material Identification for Testing
Example 6-1.1 Sample Cylinder Label
Example 6-1.2 Sample Cylinder Label
6-104 Shipping of Field Samples
6-105 Acceptance Records
6-106 Project Materials Certification
6-107 Materials Acceptance Sampling and Testing
Tables—“Materials Acceptance Sampling and Testing Requirements”
Table 6-1.4 Earthwork (Standard Specifications Section 19)
Table 6-1.5 Stabilized Soils (Standard Specifications Section 24)
Table 6-1.6 Aggregate Subbases (Standard Specifications Section 25)
Table 6-1.7 Aggregate Bases (Standard Specifications Section 26)
Table 6-1.8 Cement Treated Bases (Standard Specifications Section 27)
Table 6-1.9 Concrete Bases (Standard Specifications Section 28)
Table 6-1.10 Treated Permeable Bases (Standard Specifications Section 29)
Table 6-1.11 Reclaimed Pavement (Standard Specifications Section 30)
Table 6-1.12 Seal Coats (Standard Specifications Section 37)
Table 6-1.13 Asphalt Concrete (Standard Specifications Section 39)
Table 6-1.14 Concrete Pavement (Standard Specifications Section 40)
Table 6-1.15 Existing Concrete Pavement (Standard Specifications Section 41)
Table 6-1.16 Concrete Structures (Standard Specifications Section 51)
Table 6-1.17 Concrete (Standard Specifications Section 90)
Table 6-1.18 Miscellaneous Materials

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.i
Chapter 6 Sampling and Testing
Section 1
Section 1 Sample Types and Frequencies Sample Types
and
Frequencies
6-101 General 6-101
Sampling and testing materials and products must be in accordance with contract General
specifications. Sampling and testing are of equal importance for assuring materials and
products meet acceptance specifications.
Caltrans representatives must be familiar with materials handling and processing
methods to assure representative samples are obtained. Caltrans representatives should
be sufficiently knowledgeable about test methods to ensure compatibility between
sample and test procedure.
Samples for acceptance must be taken in accordance with California Test 125,
“Methods of Test for Sampling Highway Materials and Products Used in the Roadway
Structural Sections,” or sampling requirements in specifications. For California Tests,
Caltrans representatives must be qualified testers in accordance with the Independent
Assurance Manual.
It is the resident engineer’s responsibility to ensure the safety of the Caltrans
representative. In accordance with Material Plant Quality Program or California Test
109, “Method for Testing of Material Production Plants,” the district weights and
measures coordinator inspects material plants for safety in areas that the Caltrans
representative will enter.
In certain situations, to ensure the Caltrans representative’s safety, the contractor will
take acceptance samples for Caltrans. The Caltrans representative must witness the
contractor taking acceptance samples. The Caltrans representative must determine
when the sample is taken and observe that the sample is taken in accordance with
California Test 125, or sampling requirements in specifications. The Caltrans
representative must take possession of the sample from the contractor and transport it
to a Caltrans office or the testing laboratory. The Caltrans representative must properly
fill out form TL-0101 “Sample Identification Card.”
The resident engineer is responsible for the chain of custody for material acceptance
samples. Material acceptance samples and dispute resolution samples must be in
Caltrans’ possession from the sampling point. Adequate sample storage facilities must
be arranged for at construction field offices or other Caltrans facilities. The chain of
custody for material samples is an important part of the Caltrans quality assurance
program.

6-101A References
• Independent Assurance Manual, Division of Engineering Services, Materials
Engineering and Testing Services (METS), Caltrans:
http://www.dot.ca.gov/hq/esc/Translab/ormt/IA_reports/index.htm

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.1
 • California Test Methods, METS, Caltrans, available at:
http://www.dot.ca.gov/hq/esc/ctms/index.html
• American Association of State Highway and Transportation Officials (AASHTO),
American Society for Testing and Materials (ASTM), and other test methods are
available at the IHS Standards Expert intranet website, which can be accessed
from METS website:
http://des.onramp.dot.ca.gov/materials-engineering-and-testing-services-mets
• Material Plant Quality Program, Division of Construction, Caltrans, available at:
http://www.dot.ca.gov/hq/construc/hma/

6-102 6-102 Types of Sampling and Testing

Types of Sampling The following are the types of sampling and testing used by Caltrans.
and Testing
6-102A Preliminary Samples and Tests
Preliminary samples and tests are made prior to award of a contract. Construction
personnel rarely perform preliminary sampling and testing. The district materials
engineer is responsible for preliminary sampling and testing. Such tests are used for
design purposes, and to provide data for the materials information package for
prospective bidders.

6-102B Initial Samples and Tests

Initial samples and tests are performed on materials proposed for use in the project.
These initial tests determine whether proposed materials sources, local materials, or
products meet the specifications.
Construction personnel may sample potential sources. For soils and aggregate tests,
send samples to the district materials laboratory. Tests may be performed by the district
materials laboratory or METS, depending on their respective capabilities.
Sampling and testing potential local materials is not mandatory unless specified.
Charge the contractor for the cost of sampling and testing potential local materials
sources in accordance with Section 6, “Control of Materials,” of the Standard
Specifications.
The normal time required for testing initial source samples of potential local materials
sources is shown in Table 6-1.1.
Table 6-1.1. Time Required for Source Testing
Material Time
Aggregates for hot mix asphalt 2 weeks
Aggregates for cement treatment 4 weeks
Aggregates for concrete mixture 4 weeks
Aggregates for concrete pavement 60 days
Screenings for seal coats 2 weeks
Soils (R-Value) 3 weeks
Untreated base materials 3 weeks

California Department of Transportation  Construction Manual  July 2017

6-1.2 Sample Types and Frequencies
6-102B (1) Unprocessed Soils and Aggregates
The following discussion is primarily applicable to preliminary and initial sampling,
although the same precautions apply when sampling for specification compliance.

6-102B (1a) Stone from Ledges and Quarries

Inspect the ledge or quarry face to determine any variations in strata, or in portions of
the ledge. Observe and record differences in color and structure. Obtain separate
samples of unweathered stone from all strata that appear to vary in color and structure.

6-102B (1b) Material Sites of Sand, Gravel, or Soil

Select samples representing the different materials available in the deposit. If the
deposit is worked as an open face or pit, take the samples by channeling the face so that
they will represent material that visual inspection indicates may be used. It is necessary,
especially in small deposits, to excavate test holes some distance in back of, and
parallel to, the face to determine the extent of the supply. The number and depth of
these test holes depend on the quantity of material to be used from the deposit. Obtain
samples from open test pits by channeling a face of the test pit in the same manner as
sampling a face of a materials site, described above. Do not include material in the
sample that will be stripped from the pit as overburden. Obtain separate samples from
the face of the bank and from the test holes. If visual inspection indicates that there is
considerable variation in the material, obtain separate samples at different depths.
Use test holes to sample deposits that have no open faces. When sampling material
sites, select depth and spacing of test holes considering the probable method of
operating the pit. In general, dozers will combine the material laterally. A shovel will
remove the material vertically. Test results in a “spotty” pit may be misleading to the
extent that operations may be too expensive to make the required grading.
If possible, use a dozer or shovel to open up the pit before sampling rather than
depending on test holes.

6-102B (2) Processed Aggregates

Sample processed aggregates from locations such as stockpiles, transportation units,
conveyors, or windrows in accordance with California Test 125, “Methods of Test for
Sampling Highway Materials and Products Used in the Roadway Structural Sections.”

6-102C Acceptance Samples and Tests

Acceptance tests are generally performed on materials that will be incorporated into the
work. Some acceptance tests are performed on materials already incorporated into the
work. Acceptance sampling and testing should begin as soon as the material is
delivered or in place.
Sample materials at the locations specified in the Standard Specifications, the special
provisions, or as required by California Test 125. If the sampling location is not
specified, sample at the location indicated in the materials acceptance sampling and
testing requirements tables in Section 6-107, “Materials Acceptance Sampling and
Testing” of this manual. Regardless of location, sample randomly and within the
frequency specified to obtain representative samples of the material used in the work.
On Form TL-0101, “Sample Identification Card,” use the “Priority” designation for the
first few acceptance samples of each construction material. Use “Priority” for

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.3
 verification tests for acceptance. Use the “Priority” designation for all samples if the
material being supplied is of questionable quality or if the construction means and
methods or source of materials changes. For “Priority” tests, indicate if there is a
preference for telephoned, faxed, or emailed test results on Form TL-0101, “Sample
Identification Card,” along with the telephone number of the person who is to receive
them.
For “Priority” and “Normal” processing times for acceptance tests of materials, refer to
Table 6-1.2, “Time Required for Materials Acceptance Tests,” of this manual.
The minimum time required for acceptance tests of products is shown in Table 6-1.2,
of this manual.
Ensure acceptance samples are shipped or transported to testing laboratories within the
following timeframes:
1. Within 1 business day from sampling for projects within 50 miles of the testing
laboratory
2. Within 2 business days from sampling for projects more than 50 miles from the
testing laboratory
The above timeframes are not applicable where specific sampling or test method
requirements preclude doing so, for example, curing of specimens prior to transport.
Ensure proper chain of custody is maintained throughout the process, including
delivery to and receipt from commercial shipping services.
Use Form CEM-3701, “Test Result Summary,” to summarize acceptance test
frequency and test results on each material. Use this form to record sampling and
testing related dates and monitor timeliness of acceptance testing. Compare timeliness
of material testing turnaround against Table 6-1.2, and ensure corrective actions are
taken and documented where repeated deficiencies are detected.
Notify contractor of all acceptance test results within 2 business days of receipt from
laboratory. Advise the contractor that all test results are available for their inspection,
and provide copies of these test results upon their request. Maintain copies of the test
results within the project files for ready accessibility.

California Department of Transportation  Construction Manual  July 2017

6-1.4 Sample Types and Frequencies
 Table 6-1.2. Time Required for Materials Acceptance Tests (1 of 4)
Reporting
Sample to Lab Time Lab Time
to
Lab Priority Normal Total
Contractor
Material/Test (Note 1) (Note 2) (Note 2) (business
(Note 3)
(business (business (business days)
(business
days) days) days)
days)
SOILS
Gradation (CT 202) 1 to 2 1 3 2 4 to 7
Sand Equivalent (CT 217) 1 to 2 1 3 2 4 to 7
Relative Compaction (CT 231/216) 1 to 2 1 2 2 4 to 6
Plasticity Index (Geosynthetic Reinforced 1 to 2 3 7 2 6 to 11
Embankment)
pH (Geosynthetic Reinforced Embankment) 1 to 2 2 3 2 5 to 7
Percentage Crushed Particles (Shoulder 1 to 2 2 5 2 5 to 9
Backing – CT 205)
Durability Index (Shoulder Backing – CT 1 to 2 2 5 2 5 to 9
229)
R-value (Imported Borrow – CT 301) 1 to 2 4 6 2 7 to 10
SUBBASES AND BASES
Relative Compaction (CT 231/216) 1 to 2 1 2 2 4 to 6
Gradation (CT 202) 1 to 2 1 3 2 4 to 7
Sand Equivalent (CT 217) 1 to 2 1 3 2 4 to 7
R-value (CT 301) 1 to 2 4 6 2 7 to 10
Durability Index (CT 229) 1 to 2 2 5 2 5 to 9
Compressive Strength (CTB aggregate – - Age based Age based 2 Age +2
CT 312)
Compressive Strength (LCB–ASTM C39) - Age based Age based 2 Age +2
Compressive Strength (LCB – rapid setting - Age based Age based 2 Age +2
– CT 521)
Modulus of Rupture (Concrete base – CT - Age based Age based 2 Age +2
523)
Modulus of Rupture (Rapid strength - Age based Age based 2 Age +2
concrete base – CT 524)
Percentage of Crushed Particles (CT 205) 1 to 2 2 5 2 5 to 9
Los Angeles Rattler (CT 211) 1 to 2 2 4 2 5 to 8
Cleanness Value (CT 227) 1 to 2 2 3 2 5 to 7
Film Stripping (CT 302) 1 to 2 2 7 2 5 to 11
Asphalt Content (ATPB – CT 382) 1 to 2 1 5 2 4 to 9
Soundness (CTPB – CT 214) 1 to 2 8 10 2 11 to 14
SEAL COATS
Los Angeles Rattler (CT 211) 1 to 2 2 4 2 5 to 8
Percentage of Crushed Particles (CT 205) 1 to 2 2 5 2 5 to 9
Film Stripping (CT 302) 1 to 2 2 7 2 5 to 11
Gradation (CT 202) 1 to 2 1 3 2 4 to 7
Gradation (ASTM C136) 1 to 2 1 3 2 4 to 7
Cleanness Value (CT 227) 1 to 2 2 3 2 5 to 7
Durability Index (CT 229) 1 to 2 2 5 2 5 to 9
Sand Equivalent (CT 217) 1 to 2 1 3 2 4 to 7
Viscosity (AASHTO T 59) 1 to 2 3 15 2 6 to 19
Viscosity (ASTM D7741) 1 to 2 3 15 2 6 to 19
Viscosity (ASTM D445) 1 to 2 3 15 2 6 to 19
Flash Point (ASTM D92) 1 to 2 3 15 2 6 to 19

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.5
 Table 6-1.2. Time Required for Materials Acceptance Tests (2 of 4)
Reporting
Sample to Lab Time Lab Time
to
Lab Priority Normal Total
Contractor
Material/Test (Note 1) (Note 2) (Note 2) (business
(Note 3)
(business (business (business days)
(business
days) days) days)
days)
SEAL COATS (Cont.)
Asphaltene (ASTM D2007) 1 to 2 7 15 2 10 to 19
Aromatics (ASTM D2007) 1 to 2 7 15 2 10 to 19
Cone Penetration (ASTM D217) 1 to 2 3 15 2 6 to 19
Resilience (ASTM D5329) 1 to 2 3 15 2 6 to 19
Settlement (AASHTO T 59) 1 to 2 7 30 2 10 to 34
Sieve Test (AASHTO T 59) 1 to 2 3 15 2 6 to 19
Demulsibility (AASHTO T 59) 1 to 2 3 15 2 6 to 19
Torsional Recovery (CT 332) 1 to 2 3 15 2 6 to 19
Penetration (AASHTO T 49) 1 to 2 3 15 2 6 to 19
Ring and Ball Softening Point Temperature 1 to 2 3 15 2 6 to 19
(AASHTO T 53)
Field Softening Point (ASTM D36) 1 to 2 3 15 2 6 to 19
Elastic Recovery (AASHTO T 301) 1 to 2 4 15 2 7 to 19
Ductility (AASHTO T 51) 1 to 2 4 15 2 7 to 19
BBR (AASHTO T 313) 1 to 2 5 8 2 8 to 12
HMA
Gradation (AASHTO T 27) 1 to 2 1 3 2 4 to 7
Sand Equivalent (AASHTO T 176) 1 to 2 1 3 2 4 to 7
Los Angeles Rattler (AASHTO T 96) 1 to 2 2 4 2 5 to 8
Percent of Crushed Particles (Coarse) 1 to 2 2 5 2 5 to 9
(AASHTO T 335)
Percent of Crushed Particles (Fine) 1 to 2 2 5 2 5 to 9
(AASHTO T 335)
Flat and Elongated Particles (ASTM 1 to 2 2 4 2 5 to 8
D4791)
Fine Aggregate Angularity (AASHTO T 304, 1 to 2 2 4 2 5 to 8
Method A)
Asphalt Binder
Flash Point (AASHTO T 48) 1 to 2 3 15 2 6 to 19
Solubility (AASHTO T 44) 1 to 2 3 15 2 6 to 19
Viscosity (AASHTO T 316) 1 to 2 3 15 2 6 to 19
Dynamic Shear – Original Phase 1 to 2 3 15 2 6 to 19
(AASHTO T 315)
Dynamic Shear – RTFO Phase 1 to 2 4 15 2 7 to 19
(AASHTO T 315)
Dynamic Shear – PAV Phase (AASHTO 1 to 2 5 15 2 8 to 19
T 315)
RTFO Test (AASHTO T 240) 1 to 2 3 15 2 6 to 19
Ductility (AASHTO T 51) 1 to 2 3 15 2 6 to 19
Elastic Recovery (AASHTO T 301) 1 to 2 3 15 2 6 to 19
PAV (AASHTO R 28) 1 to 2 4 15 2 7 to 19
Creep and Stiffness (AASHTO T 313) 1 to 2 5 15 2 8 to 19
Binder Recovery (AASHTO T164 / 1 to 2 2 15 2 5 to 19
ASTM D1856)
Binder Recovery (AASHTO R 59) 1 to 2 4 15 2 7 to 19

California Department of Transportation  Construction Manual  July 2017

6-1.6 Sample Types and Frequencies
 Table 6-1.2. Time Required for Materials Acceptance Tests (3 of 4)
Reporting
Sample to Lab Time Lab Time
to
Lab Priority Normal Total
Material/Test Contractor
(Note 1) (Note 2) (Note 2) (business
(Note 3)
(business (business (business days)
(business
days) days) days)
days)
HMA (Cont.)
Asphalt Rubber Binder
Cone Penetration (ASTM D217) 1 to 2 4 15 2 7 to 19
Resilience (ASTM D5329) 1 to 2 4 15 2 7 to 19
Softening Point (ASTM D36) 1 to 2 3 15 2 6 to 19
Viscosity (ASTM D7741) 1 to 2 3 15 2 6 to 19
Asphalt Modifier Properties (ASTM 1 to 2 3 15 2 6 to 19
D445, ASTM D92, ASTM D2007)
Crumb Rubber Modifier (CRM) 1 to 2 7 30 2 10 to 34
properties (CT 208, CT 385, ASTM
D297)
Hot Mix Asphalt Mix
Moisture Content (AASHTO T 329) 1 to 2 2 5 2 5 to 9
Asphalt Binder Content (AASHTO T 1 to 2 2 5 2 5 to 9
308, Method A)
Hamburg Wheel Track (AASHTO T 324 1 to 2 7 30 2 10 to 34
[Modified])
Bulk Specific Gravity (AASHTO 275) 1 to 2 2 7 2 5 to 11
Maximum Theoretical Density (AASHTO 1 to 2 2 7 2 5 to 11
T 209)
Field Softening Point (ASTM D36) 1 to 2 3 15 2 6 to 19
Elastic Recovery (AASHTO T 301) 1 to 2 4 15 2 7 to 19
Ductility (AASHTO T 51) 1 to 2 4 15 2 7 to 19
BBR (AASHTO T 313) 1 to 2 5 8 2 8 to 12
CONCRETE PAVEMENT
Los Angeles Rattler (CT 211) 1 to 2 2 4 2 5 to 8
Cleanness Value (CT 227) 1 to 2 2 3 2 5 to 7
Gradation (CT 202) 1 to 2 1 3 2 4 to 7
Sand Equivalent (CT 217) 1 to 2 1 3 2 4 to 7
Modulus of Rupture (CT 523) - Age based Age based 2 Age +2
Thickness (CT 531) 2 2 7 2 6 to 11
Dowel bar alignment and concrete 2 2 5 2 6 to 9
consolidation
Tie bar alignment and concrete 2 2 5 2 6 to 9
consolidation
Coefficient of Friction (CT 342) 7* 2 5 2 11 to 14
Inertial Profiler (AASHTO R 56 & R 57) 7* 3 7 2 12 to 16
CONCRETE STRUCTURES
Los Angeles Rattler (CT 211) 1 to 2 2 4 2 5 to 8
Cleanness Value (CT 227) 1 to 2 2 3 2 5 to 7
Gradation (CT 202) 1 to 2 1 3 2 4 to 7
Sand Equivalent (CT 217) 1 to 2 1 3 2 4 to 7
Compressive Strength (CT 521) - Age based Age based 2 Age +2

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.7
 Table 6-1.2. Time Required for Materials Acceptance Tests (4 of 4)
Reporting
Sample to Lab Time Lab Time
to
Lab Priority Normal Total
Material/Test Contractor
(Note 1) (Note 2) (Note 2) (business
(Note 3)
(business (business (business days)
(business
days) days) days)
days)
CONCRETE
Gradation (CT 202) 1 to 2 1 3 2 4 to 7
Cement (Various) 1 to 2 35 60 2 38 to 64
Supplementary Cementitious Materials 1 to 2 35 60 2 38 to 64
(Various)
Shrinkage (AASHTO T 160) 1 to 2 42 60 2 45 to 64
Notes:
1. Time to testing laboratory begins from time of sampling and includes any required field curing time and time required for transport
to the testing laboratory.
2. Time in laboratory begins from time laboratory receives the sample and includes any required laboratory curing time prior to testing
and time required to prioritize samples. This time also includes the lab manager’s review of test results and the time to notify the
resident engineer.
3. Reporting time is the time from when the test is provided to the resident engineer to when the contractor is notified of the test
results.
* Days to schedule lab for testing

California Department of Transportation  Construction Manual  July 2017

6-1.8 Sample Types and Frequencies
 Table 6-1.3. Time Required for Products Acceptance Tests
Minimum Time
Product (Business Days)
Coating tests 3
Expansion joint material 3
Fencing, all types 2
Guide posts 3
Geosynthetic fabrics 3
Geosynthetic fabrics (UV testing) 45
Metal guardrail 7
Pavement markers 4
Prestressing steel 10
Reinforcing steel and wire 2
Rubber (accompanied by manufacturer test report) 3
Rubber (without test report) 14
Structural steel 10
Type B joint seal 7

6-102D Dispute Resolution Samples

Code of Federal Regulations, Title 23, Section 637.207, “Quality Assurance Program,”
paragraph (a)(1)(iii), states, “If the results from the quality control sampling and testing
are used in the acceptance program, the STD (state transportation department) shall
establish a dispute resolution system. The dispute resolution system shall address the
resolution of discrepancies occurring between the verification sampling and testing and
the quality control sampling and testing.” When specified, the engineer must split
acceptance test samples and store the split samples in case of a disputed test result.
Caltrans requires split samples to be stored in a facility under state control in case they
are needed for dispute resolution.

6-102E Investigation Samples and Tests

Specific materials or workmanship problems such as pavement failures, difficulty in
achieving percent of maximum theoretical density, or inconsistent test results may
require special samples and tests. When materials problems are encountered, contact
the district materials engineer. The district materials engineer may request help from
METS and the Division of Construction. METS will request all acceptance test results
and contractor quality control test results along with material-specific additional
samples and tests in order to conduct a forensic investigation.

6-102F Research Samples and Tests

Pilot projects usually have special requirements for sampling and testing of materials.
Projects developed around research needs usually require larger samples and more
frequent testing than what is required by Caltrans’ acceptance testing minimum
frequencies. The unit that requested the research project will provide oversight for all
of the special sampling and testing requirements.

6-103 Field Sampled Material Identification for Testing 6-103

Samples must be properly identified so the testing laboratory can function efficiently Field Sampled
and report results to the project in a timely manner. In addition, accuracy in identifying Material
where the material was placed in the project can be very useful if the material must be Identification
rejected by the engineer and then removed by the contractor. for Testing

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.9
 For requesting faster processing of samples, use the “priority” designation as discussed
in Section 6-102C, “Acceptance Samples and Tests,” of this manual.
For field material samples, except for concrete cylinder compressive strength, use
Form TL-0101, “Sample Identification Card.” For concrete cylinder compressive
strength, use Form TL-0502, “Field Sample of Portland Cement Concrete Sample
Card.”
In general, prepare Form TL-0101 as follows:
• Fill in every blank space with complete information, including the quantity and lot
of material sampled.
• The “Location of Source” must clearly indicate the place (that is, behind paver,
stockpile, cold feed belt) where the sample was taken.
• Indicate “Normal” for laboratory processing of sample or “Priority” if test result is
needed quickly.
• If the sample was taken at the request of the contractor from local deposits as a
potential source in accordance with Section 6-1.03, “Local Materials,” of the
Standard Specifications, note this under “Remarks.” Request that the district
materials laboratory provides the cost of testing so that Caltrans can be reimbursed
by the contractor.
• To protect the sample identification card against moisture or stains, place it in a
plastic bag or shipping label protector and tape it to the sample container.
• Distribute copies as shown on the form on the same day the sample is shipped.
• Prepare Form TL-0101 in accordance with the following details based on the type
of material:
o Aggregate sources must be in compliance with or not subject to the State
Mining and Reclamation Act (SMARA). Ensure sources of aggregates are
indicated and include the SMARA listing number. For additional information,
refer to Section 7-103H (2), “Surface Mining and Reclamation Act,” of this
manual.
o For hot mix asphalt (HMA) sample be sure to:
1. Identify the HMA plant producing the material.
2. Identify the job mix formula (JMF) producer identification number.
3. Include the type of mix and aggregate grading specified.
4. Under “Remarks,” include the grade and source of the asphalt binder.
5. Under “Remarks,” include the percentage of asphalt binder designated in
the JMF.
o For asphalt binder sample be sure to:
1. Identify the HMA plant using the material.
2. Identify the source of asphalt binder.
A list of approved asphalt suppliers is available at:
http://www.dot.ca.gov/hq/esc/Translab/ormt/fpmcoc.htm

California Department of Transportation  Construction Manual  July 2017

6-1.10 Sample Types and Frequencies
 For nonapproved suppliers identify the refinery and shipment number for each
truckload.
o For tack coat or asphalt emulsion samples be sure to:
1. Identify the source of the asphalt binder or asphaltic emulsion.
2. Under “Remarks” include the dilution rate (50/50 or 60/40) for asphaltic
emulsions or enter “Not Diluted.”
o If the specification has requirements based on the use of the material, include
the intended use under “Remarks.” This is especially important for electrical
conductors, as the applicable specifications depend on where and how the
conductor is used.
• Prepare Form TL-0502, “Field Sample of Portland Cement Concrete Sample
Card,” for each pair of cylinders shipped in the same carton as follows:
o Fill in every blank space with complete information.
o Indicate sources of aggregates and include the SMARA listing number.
Aggregate sources must be in compliance with or not subject to SMARA. For
additional information, refer to Section 7-103H (2), “Surface Mining and
Reclamation Act,” of this manual. Indicate in the space for water the total
weight of water used per cubic yard of cementitious material in the mix based
on actual weight (not design weight).
o Under “Remarks,” indicate the specified concrete strength.
o Under “Remarks,” indicate if the unit weight of the hardened concrete
cylinders is required. The testing laboratory will not furnish unit weight data
unless it is specifically requested.
o To protect the sample card against moisture or stains, place it in a plastic bag
or shipping label protector, and tape it to the sample container.
o Distribute copies as shown on the form on the same day the sample is shipped.
A uniform system for marking cylinders is used. This system consists of the contract
number and the sample number. The sample number consists of a series of digits
separated by dashes (-) to indicate: method of storage for curing; age at which cylinders
are to be tested; the cylinder number of the pair, or group of five, that is to be tested;
and project coding. Use a flow pen to mark the cylinders.
Following are examples of the cylinder marking system.
Example 6-1.1. Sample Cylinder Label
Contract No. 03-100844
Sample No. 1-28-1/5_ _ _ _ _
Date Cast ______________
For sample shown in Example 6-1.1:
• The first digit indicates method 1 storage for curing.
• The second two digits indicate that the cylinder is to be tested at 28 days.
• The 1/5 set indicates that it is the No. 1 cylinder of 5 cylinders. The No. 2 cylinder
would be marked 2/5, and so on, for the remaining cylinders of the group.

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.11
 • The last four spaces are reserved for any project coding consisting of numbers,
letters, or a combination.
Note if only one sample card was made for two cylinders, the third symbol on the card
would be 1,2/5.

Example 6-1.2. Sample Cylinder Label

Contract No. 03-100844
Sample No. 2-14-2/2_ _ _ _
Date Cast _____________
For sample shown in Example 6-1.2:
• The first digit indicates method 2 storage for curing.
• The second two digits indicate that the cylinder is to be tested at 14 days.
• The 2/2 set indicates that it is the No. 2 cylinder of a group of 2 cylinders.
• The last four spaces are reserved for any project coding consisting of numbers,
letters or a combination.
Note if one sample card is made for the two cylinders, the third symbol on the card
would be 1,2/2.

6-104 6-104 Shipping of Field Samples

Shipping of Field Based on turnaround time needed to receive a test result, ship samples from the job site
Samples to the laboratory using the most economical mode of transportation available consistent
with the time element involved. Do not accumulate samples at the project site to save
transportation costs.
Concrete cylinders are shipped to the laboratory in accordance with California Test
540, “Method of Test for Making, Handling, and Storing Concrete Compressive Test
Specimens in the Field.” Cylinders are shipped without removing the mold and are
packed in cardboard containers available at the district warehouse. Each carton holds
two cylinders.
If the district laboratory is equipped to test concrete cylinders, they should be shipped
there. Otherwise cylinders may be delivered either to the Southern Regional Lab at
13970 Victoria Street, Fontana, CA 92336, or METS at 5900 Folsom Boulevard,
Sacramento, CA 95819, whichever is more convenient. Ship concrete cylinders within
the time limits specified in California Test 540 or the test result cannot be used as an
acceptance test.
Samples are not to be shipped c.o.d. (cash on delivery) to district materials laboratories,
the Southern Regional Lab, or METS.

6-105 6-105 Acceptance Records

Acceptance Records Keep records of all samples and tests in the project files as permanent job records.
Monitor acceptance testing frequency, results, and timelines by using Form CEM-
3701, “Test Result Summary.” Corrective action or retesting of failing tests must be
noted in the “Remarks” column of the form.

California Department of Transportation  Construction Manual  July 2017

6-1.12 Sample Types and Frequencies
Documentation of the reason materials represented by failing tests were incorporated
into the project must be included in the project files. For more information on
procedures to follow in the case of failing tests, refer to Section 3-6, “Control of
Materials,” of this manual.
It is not necessary to secure separate samples for each project when two or more
projects receive materials from the same source. File a copy of the test report with each
project.

6-106 Project Materials Certification 6-106

When construction work on the project is complete, prepare Form CEM-6302, “Final Project Materials
Materials Certification.” Use the form to certify that, other than for the exceptions Certification
listed on the form, the results of tests performed on acceptance samples show that the
materials used in the work controlled by sampling and testing conform to the approved
plans and specifications.
If exceptions exist, check the exceptions box and note all nonconforming materials on
the form. The following are examples of nonconforming materials that must be noted
as exceptions:
• Materials accepted by applying a specified pay factor or deficiency adjustment,
such as for hot mix asphalt, concrete pavement, or rapid-strength concrete.
• Materials out of “operating range” but within “contract compliance” for which a
specified payment deduction was made.
• Materials not in compliance with the as-bid contract plans or specifications for
which a change order was approved to accept the material.
• Materials that require certificates of compliance but one or more have not been
submitted.
Sign the form and put the original in the project files. Send a copy to district
construction and, if the project is subject to Federal Highway Administration (FHWA)
construction oversight activities, send another copy to the FHWA California division
administrator. The name and address of the FHWA California division administrator is
available at:
http://www.fhwa.dot.gov/cadiv/

6-107 Materials Acceptance Sampling and Testing 6-107

Sampling and testing materials and products must be in accordance with contract Materials
specifications. Sampling and testing are of equal importance for assuring materials and Acceptance
products meet acceptance specifications. Sampling and
The tables on the following pages contain Caltrans’ minimum sampling and testing Testing
requirements for materials acceptance. The frequency of sampling and testing indicated
in the tables is to be used under normal conditions. Materials that are marginal in
meeting the specifications should be sampled and tested on a more frequent basis.
Request “Priority” testing for samples taken on potentially marginal materials.
When shown in the tables that testing frequencies may be adjusted, document any
adjustment through a “Memo to File.” Place the “Memo to File” in the appropriate part
of Category 37, “Initial Tests and Acceptance Tests,” of the project files.

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.13
 Adherence to the sample size requirements shown in the tables will prevent
unnecessary delays and expense of obtaining supplementary samples to complete tests.
Refer to Section 6-105 “Acceptance Records,” of this manual for documenting
acceptance tests results. For more information on procedures to follow in the case of
failing tests, refer to Section 3-6, “Control of Materials,” of this manual.

California Department of Transportation  Construction Manual  July 2017

6-1.14 Sample Types and Frequencies
 Table 6-1.4. Materials Acceptance Sampling and Testing Requirements:
Earthwork (Standard Specifications Section 19) (1 of 3)

Sample Size & Sampling

Acceptance
Test Test Method Container Location Remarks
Test Frequency
Size (See Note 1)
STRUCTURE BACKFILL (Section 19-3.02C)
Sieve California If material is uniform
Analysis Test 202 and well within
1 every 3,000
Materials site or specification limits,
50 lb tons or 2,000 cu
Sand California stockpile test frequency may be
yd; see Remarks
Equivalent Test 217 decreased to 1 per
day
1 every 2,000 sq
Project site in yd and test Relative compaction
Sample for
Relative California accordance with compaction at test is required at each
California Test
Compaction Test 231 California Test every 8 in. of location structure
216
231 thickness, backfill is placed
see Remarks
Wet common-
composite test
Relative 1 every relative
Maximum California maximum value may
35 lb compaction test compaction test,
Wet Density Test 216 be used in accordance
site locations see Remarks
with California Test
231
PERVIOUS BACKFILL MATERIAL (Section 19-3.02D)
If material is uniform
and well within
1 every 3,000
Sieve California specification limits,
50 lb Stockpile tons or 2,000 cu
Analysis Test 202 test frequency may be
yd; see Remarks
decreased to 1 per
day
BASEMENT MATERIAL (Section 19-5)
R-value used in
project designs are
usually conservative
and do not need to be
Test to verify R- field verified; if R-value
value if differing testing in the materials
California
R-Value 50 lb Project site site conditions are report is incomplete
Test 301
encountered, because of preproject
see Remarks conditions, then
additional R-value
testing should be done
to verify design R-
value
Sample for
Relative California California Test 1 every 2,000 sq
California Test
Compaction Test 231 216 yd
216
Relative
Maximum Wet California 1 every relative
35 lb compaction test
Density Test 216 compaction test
site locations

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.15
 Table 6-1.4. Materials Acceptance Sampling and Testing Requirements:
Earthwork (Standard Specifications Section 19) (2 of 3)

Sample Size & Sampling

Acceptance
Test Test Method Container Location Remarks
Test Frequency
Size (See Note 1)
EMBANKMENT CONSTRUCTION (Section 19-6)
1 every 2,000 sq
Project site in
Sample for yd and test
Relative California accordance with
California Test compaction at
Compaction Test 231 California Test
216 every 8 in. of
231
thickness
Wet common-
composite test
Relative 1 every relative
Maximum California maximum value
35 lb compaction test compaction test,
Wet Density Test 216 may be used in
site locations see Remarks
accordance with
California Test 231
GEOSYNTHETIC REINFORCED EMBANKMENT (Section 19-6.02B)
Plasticity California Materials site or 1 per source prior
Index Test 204 stockpile to use
50 lb
California Materials site or 1 per source prior
pH
Test 643 stockpile to use
If material is
Prior to use, uniform and well
1 every 3,000 within specification
Sieve California
50 lb Stockpile tons or 2,000 cu limits, the test
Analysis Test 202
yd, frequency may be
see Remarks decreased to 1 per
day
BORROW MATERIAL (Section 19-7)
Test for R-value
only when an R-
value is specified
for import borrow
in the special
California Import borrow 1 per source,
R-Value 50 lb provisions; if
Test 301 source see Remarks
material at import
borrow source is
not uniform,
increase testing
frequency

California Department of Transportation  Construction Manual  July 2017

6-1.16 Sample Types and Frequencies
 Table 6-1.4. Materials Acceptance Sampling and Testing Requirements:
Earthwork (Standard Specifications Section 19) (3 of 3)

Sample Size & Sampling

Acceptance
Test Test Method Container Location Remarks
Test Frequency
Size (See Note 1)
SHOULDER BACKING (Section 19-9)
Crushed California Materials site or 1 per project prior
Particles Test 205 stockpile to use
California Materials site or 1 per project prior
Durability
Test 229 stockpile to use
50 lb
California
Test 212 Materials site or 1 per project prior
Unit Weight
Rodding stockpile to use
Method
Sieve California If material is uniform
Analysis Test 202 1 every 3,000 and well within
Materials site or tons or 2,000 cu specification limits,
50 lb
Sand California stockpile yd, test frequency may
Equivalent Test 217 see Remarks be decreased to 1
per day
Note:
1. Refer to California Test 125 for sampling procedures.

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.17
 Table 6-1.5. Materials Acceptance Sampling and Testing Requirements:
Stabilized Soils (Standard Specifications Section 24) (1 of 2)

Sample Size Sampling

Acceptance
Test Test Method & Container Location Remarks
Test Frequency
Size (See Note 1)
LIME (Section 24-2.02)
Must be on an
Authorized
One 10-lb
Initial sample Material List and
sample for
provided by certificate of
each type Each 100 tons of
See Standard contractor; compliance must
Various and source of lime, 2 per day
Specifications subsequent accompany each
properties lime; maximum;
Section 24-2.02 sampling from shipment;
use a 2-qt see Remarks
mid-point of recommend 1
airtight
delivery acceptance test
container
per 5 samples of
lime
LIME TREATMENT
DETERMINATION OF LIME APPLICATION RATE (Section 24-2.01D)
Prior to soil
Unconfined stabilization work To determine
California Test
Compressive Native soils; test and if source of appropriate lime
373
Strength each type of lime changes; content
100 lb see Remarks
material to be
Optimum treated
California Test Prior to soil
Moisture
373 stabilization work
Content
VERIFICATION OF LIME APPLICATION RATE AND STABILIZED SOIL MIXTURE (Section 24-2.01D)
To determine if
Building Each 40,000 sq ft,
Lime Calibrated tray application rate is
paper or pan Surface receiving 2 per day
Application method or within ± 5% of
of known lime minimum; see
(Dry Form) equal ordered application
area Remarks.
rate
Volumetric To determine if
Each 40,000 sq ft,
Lime measurement Determined application rate is
Slurry holding 2 per day
Application that is then over known within ± 5% of
tank minimum; see
(Slurry Form) reduced to lime area ordered application
Remarks
weight rate
Phenolphthalein Each day at five
Uniformity of Taken after
alcohol Representative separate
Mixed N/A completion of initial
indicator areas locations; see
Stabilized Soil mixing
solution spray Remarks
Each day at five
separate locations
Moisture
Representative to verify
Content of California Test 0.25 lb each Taken during
areas at mid contractor’s
Mixed 226 sample mellowing period
depth quality control
Stabilized Soil
tests; see
Remarks
1 every 4,000 sq
Gradation of
California Test Representative yd, 1 per day Taken prior to
Mixed 25 lb
202 areas minimum; see compaction
Stabilized Soil
Remarks

California Department of Transportation  Construction Manual  July 2017

6-1.18 Sample Types and Frequencies
 Table 6-1.5. Materials Acceptance Sampling and Testing Requirements:
Stabilized Soils (Standard Specifications Section 24) (2 of 2)

Sample Size Sampling

Acceptance
Test Test Method & Container Location Remarks
Test Frequency
Size (See Note 1)
MIXED STABILIZED SOIL (Sections 24-2.01 and 24-2.03)
1 every 2,000 sq
Project site in
Sample for yd and test
Relative California accordance with
California Test compaction at
Compaction Test 231 California Test
216 every 6 in. of
231
thickness
Wet common-
1 every relative composite test
Relative
Maximum California compaction test; maximum value may
35 lb compaction test
Wet Density Test 216 see Remarks be used in
site locations
accordance with
California Test 231
As necessary for
Random locations verification of
Dimensions Measurement N/A in place after stabilized soil
compaction thickness and
surface grades
CURING SEAL-ASPHALTIC EMULSION (Section 24-1.02C)
Various
properties Based on Each shipment must
based on asphaltic be accompanied by
asphaltic emulsion type 1/2-gal plastic Sampling line 1 each shipment; a certificate of
emulsion type used; see jug with screw- leading to the see Remarks compliance;
used; see Standard on lid spray bar recommend 1
Standard Specifications random test from
Specifications Section 94 samples taken
Section 94
Note:
1. Refer to California Test 125 for sampling procedures.

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.19
 Table 6-1.6. Materials Acceptance Sampling and Testing Requirements:
Aggregate Subbases (Standard Specifications Section 25)

Sample Size & Sampling

Acceptance
Test Test Method Container Location Remarks
Test Frequency
Size (See Note 1)
AGGREGATE SUBBASE
If material is
Every 3,000 tons uniform and well
Gradation
California or 2,000 cu yd; within specification
(Sieve
Test 202 see Remarks and limits, frequency
Analysis)
Note 2 may be decreased
Windrow or to 1 test per day
50 lb
roadway If material is
Every 3,000 tons uniform and well
Sand California or 2,000 cu yd; within specification
Equivalent Test 217 see Remarks and limits, frequency
Note 2 may be decreased
to 1 test per day
R-value testing
may be reduced to
minimum 1
acceptance test
per project when
test records
Every 3,000 tons
California Windrow or demonstrate that
R-Value 50 lb or 2,000 cu yd;
Test 301 roadway material from the
see Remarks
same source, and
having comparable
grading and sand
equivalent values,
meets minimum R-
value requirements
Roadway in
Sample for
Relative California accordance with
California Test Every 2,000 sq yd
Compaction Test 231 California Test
216
231
Wet common-
composite test
Relative Every 2,000 sq
Maximum California maximum value
35 lb compaction test
Wet Density Test 216 yd; see Remarks may be used in
site locations
accordance with
California Test 231
As necessary for Verify thickness of
Dimensions N/A N/A Random locations
acceptance aggregate subbase
Notes:
1. Refer to California Test 125 for sampling procedures.
2. If material is outside the specification limits, sample and test representative material every 500 cu yd so that deductions may
be taken for noncompliant material.

California Department of Transportation  Construction Manual  July 2017

6-1.20 Sample Types and Frequencies
 Table 6-1.7. Materials Acceptance Sampling and Testing Requirements:
Aggregate Bases (Standard Specifications Section 26)

Sample Size & Sampling

Acceptance
Test Test Method Container Location Remarks
Test Frequency
Size (See Note 1)
AGGREGATE BASES
If material is uniform
Every 3,000 tons and well within
Gradation
California or 2,000 cu yd; specification limits,
(Sieve
Test 202 see Remarks and frequency may be
Analysis)
Note 2 decreased to 1 test
Windrow or per day
50 lb
roadway If material is uniform
Every 3,000 tons and well within
Sand California or 2,000 cu yd; specification limits,
Equivalent Test 217 see Remarks and frequency may be
Note 2 decreased to 1 test
per day
R-value testing may
reduced to minimum
1 acceptance test
per project when
test records
Every 3,000 tons demonstrate that
California Windrow or
R-Value 50 lb or 2,000 cu yd; material from the
Test 301 roadway
see Remarks same source, and
having comparable
grading and sand
equivalent values,
meets minimum R-
value requirements

Durability test not

Durability California Windrow or 1 per project;
50 lb required for Class 3
Index Test 229 roadway see Remarks
aggregate base

2 daily when
California Materials site or
Moisture 25 lb aggregate base is
Test 226 stockpile
paid for by weight
Roadway in
Sample for
Relative California accordance with
California Test Every 2,000 sq yd
Compaction Test 231 California Test
216
231
Wet common-
composite test
Relative
Maximum California Every 2,000 sq maximum value
35 lb compaction test
Wet Density Test 216 yd, see Remarks may be used in
site locations
accordance with
California Test 231
As necessary for Verify thickness of
Dimensions N/A N/A Random locations
acceptance aggregate base
Notes:
1. Refer to California Test 125 for sampling procedures.
2. If material is outside the specification limits, sample and test representative material every 500 cu yd so that deductions may be
taken for noncompliant material.

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.21
 Table 6-1.8. Materials Acceptance Sampling and Testing Requirements:
Cement Treated Bases (Standard Specifications Section 27) (1 of 2)

Sample Size & Sampling

Acceptance
Test Test Method Container Location Remarks
Test Frequency
Size (See Note 1)
CEMENT TREATED BASE Class A or Class B
AGGREGATE
California
Gradation 1 every 3,000
Test 202,
(Sieve Plant, truck, tons or 2,000 cu
California
Analysis) 40 lb windrow, or yd, minimum 1
Test 105
roadway per day of
Sand California production
Equivalent Test 217
AGGREGATE Class B
R-Value
100 lb for
(with and California Windrow or
aggregate Prior to production
without Test 301 roadway
qualification
cement)
CEMENT Type II Portland Cement
Recommend 1
Various
acceptance test per
Properties
See Standard 1 each 100 tons project for cement
Must comply
Specifications CTB plant or of cement, 2 per from approved
with Standard 8 lb
Section 90- cement spreader day maximum; suppliers and
Specifications
1.02B(2) see Remarks certificate of
Section 90-
compliance with each
1.02B(2)
shipment
WATER
California
Chlorides Clean 2-qt Water supplies for
Test 422 1 per source;
plastic jug with At point of use domestic use do not
California see Remarks
Sulfates lined, sealed lid need to be tested
Test 417
COMPLETED MIX Class A
If first 3 days of
production test records
Windrow or
Compressive California See California 1 per day; demonstrate materials
roadway prior to
Strength Test 312 Test 312, Part II see Remarks are in compliance,
compaction
recommend test every
5 days of production
COMPLETED MIX Class B
Recommend R-value
testing be reduced to 1
every 10,000 cu yd
when test records
demonstrate that
Windrow or 1 every 3,000
California material from the
R-Value 50 lb roadway prior to tons or 2,000 cu
Test 301 same source, and
compaction yd; see Remarks
having comparable
grading and sand
equivalent values,
meets the minimum R-
value requirements

California Department of Transportation  Construction Manual  July 2017

6-1.22 Sample Types and Frequencies
 Table 6-1.8. Materials Acceptance Sampling and Testing Requirements:
Cement Treated Bases (Standard Specifications Section 27) (2 of 2)

Sampling
Test Sample Size & Acceptance Test
Test Location Remarks
Method Container Size Frequency
(See Note 1)
COMPLETED MIX Class A and Class B
1 every 1,500 tons or
Windrow or
California See California 1,000 cu yd, minimum
Cement Content roadway prior to
Test 338 Test 338, Part I 1 per day of
compaction
production
California See California Windrow or
Optimum Moisture Prior to production
Test 312 Test 312 roadway
California 10 lb in sealed Roadway prior to
Moisture Content 2 daily
Test 226 container compaction
Roadway in
California Sample for
accordance with
Relative Compaction Test 312 or California Test 1 every 2,000 sq yd
California Test
231 216
231
Wet
common-
composite
test
California
Relative maximum
Maximum Wet Test 216, 1 every 2,000 sq yd;
35 lb compaction test value may
Density California see Remarks
site locations be used in
Test 312
accordance
with
California
Test 231
Verify
Random As necessary for
Dimensions N/A N/A thickness
locations acceptance
of CTB
Note:
1. Refer to California Test 125 for sampling procedures.

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.23
 Table 6-1.9. Materials Acceptance Sampling and Testing Requirements:
Concrete Bases (Standard Specifications Section 28)
Lean Concrete Base
Sampling
Test Sample Size & Acceptance Test
Test Location Remarks
Method Container Size Frequency
(See Note 1)
LEAN CONCRETE BASES
1,000 cu yd or 1
Compressive 2 cylinders - Concrete truck day's production if
strength (7- ASTM C39
6x12 inches discharge chute less than 1,000 cu
days)
yd
RAPID STRENGTH CONCRETE BASE
1 per 500 cu yd or
Modulus of
California Test 3 beams - Concrete truck 1 day’s production
rupture (7-
524 6x6x20 inches discharge chute if less than 500 cu
days)
yd.
LEAN CONCRETE BASE RAPID SETTING
1 per 500 cu yd or
Compressive
California Test 2 cylinders - Concrete truck 1 day’s production
strength (7-
521 6x12 inches discharge chute if less than 500 cu
days)
yd.
CONCRETE BASE
2 beams of
6x6x32 in. for
centerpoint 1,000 cu yd or 1
Modulus of
California Test loading or Concrete truck day's production if
rupture (7-
523 discharge chute less than 1,000 cu
days) 6x6x20 in. for yd
third-point
loading
As necessary for Verify thickness of
Dimensions N/A N/A Random locations
acceptance base

Note:
1. Refer to California Test 125 for sampling procedures.

California Department of Transportation  Construction Manual  July 2017

6-1.24 Sample Types and Frequencies
 Table 6-1.10. Materials Acceptance Sampling and Testing Requirements:
Treated Permeable Bases (Standard Specifications Section 29)
Asphalt Treated Permeable Base (ATPB) (1 of 2)
Sample Size Sampling
Test Acceptance
Test & Container Location Remarks
Method Test Frequency
Size (See Note 1)
AGGREGATE
Percentage
California Combined two
Crushed
Test 205 40-lb canvas Prior to
Particles
Los Angeles bags (see Note production and
Rattler California 2) or minimum 1
Plant
(at 500 Test 211 Batch 160 lb random for every
revolutions) (proportioned 50,000 tons or
per bin less of paving
California percentages)
Film Stripping
Test 302
Gradation 1 for every 4
California Combined two
(Sieve hours of
Test 202 20-lb canvas
Analysis) production
bags (see Note
3) or Recommend 1
Plant acceptance test
Batch 40 lb 1 for every 4
Cleanness California (proportioned per day if 3
hours of
Value Test 227 per bin consecutive
production
percentages ) results exceed
62
ASPHALT
Certificate of
Various compliance
properties Based on required for each
based on asphalt type shipment; if
Asphalt feed line
asphalt type used; see asphalt binder
1-qt can connecting plant 1 per day
used; see Standard source is not on
storage tanks
Standard Specifications approved list,
Specification Section 92 sample and test
Section 92 asphalt before
use
COMPLETED MIX
Plant, truck, 1 for every 4
Asphalt California 40 lb in metal
windrow, or hours of
Content Test 382 containers
roadbed production
AGGREGATE
Prior to
Los Angeles
production and
Rattler California
50 lb Plant minimum 1
(loss at 500 Test 211
random for every
revolutions)
25,000 cu yd
California
Soundness 50 lb Plant
Test 214
1 for every 4
Sieve Analysis California hours of
40 lb Plant
(Gradation) Test 202 production;
(see Note 4)

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.25
 Table 6-1.10. Materials Acceptance Sampling and Testing Requirements:
Treated Permeable Bases (Standard Specifications Section 29)
Asphalt Treated Permeable Base (ATPB) (2 of 2)
Sample Size Sampling
Acceptance
Test Test Method & Container Location Remarks
Test Frequency
Size (See Note 1)
AGGREGATE (Cont.)
Cleanness California
Value Test 227
CEMENT
Cement, Recommend 1
various acceptance test
Must comply
properties; 1 for each 100 per project for
with Standard
must comply tons, 2 per day cement from
Specifications 8 lb Concrete plant
with Standard max; see approved
Section 90-
Specifications Remarks suppliers with
1.02B(2)
Section 90- certificate of
1.02B(2) compliance
WATER
California Clean 2-qt Water supplies
Chlorides
Test 422 plastic jug with At point of use; see 1 per source; for domestic use
California lined, sealed Remarks see Remarks do not need to
Sulfates lid be tested
Test 417
ASTM C 191
Setting Time or
ASTM C 266
Mortar
Compressive ASTM C109 Contact METS Water supplies
Strength for required At point of use; see 1 per source; for domestic use
quantity of Remarks see Remarks do not need to
Coloring
Must comply water sample be tested
Agents
with Standard
Alkalis Specifications
Section 90-
Specific
1.02D
Gravity
Notes:
1. Refer to California Test 125 for sampling procedures.
2. Store one 40-lb canvas bag for dispute resolution.
3. Store one 20-lb. canvas bag for dispute resolution.
4. If test records determine that aggregate gradation or cleanness value is close to specification limit or outside the specification
limits, sample and test concrete every 300 cu yd so that deductions may be taken for noncompliant material.

California Department of Transportation  Construction Manual  July 2017

6-1.26 Sample Types and Frequencies
 Table 6-1.11. Materials Acceptance Sampling and Testing Requirements:
Reclaimed Pavement (Standard Specifications Section 30)

Sample Size Sampling Acceptance

Test Test Method & Container Location Test Remarks
Size (See Note 1) Frequency
PULVERIZED ROADBED (Section 30-2)
Thickness- Field Field Random 3 random
Thickness
Measurement Measurement location locations per lot
1 every 2,000
Relative Project site in
Sample for sq yd and test
Compaction accordance
California Test 231 California compaction at
(% min) with California
Test 216 every 6 in. of
Test 231
thickness
FULL DEPTH RECLAMATION–FOAMED ASPHALT (Section 30-3)
Relative 1 every 2,000
Project site in
Compaction Sample for sq yd and test
accordance
(% min) California Test 231 California compaction at
with California
Test 216 every 6 in. of
Test 231
thickness
California
Test 531.
See Section 4-
4- or 6-in.- 3 random
Thickness Thickness 4004 of this
diameter location per lot
manual
core, full
thickness
FULL DEPTH RECLAMATION—Cement (Section 30-4)
California
Test 531,
Thickness- Core 3 random See Section 4-
4- or 6-in.-
Thickness thickness locations per 4004 of this
diameter
measurement lot manual
core, full
thickness
Building To determine if
Surface Each 40,000 sq
Cement Calibrated tray or paper or pan application rate
receiving ft, 2 per day
application rate equal of known is within ± 5% of
cement minimum
area mix design rate
Relative 1 every 2,000
Project site in
Compaction Sample for sq yd and test
accordance
(% min) California Test 231 California compaction at
with California
Test 216 every 6 in. of
Test 231
thickness
Notes:
1. Refer to California Test 125 for sampling procedures.

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.27
 Table 6-1.12. Materials Acceptance Sampling and Testing Requirements:
Seal Coats (Standard Specifications Section 37) (1 of 4)

Sample Size Sampling Acceptance

Test Test Method & Container Location Test Remarks
Size (See Note 1) Frequency
ASPHALTIC EMULSION AND ASPHALTIC EMULSION FOR FLUSH COAT
Various properties in See Section
Certificate of
accordance with 37- 1/2-gal plastic
Transport compliance
Section 37 of 2.02A(4)(b)(ii) jug with Each shipment
tanker required with each
Standard of Standard screw-on lid
shipment
Specifications Specifications
Asphaltic emulsion Per test Full width of
CT 339 Once per project
spread rate method boot truck
POLYMER MODIFIED ASPHALTIC EMULSION
AASHTO T
Viscosity
59
AASHTO T
Sieve Test
59
AASHTO T 1-qt wide- Certificate of
Demulsibility
59 mouth plastic Transport compliance
Each shipment
California jar with tanker required with each
Torsional Recovery screw-on lid shipment
Test 332
AASHTO T
Penetration
49
AASHTO T
Ring and Ball
53
ASPHALT MODIFIER FOR ASPHALT RUBBER BINDER

1-qt round
Viscosity ASTM D445 wide-mouth
can with
friction top lid Sample port on 1 random per
or 1-qt tanker truck project
Flash Point ASTM D92 rectangular
can with
screw-on lid
Molecular Analysis ASTM D2007

CRUMB RUBBER MODIFIER FOR ASPHALT RUBBER BINDER

Wire in CRM CRM scrap
CT 385
(max %) tire:
Two 2.5 lb in
Fabric in CRM
CT 385 gallon zip-
(max %)
lock bags Minimum 1
CRM bulk bag random per
CRM high project
natural:
CRM particle length ---
Two 2.5 lb in
gallon zip-
lock bags

California Department of Transportation  Construction Manual  July 2017

6-1.28 Sample Types and Frequencies
 Table 6-1.12. Materials Acceptance Sampling and Testing Requirements:
Seal Coats (Standard Specifications Section 37) (2 of 4)
Sample Size Sampling Acceptance
Test Test Method & Container Location Test Remarks
Size (See Note 1) Frequency
CRM specific gravity CT 208

Natural rubber
content in high ASTM D297
nature CRM (%)

ASPHALT RUBBER BINDER OR MODIFIED ASPHALT BINDER

Cone Penetration 1-qt round Asphalt feed Production start- Certificate of
wide-mouth line connecting up evaluation compliance
Resilience
can with to the HMA and 1 random required with each
Softening point friction top lid plant per 5 samples shipment
Five 1-qt
The greater of 1 For safety,
round wide-
Asphalt Rubber Asphalt storage every 5 lots or engineer may
ASTM D7741 mouth cans
Binder Viscosity tank once a day, see witness contractor
with friction
Remarks perform test
top lids
Certificate of
compliance
Five 1-qt required for each
The greater of 1
See Standard round wide- shipment; if
Base Asphalt Binder Asphalt storage every 5 lots or
Specification mouth cans asphalt binder
Properties tank once a day, see
Section 92 with friction source is not on
Remarks
top lids approved list,
sample and test
asphalt before use
SCREENINGS/AGGREGATE FOR CHIP SEALS
California
LA Rattler
Test 211
50 lb in
AASHTO T canvas bags Once per
% Crushed Particles Stockpile
335 or 5-gal project
buckets
California
Film Stripping
Test 302
California
Sieve Analysis Twice daily
Test 202
30 lb Stockpile
Cleanness California
Once daily
Value Test 227
SAND FOR FLUSH COAT
California
Sieve Analysis 25 lb Stockpile Once per project
Test 202

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.29
 Table 6-1.12. Materials Acceptance Sampling and Testing Requirements:
Seal Coats (Standard Specifications Section 37) (3 of 4)
Sample Size Sampling Acceptance
Test Test Method & Container Location Test Remarks
Size (See Note 1) Frequency
CRACK TREATMENTS
Crack Treatment Material
Softening point ASTM D36
Cone penetration
Resilience
ASTM D5329
Tensile adhesion
Asphalt compatibility
2 each 3-lb
From crack Indicate the
Flexibility ASTM D3111 minimum
treatment specified type of
samples in
Specific gravity ASTM D70 material Once per project crack treatment
silicone
dispensing material on the
See note in release
wand TL-0101
Section 37- boxes
6.01D(3)
“Department
Sieve test
Acceptance”
of the
Standard
Specifications
SAND FOR CRACK TREATMENT
California
Sieve Analysis 25 lb Stockpile Once per project
Test 202
SLURRY SEAL AGGREGATE
Los Angeles Rattler
California Test
(loss at 500
211
revolutions)
Percentage of California Test
Crushed Particles 205 50 lb Stockpile Once per project
California Test
Film Stripping
302
California Test
Durability Index
229
California Test
Sieve Analysis 202, California
Test 105 30 lb Stockpile Once daily
California Test
Sand Equivalent
217
MICRO-SURFACING AGGREGATES
Los Angeles Rattler
California Test
(loss at 500
211
revolutions)
Percentage of California Test 50 lb Stockpile Once per project
Crushed Particles 205
California Test
Durability Index
302

California Department of Transportation  Construction Manual  July 2017

6-1.30 Sample Types and Frequencies
 Table 6-1.12. Materials Acceptance Sampling and Testing Requirements:
Seal Coats (Standard Specifications Section 37) (4 of 4)
Sample Size Sampling
Acceptance
Test Test Method & Container Location Remarks
Test Frequency
Size (See Note 1)
California Test
Sieve Analysis
202
30 lb Stockpile Once daily
California Test
Sand Equivalent
217
Note:
1. Refer to California Test 125 for sampling procedures.

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.31
 Table 6-1.13. Materials Acceptance Sampling and Testing Requirements:
Asphalt Concrete (Standard Specifications Section 39) (1 of 6)
Sample
Sampling
Test Size & Sampling Acceptance Test
Test Location Remarks
Method Container Frequency Frequency
(See Note 1)
Type
AGGREGATE: All Types of HMA
AASHTO T
Gradation 27, 1 for each Production start-up
(Sieve California 750 tons, evaluation. Minimum
HMA plant
Analysis) Test 105, 1 per day 1 per day of paving
(see Note 2) California minimum
Test 384
1 for each Production start-up Not required for
HMA plant or
Sand AASHTO T 750 tons, evaluation. Minimum OGFC (open
before lime
Equivalent 176 1 per day 1 per day of paving graded friction
treatment
minimum course)
Production start-up
Percent 1 for each
HMA plant or evaluation, and
Crushed AASHTO 750 tons,
before lime minimum 1 random
Particles T 335 1 per day
treatment for every 25,000 tons
(Coarse) minimum
or less of paving
Combined six
20-lb canvas Production start-up
1 for each
Percent bags HMA plant or evaluation, and
AASHTO 750 tons,
Crushed (see Note 3) before lime minimum 1 random
T 335 1 per day
Particles (Fine) treatment for every 25,000 tons
minimum
or or less of paving
Production start-up
1 for each
LA Rattler HMA plant or evaluation, and
AASHTO Batch 30 lb 750 tons,
(500 before lime minimum 1 random
T 96 (proportioned 1 per day
Revolutions) treatment for every 50,000 tons
per bin minimum
or less of paving
percentages)
Production start-up
1 for each
LA Rattler HMA plant or evaluation, and
AASHTO 750 tons,
(100 before lime minimum 1 random
T 96 1 per day
Revolutions) treatment for every 50,000 tons
minimum
or less of paving
Production start-up
1 for each
Fine AASHTO HMA plant or evaluation, and Not required for
750 tons,
Aggregate T 304, before lime minimum 1 random OGFC or Minor
1 per day
Angularity Method A treatment for every 50,000 tons HMA
minimum
or less of paving
Production start-up
1 for each
Flat and HMA plant or evaluation, and
ASTM 750 tons, Not required for
Elongated before lime minimum 1 random
D4791 1 per day Minor HMA
Particles treatment for every 50,000 tons
minimum
or less of paving
ASPHALT BINDER
Certificate of
Various compliance
properties See required for
1-qt round Asphalt feed
based on Standard each shipment;
wide-mouth line 1 per day
asphalt type Specifica 1 random for every if asphalt binder
can with connecting of HMA
used (see -tions 5 samples source is not on
friction top the plant production
Standard Section approved list,
lid storage tanks
Specifications 92 sample and test
Section 92) asphalt before
use
.

California Department of Transportation  Construction Manual  July 2017

6-1.32 Sample Types and Frequencies
 Table 6-1.13. Materials Acceptance Sampling and Testing Requirements:
Asphalt Concrete (Standard Specifications Section 39) (2 of 6)
Sample
Sampling
Size & Sampling Acceptance Test
Test Test Method Location Remarks
Container Frequency Frequency
(See Note 1)
Type
ASPHALT RUBBER BINDER
1-qt round Asphalt
Asphalt See Standard Certificate of
wide- rubber feed Production start-up
Rubber Specifications compliance
mouth can line 1 every lot evaluation and 1
Binder Section 39- required for
with friction connecting to random per 5 samples
Properties 2.03A(4)(e)(ii) each lot
top lid the HMA plant
1-qt round Asphalt For safety,
Asphalt
wide- rubber feed engineer may
Rubber 1 every lot;
ASTM D7741 mouth can line 1 every lot witness
Binder see Remarks
with friction connecting to contractor
Viscosity
top lid the HMA plant perform test
Certificate of
compliance
required for
1-qt round each shipment;
Base Asphalt See Standard wide- Production start-up if asphalt
Asphalt Each
Binder Specifications mouth can evaluation and 1 binder source
storage tank shipment
Properties Section 92 with friction random per 5 samples is not on
top lid approved list,
sample and
test asphalt
before use
1-qt round
wide-
mouth can
with friction
Asphalt ASTM D445 Sample port
top lid. or Each
Modifier ASTM D92 on tanker 1 random per project
1-qt shipment
Properties ASTM D2007 truck
rectangular
can with
screw-on
lid
CRM scrap
tire:
Two 2.5 lb
in gallon
Crumb
California Test zip-lock
Rubber
208, California bags; Each
Modifier CRM bulk bag 1 random per project
Test 385, CRM high shipment
(CRM)
ASTM D297 natural:
Properties
Two 2.5 lb
in gallon
zip-lock
bags
.

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.33
 Table 6-1.13. Materials Acceptance Sampling and Testing Requirements:
Asphalt Concrete (Standard Specifications Section 39) (3 of 6)
Sample
Sampling
Size & Sampling Acceptance Test
Test Test Method Location Remarks
Container Frequency Frequency
(See Note 1)
Type
HOT MIX ASPHALT: Type A
Loose mix Production start- Production start-up
10 lb, Test within
Moisture AASHTO T from behind up evaluation, evaluation, and
sealed metal 1 hour of
Content 329 the paver and minimum 1 minimum 1 per
container sampling
(see Note 4) per project project during paving
60 lb Loose mix 1 for each 750 Production start-up
Asphalt
AASHTO T (see Note 5) from behind tons, evaluation; minimum
Binder
308, Method A (8x8x3=8 the paver 1 per day 1 per day of paving
Content
boxes, (see Note 4) minimum
8x8x4=6
boxes, Loose mix 1 for each 750 Production start-up
Maximum
AASHTO T 8½x8½x4½= from behind tons, evaluation. 1 random
Theoretical
209 4 boxes) the paver 1 per day test per day of
Density
(see Note 5) (see Note 4) minimum paving

Production start-up
Loose mix Production start-
evaluation, and
Air Void AASHTO T from behind up evaluation, 1
minimum 1 random
Content 269 the paver every 25,000
100 lb for every 25,000
(see Note 4) tons of paving
(see Note 5) tons of paving
(8x8x3=12
Production start-up
boxes, Loose mix Production start-
Voids in SP-2 Asphalt evaluation, and
8x8x4=10 from behind up evaluation, 1
Mineral Mixture minimum 1 random
boxes, the paver every 25,000
Aggregate Volumetrics for every 25,000
8½x8½x4½= (see Note 4) tons of paving
tons of paving
8 boxes)
Production start-up
Loose mix Production start-
SP-2 Asphalt evaluation, and
Dust from behind up evaluation, 1
Mixture minimum 1 random
Proportion the paver every 25,000
Volumetrics for every 25,000 tons
(see Note 4) tons of paving
of paving
70 lb
(see Note 5)
Production start-up
(8x8x3=9 Production start- Not
Hamburg Loose mix at evaluation, and
AASHTO T boxes, up evaluation, 1 required
Wheel plant, truck, minimum 1 random
324 (Modified) 8x8x4=7 every 10,000 for Minor
Tracker or windrow for every 10,000 tons
boxes, tons of paving HMA
or less of paving
8½x8½x4½=
6 boxes)
140 lb Test for
(see Notes 5 dry
& 6) Production start-up strength
Production start-
(8x8x3=18 Loose mix at evaluation, and and wet
Moisture AASHTO T up evaluation, 1
boxes, plant, truck, minimum 1 random strength;
Susceptibility 283 every 50,000
8x8x4=15 or windrow test for every 50,000 not
tons of paving
boxes, tons of paving required
8½x8½x4½= for Minor
12 boxes) HMA

California Department of Transportation  Construction Manual  July 2017

6-1.34 Sample Types and Frequencies
 Table 6-1.13. Materials Acceptance Sampling and Testing Requirements:
Asphalt Concrete (Standard Specifications Section 39) (4 of 6)
Sample
Test Size & Sampling Sampling Acceptance
Test Remarks
Method Container (See Note 1) Frequency Test Frequency
Type
HOT MIX ASPHALT: With RAP/RAS
10 lb
AASHTO T (8x8x3=1 Production
164 box, Loose mix start-up
1 random for
8x8x4=1 from behind evaluation, 1
Binder Recovery every 25,000 tons
ASTM box, the paver every
or less of paving
D1856 8½x8½x4½ (see Note 4) 25,000 tons
=1 box) of paving

RUBBERIZED HOT MIX ASPHALT: Gap Graded

Production
Production start-
10 lb, Loose mix start-up
up evaluation, and Test within
AASHTO T sealed from behind evaluation,
Moisture Content minimum 1 per 1 hour of
329 metal the paver and
project during sampling
container (see Note 4) minimum 1
paving
per project
60 lb Loose mix 1 for each Production start-
AASHTO T
Asphalt Binder (see Note from behind 750 tons, 1 up evaluation; 1
308, Method
Content 5) (8x8x3=8 the paver per day random test per
A
boxes, (see Note 4) minimum day of paving
8x8x4=6 Loose mix 1 for each Production start-
Maximum boxes,
AASHTO T from behind 750 tons, 1 up evaluation;
Theoretical 8½x8½x4½
209 the paver per day minimum 1 per
Density =4 boxes) (see Note 4) minimum day of paving
Production Production start-
Loose mix start-up up evaluation, and
AASHTO T from behind evaluation, 1 minimum 1
Air Void Content
269 the paver every random test for
(see Note 4) 25,000 tons every 25,000 tons
100 lb of paving of paving
(see Note
Production Production start-
5)
SP-2 Loose mix start-up up evaluation, and
(8x8x3=12
Voids in Mineral Asphalt from behind evaluation, 1 minimum 1
boxes,
Aggregate Mixture the paver every random test for
8x8x4=10
Volumetrics (see Note 4) 25,000 tons every 25,000 tons
boxes,
of paving of paving
8½x8½x4½
=8 boxes) Production Production start-
SP-2 Loose mix start-up up evaluation, and
Asphalt from behind evaluation, 1 minimum 1
Dust Proportion
Mixture the paver every random test for
Volumetrics (see Note 4) 25,000 tons every 25,000 tons
of paving of paving
75 lb
(see Note Production Production start-
5) (8x8x3=9 start-up up evaluation, and
AASHTO Loose mix at
Hamburg Wheel boxes, evaluation, 1 minimum 1
T 324 plant, truck, or
Track 8x8x4=7 every random test for
(Modified) windrow
boxes, 10,000 tons every 10,000 tons
8½x8½x4½ of paving or less of paving
=6 boxes)

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.35
 Table 6-1.13. Materials Acceptance Sampling and Testing Requirements:
Asphalt Concrete (Standard Specifications Section 39) (5 of 6)
Sample
Test Size & Sampling Sampling Acceptance
Test Remarks
Method Container (See Note 1) Frequency Test Frequency
Type
RUBBERIZED HOT MIX ASPHALT: Gap Graded (continued)
75 lb
(see Notes
Production Production start- Test for
5 & 6)
start-up up evaluation, and dry
(8x8x3=18 Loose mix at
Moisture AASHTO T evaluation, 1 minimum 1 strength
boxes, plant, truck, or
Susceptibility 283 every random test for and wet
8x8x4=15 windrow
50,000 tons every 50,000 tons strength
boxes,
of paving of paving
8½x8½x4½
=12 boxes)
OPEN GRADED FRICTION COURSE (OGFC)
20 lb
(see Note
5) Loose mix 1 for each Production start-
AASHTO T
Asphalt Binder 4, 1-gal from behind 750 tons, 1 up evaluation;
308, Method
Content metal the paver per day minimum 1 per
A
containers (see Note 4) minimum day of paving
with friction
lids
Production
Production start-
10 lb, Loose mix start-up Test
up evaluation, and
AASHTO T sealed from behind evaluation, within 1
Moisture Content minimum 1 per
329 metal the paver and hour of
project during
container (see Note 4) minimum 1 sampling
paving
per project
BONDED WEARING COURSE: Gap Graded (BWC-G) (See Note 7)
20 lb
(see Note
5) 1 for each Production start-
AASHTO T
Asphalt Binder 4, 1-gal Loose mix at 750 tons, 1 up evaluation.
308, Method
Content metal plant per day Minimum 1 per
A
containers minimum day of paving
with friction
lids
Production Samples
Production start-
10 lb start-up should be
up evaluation, and
AASHTO T sealed Loose mix at evaluation, tested
Moisture Content minimum 1 per
329 metal plant and within 1
project during
container minimum 1 hour of
paving
per project sampling
PAVEMENT DENSITY
Density of cores
Final layer, Density
cored to the applies to
(% of maximum California 4- or 6–in 1 for each
specified total 1 for each 250 HMA
theoretical density) Test 375 cores 250 tons
paved tons thickness
thickness of 0.15 ft
(see Note 8)
or greater

California Department of Transportation  Construction Manual  July 2017

6-1.36 Sample Types and Frequencies
 Table 6-1.13. Materials Acceptance Sampling and Testing Requirements:
Asphalt Concrete (Standard Specifications Section 39) (6 of 6)
Sample
Sampling Acceptance
Size & Sampling
Test Test Method Location Test Remarks
Container Frequency
(See Note 1) Frequency
Type
PAVEMENT SMOOTHNESS
Pavement Entire final
Entire final Areas exempt
Straightedge N/A N/A surface; see surface; see
surface; see from Inertial
Note 9 Remarks
Remarks Profiler

Entire final
surface
Inertial California Test excluding areas
Profiler for 387 requiring
Mean Each 0.1 Pavement Entire final Entire final straightedge;
Roughness AASHTO R 56 mile surface surface surface; see use contractor-
Index and & AASHTO R Remarks furnished profiles
Areas of 57 for IRI values
Localized within 10% of
Roughness Caltrans’ IRI
values
TACK COAT
Based on
asphalt type 1-qt round
Spray bar on
used (see wide-mouth
Asphalt asphalt Each truck 1 random per
Standard can with
Binder distributor load project
Specifications friction top
truck
Section 92) lid

Based on
emulsion type 1/2-gal Spray bar on
Asphaltic used (see plastic jug emulsion Each truck 1 random per
Emulsion Standard with screw- distributor load project
Specifications on lid truck
Section 94)
Verify tack coat
spray rate is
sufficient to meet
the minimum
As necessary
specified
California Test for verification
Spread Rate N/A Pavement N/A residual rate.
339 of tack coat
(see example in
spread rate
Section 4-9403,
“During the
Course of Work,”
in this manual)
Notes:
1. Refer to California Test 125 for sampling procedures.
2. When using RAP, RAS or RAP/RAS, adjust gradation by the correction factor determined under California Test 384.
3. Store three 20-lb canvas bags for dispute resolution.
4. Sampling HMA behind the paver is the preferred location. You may also take samples from the windrow, production plant, or
truck.
5. Sample sizes are based on split samples—one sample for acceptance testing, and one for dispute resolution. Store one-half of
the boxes or cans for dispute resolution.
6. Contractor ships directly to district material laboratory.

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.37
7. For BWC using RHMA-G, RHMA-O, or HMA-O, sampling and testing must comply with requirements for RHMA-G, RHMA-O, or
HMA-O.
8. Determine percent of theoretical maximum density under California Test 375, except use AASHTO T 275 to determine in-place
density of each core and AASHTO T 209, Method A to determine theoretical maximum density instead of calculating maximum
density.
9. May use Inertial Profiler data and ProVAL Smoothness Assurance “Rolling Straightedge Comparison Tool” to assist in determining
where to check with 12-foot straightedge.

California Department of Transportation  Construction Manual  July 2017

6-1.38 Sample Types and Frequencies
 Table 6-1.14. Materials Acceptance Sampling and Testing Requirements:
Concrete Pavement (Standard Specifications Section 40) See Table 6-1.17 for concrete materials

Sample Size Sampling

Acceptance
Test Test Method & Container Location Remarks
Test Frequency
Size (See Note 1)
CONCRETE
2 beams of
1 set per age for
6x6x32 in. for Recommend
each 1,000 cu yd,
Modulus of centerpoint frequency of every
California Test Concrete truck 1 per day
Rupture (28- loading or 2,000 cu yd if after 10
523 discharge chute minimum; see
days) 6x6x20 in. for sets all tests are in
Remarks and
third-point compliance
Note 2
loading
1 every day of Only test when air
California Test See test Concrete truck
Air Content production; entrainment is
504 method discharge chute
see Remarks specified
PAVEMENT
4-in. diameter See Section 4-
California Test core, full 4004, “Level of 1 every 1,200 sq
Thickness
531 thickness of Inspection,” of this yd
pavement manual
Dowel Bar
1 test every 700 Each test consists of
Alignment Measurement 4-in. diameter Transverse
sq yd; see 2 cores, one on each
and Concrete and Inspection core size pavement joints
Remarks end of dowel bar
Consolidation
Tie Bar
1 test every 4,000 Each test consists of
Alignment Measurement 4-in. diameter Longitudinal
sq yd; see 2 cores, one on each
and Concrete and Inspection core size pavement joints
Remarks end of tie bar
Consolidation
1 test for each
Coefficient of California Test Each test consists of
N/A Pavement surface day of paving; see
Friction 342 5 measurements
Remarks
Measurement Entire final
Smoothness -
with 12-ft N/A Pavement surface surface requiring
Straightedge
straightedge straightedge
Smoothness -
Inertial
AASHTO R
Profiler for Entire final surface
56, AASHTO Entire final
Mean Profile excluding specified
R 57, and 0.1 mile Pavement surface surface; see
Index and areas
California Test Remarks
Areas of
387
Localized
Roughness

Notes:
1. Refer to California Test 125 for sampling procedures.
2. If concrete modulus of rupture is close to specification limit or outside the specification limits, sample and test concrete every
1,000 cu yd so that deductions may be taken for noncompliant material.

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.39
 Table 6-1.15. Materials Acceptance Sampling and Testing Requirements:
Existing Concrete Pavement (Standard Specifications Section 41)

Sample Size & Sampling

Acceptance
Test Test Method Container Location Remarks
Test Frequency
Size (See Note 1)
INDIVIDUAL SLAB REPLACEMENT WITH RAPID STRENGTH CONCRETE (Section 41-9)
Coefficient of California 1 every 1,200 sq Each test consists of 5
N/A Pavement surface
Friction Test 342 yd; see Remarks measurements
Measurement Entire final
Smoothness - Areas exempt from
with 12-ft N/A Pavement surface surface; see
Straightedge Inertial Profiler
straightedge Remarks
Modulus of 3 beams of
California Concrete truck
rupture (3- 6x6x20 inches 1 per shift
Test 524 discharge chute
days)
Notes:
1. Refer to California Test 125 for sampling procedures.

California Department of Transportation  Construction Manual  July 2017

6-1.40 Sample Types and Frequencies
 Table 6-1.16. Materials Acceptance Sampling and Testing Requirements:
Concrete Structures (Standard Specifications Section 51) See Table 6-1.17 for concrete materials

Sample Size & Sampling

Acceptance
Test Test Method Container Location Remarks
Test Frequency
Size (See Note 1)
JOINT SEALS TYPE B (Section 51-2.02C(2))
Certificate of
compliance and
certified test report
Various
required for each lot;
properties;
See Standard test report must include
must comply
Specifications Each lot; the seal movement
with Standard 1 piece, 3 ft Job site
Section 51- see Remarks rating, manufacturer
Specifications
2.02(C) minimum
Section 51-
uncompressed width
2.02C(2)
and test results;
submit samples at least
30 days before use
JOINT SEALS Type A and Type AL (Section 51-2.02B)
Various
properties; Certificate of
See Standard
must comply 1 qt of each 1 sample from compliance required for
Specifications
with Standard component and Job site each component each batch of sealant;
Section 51-
Specifications primer of each batch submit samples at least
2.02B(2)
Section 51- 30 days prior to use
2.02B(2)
Notes:
1. Refer to California Test 125 for sampling procedures.

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.41
 Table 6-1.17. Materials Acceptance Sampling and Testing Requirements:
Concrete (Standard Specifications Section 90) (1 of 6)
Concrete, Except Minor Concrete and Rapid Strength Concrete

Sample Size & Sampling

Acceptance
Test Test Method Container Location Remarks
Test Frequency
Size (See Note 1)
AGGREGATE: Coarse Aggregate
Prior to production
Los Angeles and minimum 1 1 for every 4,000 cu yd,
Rattler California random test for if initial test shows
See Note 2 Stockpile
(loss at 500 Test 211 every 25,000 cu abrasion loss greater
revolutions) yd; than 40%
see Remarks
Recommend 1
Prior to production acceptance test per day
and minimum 1 if 3 consecutive results
Cleanness California for every 600 cu exceed 80; increase
25 lb Stockpile
Value Test 227 yd, 1 per day sampling to 1 for every
minimum; 300 cu yd (deductive lot)
see Remarks with engineer’s
authorization
Recommend 1
Prior to production acceptance test per day
and minimum 1 if 3 consecutive results
Sieve California for every 600 cu are within operating
50 lb Belt Feed
Analysis Test 202 yd, 1 per day range; increase sampling
minimum; see to 1 for every 300 cu yd
Remarks (deductive lot) with
engineer’s authorization
AGGREGATE: Fine Aggregate
Prior to production
Organic California or when
See Note 2 Stockpile
Impurities Test 213 contamination is
suspected
California
Durability See Note 2 Stockpile Prior to production
Test 229
Recommend 1
Prior to production acceptance test per day
and minimum 1 if 3 consecutive results
Sand California for every 600 cu exceed 80; increase
25 lb Stockpile
Equivalent Test 217 yd, 1 per day sampling to 1 for every
minimum; 300 cu yd (deductive lot)
see Remarks with engineer’s
authorization
Recommend 1
Prior to production acceptance test per day
and minimum 1 if 3 consecutive results
Sieve California for every 600 cu are within operating
50 lb Belt feed
Analysis Test 202 yd, 1 per day range; increase sampling
minimum; see to 1 for every 300 cu yd
Remarks (deductive lot) with
engineer’s authorization

California Department of Transportation  Construction Manual  July 2017

6-1.42 Sample Types and Frequencies
 Table 6-1.17. Materials Acceptance Sampling and Testing Requirements:
Concrete (Standard Specifications Section 90) (2 of 6)
Concrete, Except Minor Concrete and Rapid Strength Concrete
Sample Size Sampling
Acceptance
Test Test Method & Container Location Remarks
Test Frequency
Size (See Note 1)
AGGREGATE: Coarse & Fine Aggregate
California Test Prior to production
Specific
206, and when
Gravity and See Note 2 Stockpile
California Test aggregate source
Absorption
207 changes
Soundness for fine
California Test
Soundness See Note 2 Stockpile Prior to production aggregate waived if
214
durability is ≥ 60
Sieve Analysis
Recommend 1
(combined Prior to production
acceptance test per day
gradation and minimum 1
if 3 consecutive results
determined for every 600 cu
California Test are within operating
with fine and N/A yd, 1 per day
202 range. Increase sampling
coarse minimum;
to 1 for every 300 cu yd
aggregate see Remarks
(deductive lot) with
sieve
engineer’s authorization
analyses)
CEMENTITIOUS MATERIALS
Cement, Cement must be on
various Authorized Material List;
Sample each 100
properties; See Standard cement accepted based
tons of cement, 2
must comply Specifications on certificate of
8 lb Concrete plant per day
with Standard Section 90- compliance with each
maximum;
Specifications 1.02B(2) shipment; recommend 1
see Remarks
Section 90- verification test per 5
1.02B(2) samples
Supplementary
Cementitious
Materials SCMs must be on
(SCM), Sample each 100 Authorized Material List;
See Standard
various tons of SCM, 2 SCM accepted based on
Specifications
properties; 8 lb Concrete plant per day certificate of compliance
Section 90-
must comply maximum; with each shipment;
1.02B(3)
with Standard see Remarks recommend 1 verification
Specifications test per 5 samples
Section 90-
1.02B(3)

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.43
 Table 6-1.17. Materials Acceptance Sampling and Testing Requirements:
Concrete (Standard Specifications Section 90) (3 of 6)
Concrete, Except Minor Concrete and Rapid Strength Concrete
Sample Size Sampling
Acceptance
Test Test Method & Container Location Remarks
Test Frequency
Size (See Note 1)
WATER
California Test Clean 2-qt
Chlorides Water supplies for
422 plastic jug with 1 per source;
At point of use domestic use do not
California Test lined, sealed see Remarks
Sulfates need to be tested
417 lid
ASTM C 191
Setting Time or
ASTM C 266
Mortar
Compressive ASTM C109 Contact METS
Water supplies for
Strength for required 1 per source;
At point of use domestic use do not
quantity of see Remarks
Coloring need to be tested
Must comply water sample
Agents
with Standard
Alkalis Specifications
Section 90-
Specific
1.02D
Gravity
ADMIXTURES: Air Entraining Agent
Air entraining Must be on Authorized
properties Material List and
See Standard 1-qt can or
Must comply Sample each certificate of compliance
Specifications plastic bottle of
with Standard Concrete plant shipment; must accompany each
Section 90- liquid, 2 lb of
Specifications see Remarks shipment; recommend 1
1.02E powder
Section 90- verification test per 5
1.02E samples
CHEMICAL ADMIXTURE: Water Reducers or Set Retarders
Must be on Authorized
ASTM C494 Material List and
Claimed
Type A, B, D, 1-qt can of Sample each certificate of compliance
properties,
F or Type G liquid, 2 lb of Concrete plant shipment; must accompany each
chloride
California Test powder see Remarks shipment; recommend 1
identification
415 verification test per 5
samples
CONCRETE for Pavement and Structures
AASHTO T Engineer may use
160 Modified contractor-provided test
Prior to
See Standard Set of three: During mix design result for acceptance;
Shrinkage production;
Specifications 4x4x11¼ in. process test results must be
see Remarks
Section 90- within 3 years of contract
1.01D(3) authorization date

California Department of Transportation  Construction Manual  July 2017

6-1.44 Sample Types and Frequencies
 Table 6-1.17. Materials Acceptance Sampling and Testing Requirements:
Concrete (Standard Specifications Section 90) (4 of 6)
Concrete, Except Minor Concrete and Rapid Strength Concrete
Sample Size &
Sampling Acceptance
Test Test Method Container Remarks
Location Test Frequency
Size
CONCRETE Designated Compressive Strength 3600 psi or Greater
As necessary to No deductions for
Concrete truck assure accuracy cement content will be
California See test
Yield discharge chute; of mix design; made based on the
Test 518 method
see Note 3 minimum 2 per results of California
each mix design Test 518
When compressive
test specimen is
ASTM C143, Concrete truck fabricated and
Concrete See test
California discharge chute; when consistency
Uniformity method
Test 533 see Note 3 or uniformity is
questionable,
minimum 2 per day
Concrete truck
Concrete California When uniformity
100 lb discharge chute;
Uniformity Test 529 is questionable
see Note 3
1 set per age for
every 300 cu yd
For trial batches, see
1 set of 2 concrete or as
ASTM C172, Concrete truck Standard Specifications
Compressive cylinders required for
California discharge chute; or job special provisions
Strength 6x12 in. for acceptance,
Test 540 see Note 3 and Section 6-3, “Field
each test minimum 1 set per
Tests,” of this manual
project;
see Remarks
1 every 4 hours of
production and Where air is specified
Concrete truck
California See test when test for freeze-thaw
Air Content discharge chute;
Test 504 method specimens are resistance, a minimum
see Note 3
fabricated; of 1 every 30 cu yd
see Remarks
CONCRETE WITH COMPRESSIVE STRENGTH LESS THAN 3,600 psi
When compressive
ASTM C143, Concrete truck test specimen is
Concrete See test
California discharge chute; fabricated and
Uniformity method
Test 533 see Note 3 when uniformity is
questionable
Concrete truck
Concrete California When uniformity
100 lb discharge chute;
Uniformity Test 529 is questionable
see Note 3
California 1 set of 2 1 set per age for
Concrete truck
Compressive Test 540, cylinders, every 300 cu yd,
discharge chute;
Strength California 6x12 in., for minimum 1 set
see Note 3
Test 521 each test per project
When compressive Where air is specified for
Concrete truck
California See test test specimens are freeze-thaw resistance, a
Air Content discharge chute;
Test 504 method fabricated; minimum of 1 every 100
see Note 3
see Remarks cu yd

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.45
 Table 6-1.17. Materials Acceptance Sampling and Testing Requirements:
Concrete (Standard Specifications Section 90) (5 of 6)
Concrete, Except Minor Concrete and Rapid Strength Concrete
Sample Size &
Sampling Acceptance
Test Test Method Container Remarks
Location Test Frequency
Size
CURING COMPOUND
Each shipment must
have certificate of
compliance that
Curing includes:
Compound; 1. Test results for tests
must comply specified in Section
At time of use; 1 every shipment;
with Standard ASTM C309 1-qt can 90-1.01D(6) of
see Note 1 see Remarks
Specifications Standard
Section 90- Specifications
1.03B(3) 2. Certification that
material was tested
within 12 months
before use
CEMENTITIOUS MATERIALS
Cement,
various Cement source must be
properties; See Standard Sample and test if shown on Authorized
must comply Specifications cement quality is Material List;
8 lb Concrete plant
with Standard Section 90- questionable; certificate of compliance
Specifications 1.02B(2) see Remarks must accompany each
Section 90- cement shipment
1.02B(2)
Supplementary
Cementitious
Materials
SCM source must be
(SCM),
See Standard Sample and test if shown on Authorized
various
Specifications SCM quality is Material List;
properties; 8 lb Concrete plant
Section 90- questionable; certificate of compliance
must comply
1.02B(3) see Remarks must accompany each
with Standard
SCM shipment
Specifications
Section 90-
1.02B(3)
ADMIXTURES: Air Entraining Agent
Air entraining
properties; Must be on Authorized
See Standard
must comply Material List and
Specifications
with Standard N/A N/A See Remarks certificate of compliance
Section 90-
Specifications must accompany each
1.02E
Section 90- shipment
1.02E
CHEMICAL ADMIXTURES: Water Reducers or Set Retarders
ASTM C494 Must be on Authorized
Claimed
Type A, B, D, Material List and
properties,
F or Type G N/A N/A See Remarks certificate of compliance
chloride
California must accompany each
identification
Test 415 shipment

California Department of Transportation  Construction Manual  July 2017

6-1.46 Sample Types and Frequencies
 Table 6-1.17. Materials Acceptance Sampling and Testing Requirements:
Concrete (Standard Specifications Section 90) (6 of 6)
Minor Concrete
Sample Size &
Sampling Acceptance
Test Test Method Container Remarks
Location Test Frequency
Size
CONCRETE
As necessary to
No deductions for cement
assure accuracy
Concrete truck content will be made
California See test of mix design;
Yield discharge chute; based on the results of
Test 518 method minimum 1 per
see Note 3 California Test 518
each mix design;
see Remarks
Sample and test if Minor concrete must have
California 1 set of 2 concrete quality is the strength described or
Concrete truck
Compressive Test 540, cylinders, questionable; 2,500 psi, whichever is
discharge chute;
Strength California 6x12 in., for minimum 1 per greater; see Standard
see Note 3
Test 521 each test mix design; Specifications Section 90-
see Remarks 1.02A
Where air is
specified for Where air is specified for
Concrete truck
California See test freeze-thaw freeze-thaw resistance, a
Air Content discharge chute;
Test 504 method resistance, a minimum of 1 every 100
see Note 3
minimum of 1 cu yd
every 100 cu yd
CURING COMPOUND
Each shipment must have
certificate of compliance
that includes:
Curing
1. Results for tests
Compound;
specified in Section
must comply
At time of use; 1 every shipment; 90-1.01D(6) of
with Standard ASTM C309 1-qt can
see Note 1 see Remarks Standard
Specifications
Specifications
Section 90-
2. Certification that
1.03B(3)
material was tested
within 12 months
before use
Notes:
1. Refer to California Test 125 for sampling procedures.
2. For initial testing, provide 100 lb of 1-1/2 in. x 3/4 in., 75 lb of 3/4 in. x No. 4, 75 lb of pea gravel, and 50 lb of sand. Use this
material for California Test 202, 206, 207, 211, 213, 214, 217, 227 and 229.
3 Refer to California Test 539 for method of sampling fresh concrete.

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.47
 Table 6-1.18. Materials Acceptance Sampling and Testing Requirements:
Miscellaneous Materials (1 of 4)
Sample Size
Sampling Acceptance
Test Test Method & Container Remarks
Location Test Frequency
Size
BARBED WIRE AND WIRE MESH FENCES (Section 80-2)
Barbed Wire,
various
properties; As necessary for
must comply verification if
ASTM A121 1 yd length Job site
with Standard quality is
Specifications questionable
Section 80-
2.02D
BOLTS AND HARDWARE (Section 75)
Sample and test if not
2 samples
Each lot previously inspected at
each diameter
the source
CHAIN LINK FENCES (Section 80-3)
Wire Mesh,
various Each lot for
properties; verification if Certificate of
ASTM A116,
must comply 2 ft width Job site quality is compliance required for
Class 1
with Standard questionable; vinyl clad fencing
Specifications see Remarks
Section 80
CONCRETE PIPE (Section 65)
Compliance Sample and test if not
Contact METS Contact METS for
with previously inspected at
for instructions instructions
specifications source
CONDUIT (Section 86-1.02B)
Conduit,
various
2 ft. long from
properties; See Standard As necessary for
center of
must comply Specifications verification if
length, Job site
with Standard Section 86- quality is
2 samples
Specifications 1.02B questionable
each size
Section 86-
1.02B
ELECTRICAL CONDUCTORS AND CABLES (Section 86-1.02F)
Electrical
Conductors
and Cables,
2 ft. long,
various Each lot for
See Standard include
properties; verification if
Specifications markings, 2 Job site
must comply quality is
Section 86 samples per
with Standard questionable
gauge
Specifications
Section 86-
1.02F

California Department of Transportation  Construction Manual  July 2017

6-1.48 Sample Types and Frequencies
 Table 6-1.18. Materials Acceptance Sampling and Testing Requirements:
Miscellaneous Materials (2 of 4)

Sample Size
Sampling Acceptance
Test Test Method & Container Remarks
Location Test Frequency
Size
EXPANSION JOINT FILLER
Compliance Each 1,000 sq ft
6 in. long, full
with not less than 2 per
width of sheet
specifications shipment
GEOSYNTHETICS (Section 96)
Various
Each lot for Certificate of compliance
properties;
See Standard verification if required for each lot;
must comply 1 piece, 3 ft x
Specifications Job site quality is unroll at least 1
with Standard full width of roll
Section 96 questionable. circumference before
Specifications
See Remarks sampling
Section 96
PAINT (Section 91)
Paint, various For If less than 20 gallons,
properties; miscellaneous testing not required and
See Standard
must comply painting, 1 qt Each batch; resident engineer must
Specifications Job site
with Standard (see Section see Remarks field release. Zinc-rich
Section 91
Specifications 6-2 of this primer must be on the
Section 91 manual) Authorized Material List
PAVEMENT MARKERS (Section 81-3)
Pavement
Markers,
As necessary for
various
See Standard verification if Each shipment must
properties;
Specifications 20 markers Job site quality is have certificate of
must comply
Section 81-3 questionable; compliance
with Standard
see Remarks
Specifications
Section 81-3
PERMEABLE MATERIALS: (Section 68-2.02F)
Durability California Test
50 lb Stockpile Prior to use
Index 229
Sieve California Test Prior to use,1
50 lb Stockpile
Analysis 202 every day
PERMEABLE MATERIALS: Class 3 (Section 68-2.02F)
Crushed California Test
50 lb Stockpile Prior to use
Faces 205
PRESTRESSED TENDON GROUT (Section 50)
Efflux time California Test One 6x12 in. From batch At the start of Repeat acceptance tests
541 cylinder mold immediately after each day’s work, whenever source of
can mixing for and thereafter 1 material is changed
prequalification, test per each 5%
thereafter from of ducts;
outlet end of see Remarks
tendon and/or
storage tank

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.49
 Table 6-1.18. Materials Acceptance Sampling and Testing Requirements:
Miscellaneous Materials (3 of 4)

Sample Size & Acceptance

Sampling
Test Test Method Container Test Remarks
Location
Size Frequency
RAISED BARS (PRECAST)
Compliance Sample and test if not
1 unit or full
with Each lot previously inspected at
size bar
specifications the source
REINFORCING STEEL (Section 52)
As necessary for
2 samples,
Reinforcing See Standard verification if Each shipment must be
30 in., except
Steel, various Specifications Job site quality is accompanied by a
40 in. for No.
properties Section 52 questionable; certificate of compliance
14 and No. 18
see Remarks
SLOPE PROTECTION (Section 72)
Adequate size of slope
As required for
Quarry or protection documented by
Size N/A acceptance;
stockpile measuring or weighing
see Remarks
the material
Apparent California Test
Specific 206
Gravity
Quarry or
Absorption California Test 75 lb Prior to use
stockpile
206
Durability California Test
Index 229
STEEL PRODUCTS
Contact METS Contact METS
for instructions for instructions
STRUCTURAL STEEL AND MISCELLANEOUS METAL (Sections 55 & 75)
2 samples, Each heat or Sample and test if not
30-in., cut melt or 10 tons previously inspected at
parallel to or fraction the source
direction of
rolling
STRUCTURAL STEEL COATINGS (Section 59)
Paint, various See Standard For bridge or Job site Each batch; Unused portion of 5-gal
properties; Specifications major structure, see Remarks sample will be returned to
must comply Section 59 send an job; see Section 6-2,
with Standard unopened 5-gal “Acceptance of
Specifications can Manufactured or
Section 59 Fabricated Materials and
Products,” of this manual

California Department of Transportation  Construction Manual  July 2017

6-1.50 Sample Types and Frequencies
 Table 6-1.18. Materials Acceptance Sampling and Testing Requirements:
Miscellaneous Materials (4 of 4)

Sample Size
Sampling Acceptance
Test Test Method & Container Remarks
Location Test Frequency
Size
WATER-PROOFING MATERIALS (Section 54)
9 sq ft of
ASTM D1668, asphalt 1 sample from
Glass Fiber Job site
Type 1 saturated each lot
cotton fabric
1 sample from
Asphalt ASTM D449 5 lb of asphalt Job site
each lot
1 qt of asphalt 1 sample from
Primer ASTM D41 Job site
primer each lot
WELDED WIRE REINFORCEMENT (Section 52-1.02C)
Welded Wire ASTM A 9 sq ft Job site As necessary for Each shipment must be
Reinforcing 1064/A 1064M verification if accompanied by a
Steel, quality is certificate of compliance
must comply questionable;
with Standard see Remarks
Specifications
Section 52-
1.02C

California Department of Transportation  Construction Manual  July 2017

Sample Types and Frequencies 6-1.51
Chapter 6 Sampling and Testing

Section 2 Acceptance of Manufactured or Fabricated Materials and

Products
6-201 General
6-201A References
6-202 Responsibilities for Acceptance of Manufactured or Fabricated Materials
and Products
6-202A Contractor
6-202A (1) Notice of Materials to Be Used
6-202A (2) Certificates of Compliance, Mill Test Reports, and Buy America Requirements
6-202A (3) Shop Drawings
6-202A (4) Quality Control Plans
6-202B Resident Engineer
6-202B (1) Notice of Materials to Be Used
6-202B (2) Job Site Materials Inspection
6-202B (3) Authorized Facilities Audit List
6-202B (4) Materials Production Plants
6-202C Materials Engineering and Testing Services
Figure 6-2.1 Inspection and Release Flowchart—Source Inspection
6-202C (1) Processing Form CEM-3101
6-202C (2) Form TL-0028, “Notice of Materials to Be Inspected at Jobsite”
6-202C (3) Form TL-0608, “Notice of Materials to Be Furnished”
6-202C (4) Form TL-0038, “Inspection Request”
6-202D Assignment to Resident Engineer
6-203 Manufactured or Fabricated Materials and Products Acceptance
6-203A Source Inspection
Figure 6-2.2 Source Inspection Flowchart
6-203A (1) Inspection Requests and Dispatching
6-203A (2) Material Inspection—Sampling and Release
6-203A (3) Nonconforming Materials at the Source
6-203A (4) Source Inspection Expense Deductions
6-203A (5) Source Inspected Materials Acceptance
Table 6-2.1 Inspection of Fabricated and Manufactured Materials
6-203A (6) Materials Manufactured to Caltrans-Specified Formulation
6-203B Materials Accepted on the Basis of Authorized Material List
Table 6-2.2 Materials Acceptance Based on Authorized Material List
6-203C Materials Accepted on the Basis of a Certificate of Compliance
Table 6-2.3 Materials Accepted by Certificate of Compliance

California Department of Transportation  Construction Manual  July 2017

Acceptance of Manufactured or Fabricated Material and Products 6-2.i
 6-203C (1) Asphalt
6-203C (2) Asphalt Rubber Latex Joint Filler
6-203C (3) Two-Component Joint Sealing Compounds
6-203C (4) Cement
6-203C (5) Paint
6-203C (6) Pavement Traffic Stripe and Marking Materials
6-203C (7) Reinforcement
6-203D Field Inspection and Release by the Resident Engineer
Figure 6-2.3 Inspection and Release Flowchart—Inspection at Job Site

California Department of Transportation  Construction Manual  July 2017

6-2.ii Acceptance of Manufactured or Fabricated Material and Products
Chapter 6 Sampling and Testing
Section 2
Section 2 Acceptance of Manufactured or Fabricated Acceptance of
Materials and Products Manufactured or
Fabricated
Materials and
Products
6-201 General 6-201
This section describes procedures for acceptance of manufactured or fabricated General
materials and products. This section also describes the types of materials that are
considered manufactured materials and provides guidelines for sampling these
materials.
Sampling and testing materials and products must be done in accordance with contract
specifications. Sampling and testing are of equal importance for assuring materials and
products meet acceptance specifications.
The contractor is responsible for notifying the resident engineer of the need for
inspection and acceptance testing of manufactured materials and products by
submitting Form CEM-3101, “Notice of Materials to Be Used,” early in the project.
Refer to Section 6-202, “Responsibilities for Acceptance of Manufactured or
Fabricated Materials and Products,” of this manual for details on completing and
submitting this form.
The resident engineer needs to be knowledgeable about acceptance methods used for
different manufactured or fabricated materials and products, including:
Source inspection and testing.
• Manufacturer certificate of compliance.
• Manufacturer certificate of compliance with additional attachments.
• Field release of material.
• Field samples of manufactured materials or products.
When field sampling of manufactured or fabricated materials or products is required,
the resident engineer is responsible for the “chain of custody” for material and product
acceptance samples. Material acceptance samples must be under the control of Caltrans
from the sampling point to when the sample is tested. The chain of custody for material
and product samples is an important part of the Caltrans quality assurance program.

6-201A References
• Independent Assurance Manual, Materials Engineering and Testing Services
(METS), Caltrans:
http://www.dot.ca.gov/hq/esc/Translab/ormt/IA_reports/index.htm
• Bridge Construction Records and Procedures manual, Vol. 2, Structure
Construction:
http://www.dot.ca.gov/hq/esc/construction/manuals/

California Department of Transportation  Construction Manual  July 2017

Acceptance of Manufactured or Fabricated Material and Products 6-2.1
 • California Test, METS, Caltrans:
http://www.dot.ca.gov/hq/esc/ctms/index.html
• AASHTO, ASTM, and other test methods are available at IHS Standards Expert
website (by clicking on IHS Spec’s and Standards Search), accessible by Caltrans
staff at:
http://des.onramp.dot.ca.gov/materials-engineering-and-testing-services-mets
• J2 Database, METS, Structural Materials electronic materials management
database where each project’s test results and CEM-3101 responses are captured
along with other METS project-related information and accessible by Caltrans
staff:
http://onramp.dot.ca.gov/hq/esc/mets/structure_materials/
• Material Plant Quality Program (MPQP), Division of Construction:
http://www.dot.ca.gov/hq/construc/hma/
• Quality Manual, METS, Structural Materials, methods and procedures to provide
consistent quality assurance and source inspection:
http://onramp.dot.ca.gov/hq/esc/mets/structure_materials/restrictedosm/osms
mrdataspry.php?tab=21
• Overhead Sign Structures Guide, Design and Technical Services, accessible to
Caltrans staff:
http://des.onramp.dot.ca.gov/structure-policy-innovation/signs-overhead-
structures

6-202 6-202 Responsibilities for Acceptance of Manufactured or Fabricated

Responsibilities for Materials and Products
Acceptance of The following describe the responsibilities for acceptance of manufactured or
Manufactured or fabricated materials and products.
Fabricated Materials
and Products 6-202A Contractor
The contractor is responsible for providing materials that comply with the contract
specifications. The contractor is responsible for the quality of materials and, where
required by the specifications, must provide a notice of materials to be used, shop
drawings, certificates of compliance, mill test reports, quality control plans, and quality
control test results. The contractor must use materials from the Authorized Material
List, provide fabricated materials from audited facilities, and use materials that comply
with Buy America requirements.

6-202A (1) Notice of Materials to Be Used

The contractor is responsible for submitting Form CEM-3101, “Notice of Materials to
Be Used,” to the resident engineer for all materials to be used on the project. The
contractor must provide sufficient notification to the resident engineer on the source
and location of materials to be inspected and tested so that the work will not be
delayed. Section 6, “Control of Materials,” of the Standard Specifications requires the
contractor to list on Form CEM-3101 all sources of materials and locations where these

California Department of Transportation  Construction Manual  July 2017

6-2.2 Acceptance of Manufactured or Fabricated Material and Products
materials are available for inspection. Receiving this form in a timely manner is critical
to the success of the materials management process.
Form CEM-3101, which includes detailed instructions, is available at:
http://www.dot.ca.gov/hq/construc/forms.htm

6-202A (2) Certificates of Compliance, Mill Test Reports, and Buy America
Requirements
The Standard Specifications requires the contractor to submit a certificate of
compliance for various materials before they are incorporated into the work. Section 6-
2.03C, “Certificates of Compliance,” of the Standard Specifications states that when a
certificate of compliance is required it must:
• Be submitted for each lot of material and clearly indicate which lot is included in
the certificate.
• Be signed by the producer of the material stating that it complies with the contract.
The intent of the certificate of compliance is to communicate to Caltrans that the
contractor has accepted the material and is confident that it complies with the contract
specifications. The contractor is responsible for providing the certificate of compliance
prior to incorporating material into the project. The certificate of compliance and any
supporting documentation must accompany the material to the job site when materials
are delivered.
Table 6-2.3, “Materials Accepted by Certificate of Compliance,” in Section 6-203C,
“Materials Accepted on the Basis of a Certificate of Compliance,” of this manual
provides a list of materials requiring a certificate of compliance, as well as any
additional documents.
The Standard Specifications requires the contractor to provide certified test reports
along with the certificate of compliance for various materials. For steel, this test data is
commonly known as a mill test report. A certified mill test report is required for each
heat and must contain physical and chemical analysis of the material. The requirements
for the mill test report vary depending on the section of the Standard Specifications the
material falls under.
Section 6-1.04, “Buy America,” of the Standard Specifications provides detailed
information on Buy America requirements. Refer to Section 3-604, “Buy America,” of
this manual for additional information. The following are examples of acceptable
language included in the certificate of compliance to verify Buy America compliance:
“All melting and manufacturing processes for the product occurred in U.S.”
“100% melted and manufactured in the U.S.A.”

6-202A (3) Shop Drawings

The Standard Specifications requires the contractor to submit shop drawings for review
by Caltrans for certain structures such as structural steel and structural precast concrete.
The shop drawings must include both shop details and erection plans. For more
information on submittal and authorization of shop details and erection plans, refer to
the Standard Specifications.
Contractors must submit shop drawings for overhead sign structures. For more
information on submittal and authorization of shop drawings, refer to the Overhead

California Department of Transportation  Construction Manual  July 2017

Acceptance of Manufactured or Fabricated Material and Products 6-2.3
 Sign Structures Guide. Section 4-56, “Overhead Sign Structures, Standards, and
Poles,” of this manual contains additional information.
Prior to Caltrans performing any source inspection, the contractor is required to have a
copy of the authorized shop drawings at the location of inspection.

6-202A (4) Quality Control Plans

The Standard Specifications requires the contractor to submit a quality control plan for
certain types of production. Information on quality control plans for those production
types is provided in the Standard Specifications:
• Section 11-2, “Welding Quality Control.” METS also has information on quality
control plan requirements for welding:
http://www.dot.ca.gov/hq/esc/Translab/OSM/smbresources.htm
• Section 39-2: “Hot Mix Asphalt.” The Division of Construction also offers
guidance on quality control issues:
http://www.dot.ca.gov/hq/construc/hma/
• Section 40-1: “Concrete Pavement”
• Section 41-9: “Individual Slab Replacement with Rapid Strength Concrete”
• Section 56-2: “Overhead Sign Structures”
• Section 59-2: “Painting Structural Steel”
• Section 59-5: “Thermal Spray Coat Structural Steel”
• Section 90-4: “Precast Concrete”
The resident engineer does not allow work to begin until the quality control plan is
authorized for that production. For more information on the contents of quality control
plans, refer to the Standard Specifications.
Specifications for welded products usually require the contractor to submit the
fabricator’s welding quality control plan to the resident engineer for authorization prior
to manufacturing any products for Caltrans. For details on quality control plans for
welding, refer to Section 180, “Welding,” of Bridge Construction Records and
Procedures, Vol. 2:
http://www.dot.ca.gov/hq/esc/construction/manuals/

6-202B Resident Engineer

The resident engineer must ensure that materials entering the work comply with the
requirements in the contract specifications.

6-202B (1) Notice of Materials to be Used

The resident engineer must ensure that the contractor submits Form CEM-3101,
“Notice of Materials to Be Used,” for all materials. If the contractor does not submit
Form CEM-3101 before the preconstruction conference, provide a list to the contractor
during the preconstruction meeting of materials that are required to be listed on Form
CEM-3101.

California Department of Transportation  Construction Manual  July 2017

6-2.4 Acceptance of Manufactured or Fabricated Material and Products
If the sources of all materials are not known, the contractor may submit a partial list of
materials sources on Form CEM-3101 and submit Form CEM-3101 supplements as
soon as other sources are known.
METS developed the J2 database for tracking project materials requirements, Form
CEM-3101 processing, materials test results, and source inspection. Entering the
contract number at the top of the database in the “Projects” box opens that project’s
main page. Clicking on the “3101 Report” tab opens a list of all the bid items requiring
CEM-3101s for the project and which CEM-3101s have been received. The list shows
the name and address of the supplier and the date the CEM-3101 was received.
Assistance in developing a list of project materials that require Form CEM-3101 and in
navigating the J2 database is available from the structural materials representative for
the project:
http://www.dot.ca.gov/hq/esc/Translab/OSM/
The contractor’s submitted Form CEM-3101 must include the following information:
• The contract number and the contract items for which the material will be used. If
the contractor uses a project number (different from the Caltrans contract number),
include that number.
• The name, address, and telephone number of the manufacturer.
• The name, address, and telephone number of the supplier or manufacturer where
the material can be inspected.
• If the source of material is out-of-state, also include the name, address, and
telephone number of the contractor or subcontractor placing the order and the
order number.
Check Form CEM-3101 for the required information and for completeness. To ensure
that all structural materials are listed, a list of materials necessary based on contract bid
item is available at:
http://www.dot.ca.gov/hq/esc/Translab/OSM/j2_item_categories.php
If the contractor’s Form CEM-3101 is incomplete or incorrect, require the contractor to
complete the form. When the contractor’s Form CEM-3101 has been reviewed and is
complete, promptly distribute Form CEM-3101 copies, including one to METS. The
resident engineer sends Form CEM-3101 to the materials administrator using one of
the following methods:
• Email: [email protected]
• Fax: (916) 227-7084
• Postal mail:
Materials Administrator, Mail Station #5
Materials Engineering and Testing Services
5900 Folsom Blvd, Room 517
Sacramento, CA 95819
METS will make required assignments for sampling, testing, and inspection of
materials as noted in Section 6-202C, “Materials Engineering and Testing Services,” of
this manual.

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Acceptance of Manufactured or Fabricated Material and Products 6-2.5
 6-202B (2) Job Site Materials Inspection
Based on assignment of materials inspection from METS to the resident engineer and
the information shown on Form CEM-3101, the resident engineer must identify the
appropriate district samplers, testers, and inspectors. Following is a partial list of those
who may need to be notified to perform material acceptance:
• District staff who will be obtaining samples and tests on each material.
• District staff who will be obtaining samples for each material accepted on the basis
of a certificate of compliance. Testing is normally done by METS.
• Structure Construction for reviewing and authorizing shop drawings for overhead
sign structures.
• District weights and measures coordinator for inspecting materials plants in
accordance with the MPQP.

6-202B (3) Authorized Facilities Audit List

Some structural materials such as structural precast concrete, overhead signs and poles,
and steel pipe piling must be fabricated at a facility on the authorized facility audit list
of fabricators who have successfully completed Caltrans’ facility audit. If these
materials are included in the scope of work, ensure that the contractor is aware of these
requirements. Information on the authorized facility audit list is available at:
http://www.dot.ca.gov/hq/esc/Translab/OSM/

6-202B (4) Materials Production Plants

The resident engineer must ensure materials production plants meet specifications prior
to producing material for Caltrans. Request assistance from the district weights and
measures coordinator for inspecting materials plants including:
• Hot mix asphalt plants
• Concrete plants
• Volumetric proportioning plants (rapid strength concrete, polyester concrete, and
pavement seal coats)
Section 9-1.02 , “Measurement,” of the Standard Specifications indicates the general
requirements for weighing, measuring, or metering devices and the requirement to
place security seals on material plant controllers. The district weights and measures
coordinator will follow the MPQP and the contract specifications for material plant
authorization.

6-202C Materials Engineering and Testing Services

METS assigns personnel for sampling, testing, and inspecting manufactured materials
and products, usually at the source of supply. Manufactured materials and products
shown in Table 6-2.3, “Materials Accepted by Certificate of Compliance,” in Section
6-203C, “Materials Accepted on the Basis of a Certificate of Compliance,” of this
manual, are the responsibility of METS but have been delegated to the resident
engineer for inspection.
METS assigns the responsibility for sampling, testing, and inspecting manufactured
materials and products based on the information submitted on Form CEM-3101.

California Department of Transportation  Construction Manual  July 2017

6-2.6 Acceptance of Manufactured or Fabricated Material and Products
METS offices in Sacramento, San Francisco Bay Area, or Los Angeles conduct most
of the inspections. METS may assign sampling, testing, and inspecting of
manufactured materials and products to the district materials engineer, resident
engineer, or a commercial laboratory.
The METS process for inspecting and releasing manufactured or fabricated materials
or products is shown in Figure 6-2.1, “Inspection and Release Flowchart—Source
Inspection.”

Figure 6-2.1 Inspection and Release Flowchart—Source Inspection

METS Receives
Form CEM-3101

METS
METS Response
Response TL-0608
TL-0028 Source
Inspection at Inspection
Job Site

METS Reassign to Resident Engineer

CEM-4102 TL-6014
CEM-4102 TL-0029
Field Release Release from
Field Release of
with Source with
Release with Materials
Certificate of Materials
Field from the
Compliance Suitability
Sampling Source Report
and
and Testing Orange Tag Blue Tag
Programmatic
TL-0624 TL-0625
Assessment

6-202C (1) Processing Form CEM-3101

Once Form CEM-3101 is received by the materials administrator, it is routed to the
appropriate METS office for processing. Any questions regarding Form CEM-3101
processing by METS may be routed to the project structural materials representative.
Structural materials listed on Form CEM-3101 are processed by the quality assurance
and source inspection (QASI) office assigned to that project.

6-202C (2) Form TL-0028, “Notice Of Materials to Be Inspected at Jobsite”

If it is determined that the material does not require source inspection, METS will
assign inspection to the job site by completing Form TL-0028 for that material item.
This form indicates that the material item does not require source inspection from
Caltrans at this time. METS will send Form TL-0028 to the resident engineer, prime
contractor, and suppliers to inform them that source inspection is not required prior to
shipment to the job site.
The resident engineer will release these materials at the job site using Form CEM-
4102, “Materials Inspected and Released on Job.” Section 6-3, “Field Tests,” of this
manual contains details on testing that occurs at the job site. Depending on the material,
the resident engineer bases the field material acceptance on various methods. Refer to

California Department of Transportation  Construction Manual  July 2017

Acceptance of Manufactured or Fabricated Material and Products 6-2.7
 Section 6-203D, “Field Inspection and Release by the Resident Engineer,” of this
manual for the field inspection and release procedures.

6-202C (3) Form TL-0608, “Notice Of Materials to Be Furnished”

If it is determined that the material requires source inspection prior to shipment to the
job site, METS will issue Form TL-0608 to the resident engineer, contractor, and
supplier. A hard copy of Form TL-0038, “Inspection Request,” is mailed with Form
TL-0608 to the supplier. The inspection request form is to be used by the contractor or
any subcontractors to inform METS when the material is ready for inspection.
Source inspection by Caltrans is described in Section 6-202C, “Materials Engineering
and Testing Services,” of this manual and is detailed in the QASI Manual:
http://onramp.dot.ca.gov/hq/esc/mets/structure_materials/restrictedosm/osmsmrdat
aspry.php?tab=21

6-202C (4) Form TL-0038, “Inspection Request”

Form TL-0038 is used by the contractor or supplier to inform Caltrans that material
located away from the job site is ready for inspection. If the contractor has received a
Form TL-0608 for an item, Caltrans will be expecting a Form TL-0038 to initiate the
source inspection.
Form TL-0038 and instructions for submitting the request are available at:
http://www.dot.ca.gov/hq/esc/Translab/OSM/smbforms.htm
It is important to remind the contractor that, in accordance with Section 6-2.01E,
“Material Source Inspection and Testing,” of the Standard Specifications, the
inspection request must be submitted:
• At least 3 business days before the requested inspection date for a material source
within California.
• At least 5 business days before the requested inspection date for a material source
outside California but within the U.S.
• Fifty days before the planned production start for a material source outside the
U.S. and notify the resident engineer at least 20 days before the actual start.
The resident engineer may also use Form TL-0038 to request field inspection by
METS for structural items such as field welding.

6-202D Assignment to Resident Engineer

METS may assign inspection of manufactured or fabricated materials and products for
which they have acceptance responsibility back to the resident engineer. Refer to
Section 6-203D, “Field Inspection and Release by the Resident Engineer,” of this
manual for details on inspection and release.

6-203 6-203 Manufactured or Fabricated Materials and Products

Manufactured or Acceptance
Fabricated Materials The resident engineer must ensure that materials entering the work meet the contract
and Products specifications acceptance criteria. Materials acceptance can be based on:
Acceptance
• Source inspection.

California Department of Transportation  Construction Manual  July 2017

6-2.8 Acceptance of Manufactured or Fabricated Material and Products
• Product on Authorized Material List.
• Certificate of compliance.
• Certificate of compliance with accompanying documents.
• Field inspection and release by the resident engineer.
If the material delivered to the job site lacks proper identification, the report of
inspection is unconfirmed, or the acceptability of the material is questionable, do not
allow materials to be incorporated in the work until they have been found to comply
with the specifications. Contact the assigned inspection unit to verify testing or submit
samples for new acceptance tests.

6-203A Source Inspection

METS is responsible for the source inspection process shown in Figure 6-2.2, “Source
Inspection Flowchart.” The flowchart includes information on what happens when a
material is not in compliance with the specifications.

California Department of Transportation  Construction Manual  July 2017

Acceptance of Manufactured or Fabricated Material and Products 6-2.9
 Figure 6-2.2. Source Inspection Flowchart

Contract is Contractor submits Resident engineer MA routes CEM-3101 to

awarded CEM-3101, “Notice (RE) submits reviewed structural materials
of the Materials to CEM-3101 to METS representative (SMR)
be Used” Materials
Administrator (MA)

SMR issues TL-0028,

SMR issues TL-0608, “Notice of Materials to be
“Notice of Materials to be Inspected at the Jobsite”
Furnished for Inspection” SMR determines
YES whether source NO and sends it to RE,
and sends it to the RE, SR structure representative
and contractor inspection is
needed (SR) and contractor

QA inspector Contractor
Contractor faxes documents non- proposes a
TL-0038, compliance in an resolution to
“Inspection Inspection Report, address the
Request" form to QA inspector generates NCR, and non-
QASI branch in determines if NO sends to SMR for conformance
Sacramento, Bay material and QC review
Area or Los process
complies with YES,
Angeles
contract NCR
resolved

Material or
NO process is
YES brought into
compliance
QA inspector
documents
compliance in an
inspection report. Is the
The report is then material or Material rejected
reviewed by a lead process “Fit (NCR resolved)
inspector and sent to for a
NO
Material shipped to the RE purpose?”
secondary process
at separate facility

Blue Tag and

TL-6014
RE inspects and
either accepts or
rejects the material.
Is further RE may request help
YES source NO Orange from SMR
Green Tag and
inspection Tag and
TL-6011
necessary? TL-0029

California Department of Transportation  Construction Manual  July 2017

6-2.10 Acceptance of Manufactured or Fabricated Material and Products
When a material listed on Form CEM-3101 is assigned a Form TL-0608, source
inspection is required prior to shipment of the material to the job site and final
acceptance. Table 6-2.1, “Inspection of Fabricated and Manufactured Materials,”
provides a list of common materials on Caltrans projects and some of the primary
source inspection activities. Table 6-2.1, “Inspection of Fabricated and Manufactured
Materials,” follows Section 6-203A (5), “Source Inspected Materials Acceptance,” of
this manual.
A METS inspector will travel to the source of the material and perform inspection,
sampling, verification testing, and material release as necessary. Complex fabrication,
such as with precast prestressed concrete members and structural steel, typically
requires inspection during fabrication (in-process inspection).
METS must receive all information that could affect materials that are source
inspected. Forward all copies of authorized shop drawings as well as notification of
approved change orders to the structural materials representative for the project.
Forward to METS copies of approved shop drawings without established distributions
(for example, buildings or small structures) and notification of approvals (such as paint
color) or change orders. METS should receive copies of all correspondence with
contractors or suppliers that may affect the fabrication.
Some inspections require out-of-state travel. It is important for METS to receive all
documents before travel to ensure timely inspection and release. For instance, light
poles are manufactured at various suppliers throughout the U.S.; therefore, it is crucial
that authorized shop drawings are available for the METS inspector in time for
inspection and release. The travel time for such inspections is significant. Coordination
between resident engineer and METS is crucial for timely release of the poles.
In addition to source inspection, METS performs sampling and testing for certain
materials for conformance with associated standards as a part of the quality assurance
program. The list of additional tests performed by METS is available in detail in the
QASI Manual.
The main point of contact for the resident engineer for anything related to source
inspection is the structural materials representative assigned to the project. A list of
structural materials representatives is available at:
http://www.dot.ca.gov/hq/esc/Translab/OSM/
6-203A (1) Inspection Requests and Dispatching
The contractor is responsible for submitting Form TL-0038, “Inspection Request,” to
the appropriate METS QASI office with sufficient notice as described in Section 6-
2.01E, “Material Source Inspection and Testing,” of the Standard Specifications. The
appropriate office to send Form TL-0038 is available at the METS website:
http://www.dot.ca.gov/hq/esc/Translab/OSM/smbforms.htm
This website allows the contractor to determine the appropriate QASI office by
selecting the county in which the project is located from a list. The TL-0038 can come
from the contractor or subcontractors.
Each QASI office has a dispatcher who receives the TL-0038s and schedules
inspections accordingly.

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Acceptance of Manufactured or Fabricated Material and Products 6-2.11
 6-203A (2) Material Inspection—Sampling and Release
The structural materials representative assists the resident engineer with management
of source-inspected materials. The METS inspector acts as the eyes and ears of the
structural materials representative and resident engineer at the material’s source.
Inspected materials are identified with a unique inspector lot number that correlates the
material with reports and release tags.
The METS inspector assesses the source’s quality control methods and reviews the
certificates of compliance and any additional documentation such as mill test reports.
The METS inspector also performs random visual inspection of the material and any
other required inspections such as nondestructive testing. For more information on the
types of inspection required for common materials, refer to Table 6-2.1, “Inspection of
Fabricated and Manufactured Materials,” of this manual and the QASI Manual.
If sampling of the material is required at the source, the METS inspector will randomly
sample the material at the required frequency and fill out a TL-0101, “Sample
Identification Card,” to accompany the material to the Transportation Laboratory.
Sampling may be performed in the field by either the METS inspector or field
construction staff. The material’s certificate of compliance and any additional
documents must be sent with the material to the lab as well. If the material is
undergoing mechanical testing, the resident engineer can track the testing progress by
using the J2 database and clicking on the “SMTL Test Reports” tab for the project.
If the material is found to be acceptable, the inspector identifies it with Form TL-0624,
“Inspection Release Tag,” commonly known as an orange tag. METS inspectors will
not necessarily tag every bundle and piece in a shipment. If there are many components
going out in one shipment, it is common that a single orange tag will be placed on the
load. The orange tag will correlate to the certificate of compliance and bill of materials
with the inspector’s unique lot number. This tells the resident engineer what material
the tag covers.
After the material is orange-tagged for release, the METS inspector enters the lot
number, a description, and quantity of materials inspected on Form TL-0029, “Report
of Inspection of Material.” A completed copy of Form TL-0029 is sent to the resident
engineer for the project records.
Certain materials are included in the METS authorization-to-deliver program. Source
inspection for these materials is different from typical procedures in that it includes a
recurring audit at a prescribed frequency, with material sampling and testing. If the
facility is approved to be in the authorization-to-deliver program, it is authorized to ship
material to the job site without receiving a physical tag for the material. A TL-0029AD,
“Report of Inspection of Material (Authorization to Deliver),” is produced by METS
and sent to the resident engineer and the supplier notifying them that the material is
acceptable to be shipped. The resident engineer should not expect to obtain a tag from
the material if a TL-0029AD report was received. However, the resident engineer
should match the TL-0029AD report with the actual shipped material quantities and
certificate of compliance to ensure that the material arrives within a reasonable
timeframe.
When source-inspected materials arrive on the job site, the attached Form TL-0624
informs the resident engineer to permit use of the materials. The attached form shows
the identifying lot number, the inspector’s initials, and the date of inspection. If the item
does not lend itself to attaching of tags, such as reinforced concrete pipe, the inspector

California Department of Transportation  Construction Manual  July 2017

6-2.12 Acceptance of Manufactured or Fabricated Material and Products
marks the lot number on each separate piece. In some instances, when there is a
possibility of losing tags, the inspector both attaches tags and marks a lot number on
the pieces. METS inspectors will not necessarily tag every bundle and piece in a
shipment (with the exception of reinforced concrete pipe).
It is important to note that the resident engineer must inspect the materials for damage
that may have occurred during shipping or storage and for general workmanship and
conformance to planned shape or dimensions. Table 6-2.1 of this manual provides
examples of types of field inspections for common materials.
The resident engineer may not receive the completed Form TL-0029 until after the
materials have arrived at the job site. The resident engineer must ensure the correct
material was shipped to the job site by verifying that the lot number and quantity of
material shown on Form TL-0029 matches the identifying information, such as Form
TL-0624, that was attached to or marked on the materials. Notify the project structural
materials representative of any discrepancies so that an investigation can be conducted.
The resident engineer must inform the assigned METS inspection office if Form
TL-0029 is not received within 15 days after receipt of materials.
For in-process inspections, METS will produce an inspection report, unique to the type
of inspection, and distribute it to the resident engineer for review and incorporation into
the project files. More information on the various types of inspection reports is in the
QASI Manual.

6-203A (3) Nonconforming Materials at the Source

If the inspector observes that the material does not comply with the specifications at the
requested time of release, the manufacturer or fabricator is notified and allowed one
work shift to correct. If the material cannot be brought into conformance within the
time period, METS will send a TL-0015, “Quality Assurance Nonconformance
Report,” (NCR) to the resident engineer within 24 hours of the observation. The
resident engineer then notifies, in writing, the contractor of the NCR and requests a
written response to resolve the issue.
The purpose of the NCR is to formally document the reason the material does not meet
the specifications and to prompt the contractor to propose resolution and prevention
measures in the response letter. This report is entered into the J2 database under the
“Issues” tab so that the information is available to Caltrans staff outside the project to
help avoid future issues statewide.
When the resolution letter is submitted by the contractor, the resident engineer and
METS will perform a review. If the resolution is insufficient, the contractor will be
notified and allowed to revise the letter and resubmit. If the resident engineer decides
that the material is not suitable for the project, it will be rejected and prohibited from
incorporation into the project.
If the letter is found to be acceptable, METS will issue a TL-0016, “Quality
Assurance-Nonconformance Resolution,” to the resident engineer recommending a
resolution and closure of the issue. In some cases, the material is found to be suitable
for the intended purpose by the resident engineer, METS, and the engineer of record
for project design, but it does not meet the contract specifications. In this case, METS
will produce a TL-6013, “Material Suitability Documentation Report,” to document
the engineering judgment used to determine the material to be suitable and concurrence
from the resident engineer, METS, and engineer of record for project design. Once

California Department of Transportation  Construction Manual  July 2017

Acceptance of Manufactured or Fabricated Material and Products 6-2.13
 authorized, the material can be released by the inspector by placing a TL-0625,
“Material Suitability Tag,” (blue tag) onto the material in a similar fashion as with an
orange tag. A TL-6014, “Material Suitability Report,” is written in place of a TL-0029
and sent to the resident engineer.
• When METS and the resident engineer disagree about whether the material is
suitable or unsuitable, the METS Structural Materials senior engineer and the
construction engineer discuss and resolve the disagreement. When consensus is not
achieved at this level, the issue must be elevated to the appropriate supervisors and
a mutual solution reached.
• The blue tag is only a release of the material from the source. The resident
engineer may need to prepare a change order to address acceptance of the material.
Section 5-303, “Purpose of Change Orders,” of this manual includes guidance for
deciding whether a change order is needed. When a change order is needed, it
must be approved prior to incorporating the material into the work. The resident
engineer sends METS copies of approved change orders addressing blue tag
issues. The project’s materials certification memorandum must include material
that is approved for use but does not meet original contract specifications.

6-203A (4) Source Inspection Expense Deductions

Due to the costs incurred by Caltrans when traveling for source inspection to material
sources that are far from the job site, Section 6-2.01E, “Material Source Inspection and
Testing,” of the Standard Specifications provides the details for deductions to be taken
when applicable. To determine where inspections have taken place for a project, the
resident engineer can review the inspection reports that provide inspection locations.

6-203A (5) Source Inspected Materials Acceptance

The resident engineer and METS share the responsibility for inspection of materials at
the source. The resident engineer has the sole responsibility for acceptance of material
and may determine that materials are not acceptable for a project based on any of the
following reasons:
• Damaged materials: The material may be damaged in shipment or installation.
• Material defects: It is not always practical for METS to make a 100 percent piece-
by-piece inspection. The inspection is usually random sampling. The resident
engineer or assistant resident engineer should check for visually detectable defects
or damage.
• Incorrect wall thickness of metal culvert pipe: A given size of metal culvert pipe
may vary in required thickness at various locations with different fill heights.
METS inspectors cannot guarantee that a given piece of pipe will be placed at the
proper location. They can only check the pipe for specified markings and
determine that the measurement is within tolerance for the indicated thickness. Fit
of band couplers should also be checked at the job site.
• Incorrect reinforced concrete pipe wall thickness: Some contracts require special
wall thickness of reinforced concrete pipe at certain locations in the project, and
the METS inspector would not know the specific job site location of that particular
pipe when the pipe is released. The inspector can only determine that it fits one of
the types specified.

California Department of Transportation  Construction Manual  July 2017

6-2.14 Acceptance of Manufactured or Fabricated Material and Products
• Specifications and change orders: The specifications may be difficult to interpret or
the source inspector is not aware of a change order.
Another situation not controllable by inspection at the source is the transfer of materials
from one contract to another. The inspector can confirm (by a copy of the original
inspection report) that a given amount of material with a given lot number was
inspected for the first contract. Identifying the material as that received on the first job
under the original inspection report and monitoring its transfer from one job to another
are responsibilities of the resident engineers involved. Such transfers should not be
allowed unless the material is positively identified or is of a type (such as fencing or
reinforcing steel) that can be resampled and retested in the event identification is lost or
is questionable.
Table 6-2.1 lists manufactured or fabricated materials and products that are usually
inspected at the site of manufacture or fabrication and indicates items that are checked
by the inspector at the source. Table 6-2.1 also includes items that must be checked or
rechecked at the job site to ensure that the materials are acceptable. The table does not
cover all manufactured or fabricated materials and products but provides typical
examples. Verification at the source of fabrication does not preclude acceptance by the
resident engineer at the job site. For more details on the inspection procedures, refer to
Section 6-3, “Field Tests,” of this manual and the QASI Manual.

California Department of Transportation  Construction Manual  July 2017

Acceptance of Manufactured or Fabricated Material and Products 6-2.15
 Table 6-2.1. Inspection of Fabricated and Manufactured Materials (1 of 3)

Product Items Inspected and Tested by METS Items to Check at Job Site
Visible defects, dimensions, threads,
galvanizing, marking for correct type fit of
Bolts, nuts, and Material sampling and testing including nuts. Make sure high-strength bolts and
washers galvanizing, visual inspection. nuts are used where specified and nuts
are lubricated properly. (Refer to Bridge
Construction Records and Procedures.)
Curing compound Material tests by batch or lot, check marking. Proper mixing, marking, check sample.
(chlorinated rubber (Other types accepted at job site if properly Check for specified type of container and
type) packaged and labeled.) correct marking.
Bearing, elastomeric
bearing pads - steel Material sampling and specified tests, visual and
Damage, defects, uniformity, dimensions.
reinforced, PTFE dimensional inspection certification.
bearing
Controllers: complete tests and inspection. Shipping damage, defects, conformance
Electrical items:
Luminaries: random tests, visual inspection. to plans, type, operational check. Check
controllers,
Signal heads, switches; visual inspection plans, loop detectors for operation under field
luminaries, signal
type, operational check. conditions inspection. See that all
heads, conductors
Conductors: random tests. conductors are correct type and size.
Proper material for intended use,
Materials sampling and specified tests, markings,
Epoxy excessive thickening or crystallization,
packaging.
proper mixing.
METS inspection and tests upon request from
Size, uniformity, surface defects, warping
Forgings, steel resident engineer. Material tests, visual and
(permit no repairs).
dimensional inspection.
Material verification, in-process inspection of
Damage, workmanship, exposed steel
Girders, precast fabrication (such as forms, steel placement,
dimensions, finish, cracks, or other
prestressed concrete stressing, concrete) workmanship, dimensions,
defects.
conformance to plans.
Material verification, check sample testing,
Damage to members or paint: defects in
qualifications of welders, inspection during
steel, camber condition of paint,
Girders, structural fabrication, nondestructive testing, preparation and
dimensions, condition of holes,
steel painting in the shop, conformance to plans and
straightness and squareness of
authorized shop drawings, proper joint preparation
members.
for shop-bolted connections.
Proper components, proper mixing,
Joint sealant, Type A
marking. Damage, workmanship, correct
field mixed
movement rating (from test report), size
polyurethane or Material sampling and testing by batch or lot.
and type, lot and batch identification.
silicone sealant
(Refer to Bridge Construction Records
and Procedures.)
Joint seal, Type B Damage, workmanship, correct
preformed Material sampling and testing. movement rating (from test report), size
elastomeric joint seal and type.
Markers, pavement Tests of each batch or lot, random inspection. Damage, surface defects.
Inspection usually assigned to resident engineer.
Mechanical Consult with Structure Design, Office of Electrical,
equipment, scales, Mechanical, Water & Wastewater Engineering, for
Damage, installation details,
pump truck assistance if required.
workmanship.
inspection stations, http://des.onramp.dot.ca.gov/des-structure-
roadside rests design/office-electrical-mechanical-water-and-
wastewater-engineering-emww

California Department of Transportation  Construction Manual  July 2017

6-2.16 Acceptance of Manufactured or Fabricated Material and Products
 Table 6-2.1. Inspection of Fabricated and Manufactured Materials (2 of 3)

Product Items Inspected and Tested by METS Items to Check at Job Site
Damage to rail or galvanizing,
Metal beam guard METS inspection and testing of galvanizing workmanship of rail and galvanizing,
rail upon request by resident engineer. dimensions, conditions of holes, and so
on.
METS inspection and testing of galvanizing Dimensions, workmanship, galvanizing,
Metal crib wall
upon request by resident engineer. specified bolts.
Miscellaneous iron
and steel,
miscellaneous
Materials sampling and testing as specified, Damage, welding or fabrication defects,
bridge metal,
qualification of welders, inspection of conformance to drawings, galvanizing
bearing
fabrication, galvanizing, dimensions. defects, grinding specified coating.
assemblies, rings
and covers, frames
and grates
Lumps, hard setting, color, marking of
Paint Materials sampling and testing by batch or lot. cans, adherence, surface preparation, lot
numbers (same as on inspection report).
Material verification, in-process inspection of
Piling, precast Damage, workmanship (such as cracks,
fabrication (such as forms, steel placement,
prestressed spalling), painting of strand ends,
stressing, concrete) workmanship, dimensions,
concrete straightness.
conformance to plans.
Material verification, weld inspection of welding Damage to members, overlooked
Piling, steel pipe
if field splices are necessary. fabrication details, dimensions.

Material sampling and testing. Check Size, uniformity, surface defects (permit
Pipe, galvanized
galvanizing thickness. no repairs).
Material verification, inspection and review of
Dimensions, welds, workmanship,
Poles, lighting welding and galvanizing, visual and
galvanizing type.
dimensional inspection.
Check strand for rust, damage, surface
Material sampling and testing, package and
Prestressing strand defects. Check tags for stressing
storage, visual inspection when possible.
information.
Material verification, witness testing, visual
inspection, dimensions, elliptical steel Damage, defects, exposed steel,
Reinforced
markings. Only for reinforced concrete pipe with dimensions (specific locations per
concrete pipe
diameter greater than 60 inches, unless plans), straightness, concentricity.
requested by resident engineer.
Damage to rail or galvanizing; fabrication
Railings, barriers
Material tests, welder qualifications, welding or galvanizing defect, fit of sleeves,
Bridge railing,
and fabrication, galvanizing. dimensions; types of bolts or nuts
barrier
furnished.
Reinforcement
splices: welded or METS sampling and testing, material Refer to Bridge Construction Records
mechanical verification. and Procedures.
couplers
Damage, general workmanship, general
Material verification, qualification of welders,
conformance to requirements, position of
inspection during and after fabrication,
Sign structures sign panels, final check of electrical
dimensions, cleaning and painting or
equipment for illuminated signs, proper
galvanizing.
nuts and bolts, properly torqued.

California Department of Transportation  Construction Manual  July 2017

Acceptance of Manufactured or Fabricated Material and Products 6-2.17
 Table 6-2.1. Inspection of Fabricated and Manufactured Materials (3 of 3)

Product Items Inspected and Tested by METS Items to Check at Job Site
Refer to Section 4-56, “Overhead Sign
Signs, changeable
Fabrication, operation, workmanship. Structures, Standards, and Poles” of this
message
manual.

Steel, flooring and METS inspection and tests upon request from
Workmanship, dimensions.
grating resident engineer.

Damage to members or paint: defects in

Material verification, qualifications of welders,
steel or in welds; overlooked fabrication
inspection during fabrication, nondestructive
details; camber condition of paint;
testing, preparation and painting in the shop,
Structural steel dimensions; condition of holes; proper
conformance to plans and authorized shop
bolts and nut markings; proper torquing;
drawings, proper joint preparation for shop-
straightness and squareness of
bolted connections.
members.
METS inspection and testing upon request of
the resident engineer. Material tests, welder Shipping damage, visible defects in pipe
Welded steel pipe
qualifications, welding inspection; and spark or coating marking, dimensions.
testing, marking, dimensions.
Wire mesh
Materials sampling and testing. Rust and broken welds.
reinforcing

California Department of Transportation  Construction Manual  July 2017

6-2.18 Acceptance of Manufactured or Fabricated Material and Products
6-203A (6) Materials Manufactured to Caltrans-Specified Formulation
The Standard Specifications requires that certain products be manufactured to state
specifications. Occasionally, composition of the specified formulation is changed and
the newer specification results in an equal or better product. Materials manufactured
under specifications newer than those that apply to a particular project are acceptable
for use. METS inspectors release such materials, and resident engineers may permit
use of such materials without change orders unless specifically advised to the contrary.
State specification numbers for manufacturer materials are shown in the Standard
Specifications or special provisions.
Paint manufactured under state specifications is sampled at the factory, tested by
METS, and identified by lot numbers before shipment to the project.

6-203B Materials Accepted on the Basis of Authorized Material List

The Standard Specifications identifies materials that must be on an Authorized
Material List. The list is available at:
http://www.dot.ca.gov/hq/esc/approved_products_list/
The engineer must ensure materials or products listed in Table 6-2.2, “Materials
Acceptance Based on Authorized Material List,” are shown on the appropriate
Authorized Material List before the material is used on the project. Materials shown on
the Authorized Material List may also require a certificate of compliance or sampling
and testing for acceptance.

California Department of Transportation  Construction Manual  July 2017

Acceptance of Manufactured or Fabricated Material and Products 6-2.19
 Table 6-2.2. Materials Acceptance Based on Authorized Material List (1 of 2)
Material or Product Authorized Material List

Alternative sound wall system

Channelizers Signing and delineation materials

Chemical adhesive
Chemical adhesives / cartridge epoxies
Drilling and bonding dowels

Crack sealant Flexible pavement crack treatment material

Concrete admixtures Chemical admixtures for concrete

Concrete
Cementitious material
Cementitious material
Concrete
Innocuous aggregates for concrete
Innocuous aggregate

Concrete anchorage devices Concrete inserts

Corrosion protection system Corrosion protective coverings

Corrosion protection covering for splices Corrosion protective coverings

Delineators Signing and delineation materials

Detectable warning surface Detectable warning surface

Earth retaining system Earth retaining systems

Electrical
External battery backup system cabinet
Battery backup external cabinet
Electrical
LED traffic signals
LED signal modules

Epoxy powder Fusion-bonded epoxy powder

Markers Signing and delineation materials

Mechanical couplers Steel reinforcing couplers

Organic zinc-rich primer Organic zinc-rich primer list

Pavement markers Signing and delineation materials

Pavement traffic stripe and marking tape Signing and delineation materials

Plastic blocks

California Department of Transportation  Construction Manual  July 2017

6-2.20 Acceptance of Manufactured or Fabricated Material and Products
 Table 6-2.2. Materials Acceptance Based on Authorized Material List (2 of 2)
Material or Product Authorized Material List

Post-tensioning prestressing system Pre-approved systems (full list and details)

Precast portland-cement-based repair Precast portland-cement-based repair

material material

Reflectors Signing and delineation materials

Reinforcement
Headed bar reinforcement
Headed bar
Reinforcement
Resistance-butt-welded splices
Retroreflective
• Retroreflective sheeting for barricades
• Retroreflective bands for portable
delineators
• Retroreflective sheeting for
construction area signs
• Retroreflective sheeting for
channelizers Signing and delineation materials
• Reflectors for Type K temporary railing
• Retroreflective cone sleeves
• White and orange-colored
retroreflective stripes for plastic traffic
drums
• Portable signs Type VI, retroreflective,
elastomeric roll-up fabric
Signs
Signing and delineation materials
Retroreflective sheeting
Signs
Signing and delineation materials
Fiberglass-reinforced plastic panels

Silane waterproofing Silane reactive penetrating sealers

Temporary crash cushion

Highway safety features
Sand-filled
Temporary traffic control devices Acceptable, crashworthy Category 2
Category 2 hardware for work zones
Temporary traffic control devices
Highway safety features
Category 3

Thread locking systems Anaerobic thread locking systems

Undercoating for ungalvanized sign

structures

Warm mix asphalt Warm mix asphalt—approved technologies

California Department of Transportation  Construction Manual  July 2017

Acceptance of Manufactured or Fabricated Material and Products 6-2.21
 6-203C Materials Accepted on the Basis of a Certificate of Compliance
In accordance with Section 6-2.03C, “Certificates of Compliance,” of the Standard
Specifications, the engineer may permit the use of certain materials before sampling
and testing if accompanied by a certificate of compliance.
Acceptance based on certificates of compliance is used for products for which the
industry has demonstrated a high degree of reliability in meeting specifications. METS
performs a programmatic assessment on a periodic basis of materials that do not
receive source inspection.
METS notifies the resident engineer when material from any producer is not
acceptable on the basis of a certificate of compliance. The resident engineer must
notify the contractor when material cannot be accepted based on a certificate of
compliance and require submittal of samples for testing prior to use on the project.
Certificates of compliance should contain the following information:
• Name of company.
• Lot number traceable to a specific lot.
• A statement naming the applicable type and brand, and that the materials meet the
requirements of the Standard Specifications, the special provisions, or both.
• Contract number.
• Signature of responsible officer of the company.
Materials accepted based on a certificate of compliance arrive on the job site without
inspection by METS and Form TL-0029, “Report of Inspection of Material.” When
required by the Standard Specifications or the special provisions, ensure that these
materials have a certificate of compliance and any required additional backup
documentation, such as mill test reports for steel, pressure treating reports for timber,
and concrete test reports, to show that the materials comply with the specifications.
Table 6-2.3 shows materials in the Standard Specifications that are accepted based on a
certificate of compliance.
In addition to the materials listed in Table 6-2.3, in accordance with Section 6-2.03C,
“Certificates of Compliance,” of the Standard Specifications, a certificate of
compliance is required for material produced outside the United States.
Contact the project structural materials representative regarding any feedback or
additional detail for programmatic assessment or systematic concerns regarding certain
materials types

California Department of Transportation  Construction Manual  July 2017

6-2.22 Acceptance of Manufactured or Fabricated Material and Products
 Table 6-2.3. Materials Accepted by Certificate of Compliance (1 of 8)
Remarks (Including Requirements for Additional Backup Information
Material/Product
Required with Certificate of Compliance)
Must state that the supplied material complies with the index criteria for the
Alternative earth retaining systems system at the time of prequalification.

Certificates of compliance must include the following:

1. Name and location of the supplier.
2. Grade of the asphalt.
3. The date and time of shipment.
4. A unique shipment number, such as a bill of lading number or manifest
number.
5. A statement confirming that the transport vehicle was checked before
loading and was found acceptable for the asphalt shipped.
Asphalt 6. The following wording: " (Supplier name) hereby certifies that the asphalt
product accompanying this certification was produced in accordance with
the California Department of Transportation's Certification Program for
Suppliers of Asphalt, and that this product complies in all respects with the
requirements of the applicable specifications for the asphalt product
identified on this document.

I hereby certify by my signature that I have the authority to represent the

supplier providing the accompanying asphalt product."
Certificate of compliance must include the following:
1. Shipment number and shipment date.
2. Source refinery, consignee, and destination.
Asphaltic emulsion 3. Type and description of material with specific gravity and quantity.
4. Contract or purchase order number.
5. Signature by the manufacturer of the material and a statement that the
material complies with the contract.
Asbestos cement pipe

Asbestos sheet packing

Asphalt modifier Test results required with each truckload.

A certified test report of the results for the required tests performed within
Asphalt rubber joint sealant
12 months before the proposed use.
Must include manufacturer’s statement of compatibility with the joint sealant to
Backer rods be used.
Barbed wire

Blast cleaning material

Bonding agent for repairing spalled Submittal of certificate of compliance required for contracts of less than
surface area 60 working days.

Bonding material

Brick
Cable-type restrainers Certificate of compliance must be submitted with a copy of each required test
Lock nuts report.

Cast iron pipe

Cast iron manhole rings and
covers

California Department of Transportation  Construction Manual  July 2017

Acceptance of Manufactured or Fabricated Material and Products 6-2.23
 Table 6-2.3. Materials Accepted by Certificate of Compliance (2 of 8)
Remarks (Including Requirements for Additional Backup Information
Material/Product
Required with Certificate of Compliance)
Chemical adhesive for bonding tie
bars and dowel bars in concrete
pavement
Certificate of compliance must state compliance with ICBO AC 58 and Caltrans.
Chemical adhesive for structures Augmentation/Revisions to ICBO AC 58.
Certificate of compliance from the manufacturer must certify that the admixture
Concrete
furnished is the same as that previously authorized for the Authorized Material
Admixture List.
Certificate of compliance must include the source name and location.
If the cementitious material is delivered directly to the job site, the certificate of
compliance must be signed by the cementitious material supplier.
Concrete If the cementitious material is used in ready-mixed concrete, the certificate of
Cementitious material compliance must be signed by the concrete manufacturer.
If blended cement is used, the certificate of compliance must include a
statement signed by the blended cement supplier that shows the actual
percentage of supplementary cementitious material, by weight, in the blend.
Certificate of compliance must include:
Concrete 1. Test results for the tests specified in Section 90-1.01D(6), “Curing
Curing compound Compound,” of the Standard Specifications.
2. Certification that the material was tested within 12 months before use.
Before placing minor concrete from a source not previously used on the
Concrete contract, a certificate of compliance stating that the minor concrete to be
Minor concrete furnished complies with the contract requirements, including the specified
minimum cementitious material content.
Ceramic tile

Chain link fencing and railing Certificate required for protective coating system.

Concrete anchorage devices

Concrete pipe Certificate of compliance must:
Circular reinforced direct design 1. Be signed by the manufacturer's quality control representative.
method, less than 60 inches in 2. State that all materials and workmanship comply with the specifications and
diameter authorized shop drawings.

Copper pipe

Corrugated metal pipe

Certificate of compliance must include:
1. Manufacturer's name
2. Production location
3. Product brand or trade name
4. Product designation
5. Batch or lot number
Crack sealant 6. Crack treatment material type
7. Contractor or subcontractor name
8. Contract number
9. Lot size
10. Shipment date
11. Manufacturer's signature
Crash cushions

Crumb rubber modifier Test results required with each truckload.

California Department of Transportation  Construction Manual  July 2017

6-2.24 Acceptance of Manufactured or Fabricated Material and Products
 Table 6-2.3. Materials Accepted by Certificate of Compliance (3 of 8)
Remarks (Including Requirements for Additional Backup Information
Material/Product
Required with Certificate of Compliance)
Culvert markers
Certificate of compliance required for:
• Metal target plates
Delineators
• Enamel coating
• Retroreflective sheeting
Dowel bar baskets
Drop inlet grates and frames

Drain tile

Drip irrigation line

Elastomeric bearing pads Certified test results for the elastomer.
Plain METS samples and tests bearing pads.

Elastomeric bearing pads Certified test results.

Steel-reinforced METS samples and tests bearing pads.

Electrical Certificates of compliance are required for:

• External cabinet
Battery backup system • Batteries
Electrical
Conductor
Electrical
Conduit (galvanized and plastic)
Electrical
Equipment
Electrical
Pull boxes (concrete and plastic)
Electrical
Service cabinets
Epoxy
Epoxy powder coating for dowel
METS samples and tests epoxy coating.
bars and tie bars
Certificate of compliance is required for:
• Straw
• Fiber
• Rolled erosion control product
Erosion control • Fasteners
Certificate of compliance with attachments is required for:
• Tackifier
• Bonded fiber matrix
• Polymer-stabilized fiber matrix

California Department of Transportation  Construction Manual  July 2017

Acceptance of Manufactured or Fabricated Material and Products 6-2.25
 Table 6-2.3. Materials Accepted by Certificate of Compliance (4 of 8)
Remarks (Including Requirements for Additional Backup Information
Material/Product
Required with Certificate of Compliance)
Certificates of compliance attachments include:
1. Safety Data Sheet.
2. Product label.
3. List of applicable, nonvisible pollutant indicators for soil amendment and
stabilization products as shown in the table "Pollutant Testing Guidance
Table" in the Caltrans Construction Site Monitoring Program Guidance
Erosion control (continued) Manual.
4. Report of acute and chronic toxicity tests on aquatic organisms conforming to
EPA methods.
5. List of ingredients, including chemical formulation.
6. Properties of polyacrylamide in tackifier including: (1) percent purity by
weight, (2) percent active content, (3) average molecular weight, and (4)
charge density.
Expansion joint filler

Fiberglass pipe Certificate of compliance must be submitted with laboratory test results.

Filler material for repairing Submittal of certificate of compliance required for contracts of less than
spalled surface areas 60 working days.
If PVC coating is shown, a suitable UV resistant additive must be blended with
Gabions the PVC and the additive must be shown on the certificate of compliance.
Certificate of compliance must certify that the drain produces the specified flow
rate. The certificate must be accompanied by a flow capability graph for the
Geocomposite drain geocomposite drain showing flow rates and the externally applied pressures and
hydraulic gradients. Verification must be by an authorized laboratory for the flow
capability graph.
Geosynthetics Test sample representing each lot and minimum average roll value.

Glass beads
Glue laminated timbers and
decking
Guide markers

Irrigation hose
Certificate of compliance required for:
• Polyethylene pipe.
Irrigation pipe • Plastic pipe supply line for pipe with wall thickness of the bell less than the
specified minimum wall thickness of the pipe.

Joint filler material

Joint seals (Type A and AL) Certified test report for each batch of sealant.
Joint seal (Type B) Certificate of compliance required for:
• Elastomeric joint seal
• Lubricant-adhesive
Certificate of compliance must be submitted with certified test report for each lot
of elastomeric joint seal and lubricant-adhesive. Test reports must include the
seal movement rating, the manufacturer's minimum uncompressed width, and
test results.
METS samples and tests joint seal.

California Department of Transportation  Construction Manual  July 2017

6-2.26 Acceptance of Manufactured or Fabricated Material and Products
 Table 6-2.3. Materials Accepted by Certificate of Compliance (5 of 8)
Remarks (Including Requirements for Additional Backup Information
Material/Product
Required with Certificate of Compliance)
Joint seal For alternative joint seal assemblies, a certificate of compliance must be
Alternate joint seal assemblies submitted for each shipment of joint seal materials. The certificate must state
that the materials and fabrication involved comply with the specifications and
the data submitted in obtaining the authorization for the alternative joint seal
assembly.
METS samples and tests joint seal assemblies.
Joint seal METS samples and tests joint seal assemblies.
Joint seal assemblies
Certificate of compliance must include a statement certifying the lime furnished
Lime is the same as on the Authorized Material List.
Certificate of compliance for each reel of PVC strip must include:
1. Name of manufacturer
2. Plant location
Machine spiral wound PVC
3. Date of manufacture and shift
pipeliners 4. Cell classification
5. Unit mass
6. Average pipeliner stiffness and profile type
Certificate of compliance required for:
• Metal target plates
Markers
• Enamel coating
• Retroreflective sheeting
Certificate of compliance required for:
• Concrete masonry units
Masonry block
• Aggregate for grout
• Grout

Micro surfacing emulsion

Mulch

Open steel flooring and grating

Certificate of compliance based on steel materials, aluminum materials or
Overside drains
plastic materials.

Parking area seal material

Pavement markers
Pavement marking
Paint or thermoplastic
Certificate of compliance for each shipment of plastic lumber, that must be
Plastic lumber accompanied by a laboratory test report.

Plastic traffic drums

Certificate of compliance must include average pipe stiffness, resin material
cell classification, and date of manufacture.
Plastic pipe for drainage For corrugated polyethylene pipe, manufacturer’s copy of plant audits and test
results from the National Transportation Products Evaluation Program for the
current cycle of testing for each pipe diameter furnished.
Portable changeable message
sign

California Department of Transportation  Construction Manual  July 2017

Acceptance of Manufactured or Fabricated Material and Products 6-2.27
 Table 6-2.3. Materials Accepted by Certificate of Compliance (6 of 8)
Remarks (Including Requirements for Additional Backup Information
Material/Product Required with Certificate of Compliance)
Precast concrete
Certificate of compliance must be signed by the precast concrete product
Cementitious material used in
manufacturer.
precast concrete products
Precast concrete Certificate of compliance must signed by the manufacturer's quality control
Box culverts representative for each shipment.
Certificate of compliance is for materials and workmanship incorporated in the
Precast concrete members
work, and for testing and inspections that have been performed.
Precast raised traffic bars
Preformed compression seal for
concrete pavement
Preformed membrane sheet Must include type of sheet and the conditioner or primer application rates.

PTFE bearing materials

Certificate of compliance is required for each delivery of aggregate, cementitious
material, and admixtures used for calibration tests.
Rapid strength concrete The certificate of compliance must state that the source of the materials used for
the calibration tests is the same source as to be used for the planned work.
You may request that the contractor submits with certificate of compliance:
1. Copy of the certified mill test report for each heat and size of reinforcing steel
Reinforcement showing physical and chemical analysis.
2. Two copies of a list of all reinforcement before starting reinforcement
placement.
Certificate of compliance for each shipment of epoxy-coated reinforcement must
be submitted with:
1. Certification that the coated reinforcement complies with ASTM A 775/A 775M
Reinforcement for bar reinforcement or ASTM A 884/A 884M, Class A, Type 1, for wire
Epoxy-coated reinforcement.
2. All certifications specified in ASTM A 775/A 775M for bar reinforcement or
ASTM A 884/A 884M for wire reinforcement.
METS samples and tests epoxy coating.
Certificate of compliance for each shipment of epoxy-coated prefabricated
reinforcement must be submitted with:
Reinforcement 1. Certification that the coated reinforcement complies with ASTM A 934/A 934M
for bar reinforcement or ASTM A 884/A 884M Class A, Type 2 for wire
Epoxy-coated prefabricated reinforcement.
reinforcement 2. All certifications specified in ASTM A 934/A 934M for bar reinforcement or
ASTM A 884/A 884M for wire reinforcement.
METS samples and tests epoxy coating.
Reinforcement Certificate of compliance for the patching material must include certification that
Epoxy-coating patching materials the patching material is compatible with the epoxy powder to be used.
Certificate of compliance for each shipment of headed bar reinforcement must be
submitted with:
1. Mill test reports for the:
Reinforcement 1.1. Bar reinforcement
Headed bar 1.2. Head material
2. Production test reports
3. Daily production logs
METS samples and tests headed bar.

California Department of Transportation  Construction Manual  July 2017

6-2.28 Acceptance of Manufactured or Fabricated Material and Products
 Table 6-2.3. Materials Accepted by Certificate of Compliance (7 of 8)
Remarks (Including Requirements for Additional Backup Information
Material/Product
Required with Certificate of Compliance)
Certificate of compliance for each shipment of splice material must be submitted
with:
1. Type or series identification of the splice material, including tracking
information for traceability.
2. Grade and size number of reinforcement to be spliced.
Reinforcement 3. Statement that the splice material complies with the type of mechanical splice
Splice material on the Authorized Material List.
4. For resistance-butt-welded material:
4.1. Heat number
4.2. Lot number
4.3. Mill certificates
METS samples and tests reinforcement splices.
Sheet metal
Certificates of compliance required for:
• Aluminum sheeting
• Retroreflective sheeting
Sign panels • Screened-process colors
• Nonreflective, opaque, black film
• Protective-overlay film
A certified test report of the results for the required tests performed within
Silicone joint sealant 12 months before the proposed use.
Slotted edge drain

Snow poles
Snow plow deflectors polyethylene
material
Soil amendment
Steel crib wall
The certificate of compliance must be signed by the plant's quality control
representative. The quality control representative must be on record with
Structural Materials. Certificate of compliance must include:
1. Statement that all materials and workmanship incorporated in the work and all
required tests and inspections of this work have been performed as described.
2. Certified mill test reports for each heat number of steel used in pipe piles being
Steel pipe piles
furnished.
3. Test reports for tensile, chemical, and any specified nondestructive test must
be based on test samples taken from the base metal, steel, coil, or from the
manufactured or fabricated piles.
4. Calculated carbon equivalent. The carbon equivalent may be shown on the mill
test report.
Certificate of compliance required for:
• Structural metal plate pipe
Structural plate culverts • Arches
• Pipe arches
• Metal liner plate pipe
Certificate of compliance must include a statement that all materials and
Structural shape steel piles workmanship incorporated in the work and all required tests and inspections of this
work have been performed as described.
Structural composite lumber used
in falsework

California Department of Transportation  Construction Manual  July 2017

Acceptance of Manufactured or Fabricated Material and Products 6-2.29
 Table 6-2.3. Materials Accepted by Certificate of Compliance (8 of 8)
Remarks (Including Requirements for Additional Backup Information
Material/Product
Required with Certificate of Compliance)
Structural steel thermal spray coat
Wire feedstock
Styrofoam filler

Subsurface drain
Certificate of compliance required for:
Temporary concrete washout • Gravel-filled bag
• Plastic liner
Certificate of compliance required for:
Temporary fence (Type ESA) • High visibility fabric
• Safety caps for metal posts
Certificate of compliance required for:
• Fiber roll
• Safety cap for metal posts
Temporary linear sediment barrier • Silt fence fabric
• Sediment filter bag
• Foam barrier
• Gravel-filled bag fabric
Temporary railing (Type K)

Thermoplastic

Tie bars METS samples and tests epoxy coating.

Tie bar baskets METS samples and tests epoxy coating.

Certificate of compliance for timber and lumber must state the species of the
Timber products (treated and
material to be shipped and include a certified grading report. If treated, certified
untreated)
treating report.
Threaded tie bar splice couplers
Traffic stripe
Paint or thermoplastic
Turf sod
Certificate of compliance required for:
• Type of pipe
Underdrains
• Tubing
• Fitting
Waterproofing fabric
Certificate of compliance for waterstop material must state compliance with
Waterstop paragraph 6 of Army Corps of Engineers CRD-C 572.
Welded wire fabric

Wire mesh fencing

Certificate of compliance for timber and lumber stating the species of the
material to be shipped and including a certified grading report. If timber is
Wood Structures treated, include a certified treating report.
Certificate of compliance for glued laminated timbers and glued laminated
decking.

California Department of Transportation  Construction Manual  July 2017

6-2.30 Acceptance of Manufactured or Fabricated Material and Products
When material delivered with a certificate of compliance is improperly certified, or any
part of it is found not to comply with specifications, reject the entire shipment and
notify METS immediately.
Procedures for sampling and testing materials accepted by certificate of compliance
vary depending on the material. Following are some details covering the sampling of
materials accepted by certificate of compliance.

6-203C (1) Asphalt

Certification for asphalt must comply with Caltrans’ Certification Program for
Suppliers of Asphalt. Program requirements, procedures, and a list of approved
suppliers, are available on the METS website:
http://www.dot.ca.gov/hq/esc/Translab/ormt/fpmcoc.htm
When asphalt arrives at the job site or at the plant accompanied by a certificate of
compliance, accept the shipment for use and sample and test for acceptance during use.
When shipments of asphalt arrive without certificates of compliance, sample the
asphalt and do not allow use prior to receiving acceptance test results.
All samples of asphalt, along with the necessary forms and tickets, are sent to METS at
Engineering Services. Ship sample cans two at a time, in the cardboard cartons used for
shipping samples of the completed mix. Take samples in the amount and frequency
shown in the tables in Section 6-1, “Sample Types and Frequencies,” of this manual.
Asphalt is very hot; therefore, for safety reasons, the acceptance samples must be
sampled by the contractor. The resident engineer must witness the contractor taking
acceptance samples. The resident engineer must determine when the sample is to be
taken and then observe that the sample is taken in accordance with California Test 125,
“Methods of Test for Sampling Highway Materials and Products Used in the Roadway
Structural Sections,” or sampling requirements specified in contract special provisions.
Take possession of the sample from the contractor and transport it to a Caltrans office
or the testing laboratory.
After obtaining a sample from a plant storage tank, write the shipment number on
Form TL-0101, “Sample Identification Card.”
METS sends test results to the district materials engineer and to the resident engineer.

6-203C (2) Asphalt Rubber Latex Joint Filler

Submit samples in 1-quart friction-top cans. Sample after the contents of the drum have
been stirred thoroughly and brought to a uniform consistency and before the setting
powder has been added. Note the batch number and the shipment number on Form
TL-0101.

6-203C (3) Two-Component Joint Sealing Compounds

This material is usually in 2-gallon pails. Each pail requires a manufacturer’s lot
number. Before sampling, stir thoroughly. Samples should be taken in the amount and
frequency shown in the tables in Section 6-1, “Sample Types and Frequencies,” of this
manual.

California Department of Transportation  Construction Manual  July 2017

Acceptance of Manufactured or Fabricated Material and Products 6-2.31
 6-203C (4) Cement
For cement delivered directly to the job site by the manufacturer, require one certificate
of compliance for each shipment.
A single certificate for each brand may certify the cement used in ready-mixed
concrete by the vendor of the concrete, to cover all deliveries in a single day. It must
show:
• The name or brand of cement.
• Mill source.
• The total number of cubic yards of concrete delivered under the certificate.
• A complete list of individual deliveries, identified by delivery slip number or other
suitable identification.
A single certificate may cover all deliveries of precast products in a single lot. It must
show the name or brand of cement and the length of each size of pipe or the number of
precast units of other types represented.
METS inspects precast products, including pipe, made at a plant other than that of the
contractors at the job site. When such inspection is complete, the resident engineer is
relieved of responsibility for obtaining certificates of compliance and sampling of
cement. The inspector at the precast product plant will handle cement inspection
approximately as outlined for ready-mixed concrete.
Certificates of compliance for cement are inspected and filed by the resident engineer.
In the event of a cement test failure, forward copies of certificates to METS.
Sample cement in accordance with the frequencies shown in Section 6-1, “Sample
Types and Frequencies,” of this manual, and in accordance with California Test 125,
“Method of Test for Sampling Highway Materials and Products Used in the Roadway
Structural 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 8 pounds is sampled at one time, not in smaller increments. Close the bag
immediately, leaving room for the cement to shift. Place the sealed bag in a second
plastic bag with the white copy of Form MR-0518, “Job Cement Samples Record.”
Form MR-0518 should show the certificate of compliance serial number, cement brand
and type, name of mill or vendor, date, time sampled, and contract number.
After identification, box the cement samples in corrugated cartons designed to hold
single, 8-pound samples or in concrete cylinder cartons, which will hold six samples.
Ship no more than six samples in any one container.
Mark the shipping carton “Cement Sample,” and ship it to METS.
Test reports of cement are issued by METS. Acceptability of current shipments from
the mill will be shown on the report, but the reports may not actually include results of
samples taken from a specific project. The test reports, however, are applicable to each
contract identified on a test report. When a project has special requirements for cement,
or if there are other nonroutine conditions, submit special samples with instructions that
they be tested and reported for the specific project.

California Department of Transportation  Construction Manual  July 2017

6-2.32 Acceptance of Manufactured or Fabricated Material and Products
6-203C (5) Paint
Sample all paint in the field, except paint specified as commercial quality, and send the
samples to METS for testing in accordance with the frequency shown in Section 6-1,
“Sample Types and Frequencies,” of this manual.
For bridges and other major structures, do not allow the paint to be used until the test
results of field samples are available. For other miscellaneous painting, properly
inspected and identified paint may be used pending test results.
Send paint samples from the field to METS as soon as it is received on the project.
During the progress of the job, take special check samples when the paint exhibits hard
settling or potential contamination of paint is suspected.
Proper sampling to obtain a representative portion of the paint is mandatory.
Use the following sampling methods:
• For bridges and other major structures, or whenever large quantities are involved,
send an unopened 5-gallon bucket to METS. METS will return unused portions to
the job.
• For smaller samples:
1. Pour the top liquid into a clean container as large as the one being sampled.
2. Stir the settled portion of the paint with a paddle, gradually reincorporating the
decanted liquid until all has been added.
3. “Box” the paint by pouring it back and forth between the two containers at
least five or six times or until the paint is mixed thoroughly.
4. Take a gallon sample immediately.
Send all samples to METS, along with all pertinent information. Use Form TL-0101,
“Sample Identification Card.”
When the paint is Department-furnished, check samples will not be required.

6-203C (6) Pavement Traffic Stripe and Marking Materials

California Test 406, “Method of Test for Field-Sampling of Pavement Marking
Materials,” describes procedures for obtaining samples of pavement-marking materials
from a factory-sealed bag, bulk container, or stripe-application equipment.
Circumstances at the job site often affect where to gather the sample. Field-striping
inspectors must follow the procedures in California Test 406 to ensure that
representative samples are taken of pavement-marking materials.
Field sampling must be initiated by the striping inspector or the resident engineer under
the following conditions:
• The material is more than 1 year old (based on the date of manufacture).
• Product tampering or adulteration is suspected.
• Adequate proof that the product has been pretested and approved is not provided
(for example, missing batch approval paperwork or other product/batch number
discrepancies on containers or paperwork).
Where large quantities of pavement-marking materials are being applied, random
quality assurance sampling of these materials is advisable.

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Acceptance of Manufactured or Fabricated Material and Products 6-2.33
 Samples of pavement-marking materials in unopened factory-sealed bags are preferred.
Factory-sealed bags are labeled with the manufacturer’s name and batch number,
which makes identification easier. When sampling glass beads and thermoplastic,
collect the following sample quantity to ensure a representative sample:
• One unopened 50-pound bag of glass beads of the same manufacturer and lot
number being used in the striping operation.
• One unopened 50-pound bag of thermoplastic of the same manufacturer and lot
number being used in the striping operation.
For paint, bulk containers can be sampled only when the material is first
homogeneously mixed using appropriately sized mixing equipment. For bulk
containers of paint, obtain a 1-quart sample. Multiple samples are necessary when
sampling paint directly from the application equipment to ensure that the product is
homogeneously mixed. Each grab sample must be approximately 1 quart and
submitted separately.
Label samples of pavement-marking materials according to where and how they were
gathered at the job site. Include pertinent information on Form TL-0101, “Sample
Identification Card,” and send samples to METS for testing.

6-203C (7) Reinforcement

Refer to Section 4-52, “Reinforcement,” of this manual for details.

6-203D Field Inspection and Release by the Resident Engineer

METS may assign inspection of manufactured or fabricated materials and products for
which they have acceptance responsibility back to the resident engineer. The process to
be followed for inspection at the job site is shown in Figure 6-2.3, “Inspection and
Release Flowchart—Inspection at Job Site.”

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6-2.34 Acceptance of Manufactured or Fabricated Material and Products
 Figure 6-2.3. Inspection and Release Flowchart—Inspection at Job Site

METS Receives
Form CEM-3101

METS METS
Response Response
TL-0028 TL-0608
Inspection at Source
Jobsite Inspection
METS Reassign to Resident
Engineer

CEM-4102 TL-6014
CEM-4102 TL-0029
Field Release Release from
Field Release of
with Source with
Release with Materials
Certificate of Materials
Field from the
Compliance Suitability
Sampling Source
and Report
and Testing Orange Tag
Programmatic Blue Tag
TL-0624
Assessment TL-0625

METS assigns inspection responsibility to the resident engineer using Form TL-0028,
“Notice of Materials to Be Inspected at Jobsite.”
Upon receipt of Form TL-0028, the resident engineer should inform the contractor that
the material will be inspected, and if required, sampled, on the job site. When testing of
material is required, inform the contractor of the approximate testing turnaround time
so that the contractor can obtain the material to allow for sampling and testing before
the work begins.
Materials may be accepted based on required certificates of compliance or sampling
and testing and visual inspection. When material will be accepted and released at the
job site by use of a certificate of compliance, the required certificate of compliance
should accompany the material to the job site and be retained in the project files.
Sample materials in accordance with the tables at the end of Section 6-1, “Sample
Types and Frequencies,” of this manual, or as requested by METS.
Field inspect and release materials assigned by METS at the job site using Form
CEM-4102, “Materials Inspected and Released on Job.” Refer to Section 6-3, “Field
Tests,” of this manual for details.

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Acceptance of Manufactured or Fabricated Material and Products 6-2.35
Chapter 6 Sampling and Testing

Section 3 Field Tests

6-301 General
6-301A References
6-302 Field Inspection and Release of Materials
6-303 Field Laboratory
6-304 Field Testing Equipment
6-304A Scales and Balances
6-304B Screens and Sieves
6-304C Portland Cement Concrete Air Meters
6-304D Compaction Tubes
6-304E Cement-Treated Base Compressive Strength Apparatus
6-305 Test Methods
6-305A Method of Determining Approximate Grading of Mineral Aggregate by Dry Sieve
Analysis
6-305B Fabrication of Cement Treated Base Specimens
6-305C Determination of Cement or Lime Content
6-305D Portland Cement Concrete
6-305D (1) Number of Cylinders Required for a “Test”
6-305D (2) Trial Batches
6-305E Relative Compaction Using Nuclear Gauges
6-306 Material Plants

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Field Tests 6-3.i
Chapter 6 Sampling and Testing

Section 3 Field Tests Section 3

Field Tests
6-301 General 6-301
The resident engineer must ensure that materials incorporated into the project comply General
with specifications. Refer to Section 3-608, “Testing,” of this manual.
Perform field inspection of material and testing in accordance with the guidelines in
this chapter. Sampling and testing frequencies for materials acceptance are shown in
the tables included in Section 6-107, “Materials Acceptance Sampling and Testing,” of
this manual. Maintain a record of field tests and material inspected and released on the
job as described in Section 5-102, “Organization of Project Documents,” of this
manual.
6-301A References
Unless specified, references are Caltrans guides and manuals.
California Test guidance, Materials Engineering and Testing Services (METS):
http://www.dot.ca.gov/hq/esc/ctms/index.html
American Association of State Highway and Transportation Officials (AASHTO),
American Society for Testing and Materials (ASTM), and other test methods are
available at IHS Standards Expert website accessible to Caltrans staff:
http://des.onramp.dot.ca.gov/materials-engineering-and-testing-services-mets
Material Plant Quality Program (MPQP), Division of Construction:
http://www.dot.ca.gov/hq/construc/publicationlist.htm
Laboratory Safety Manual:
http://des.onramp.dot.ca.gov/des-safety-meeting-information
6-302 Field Inspection and Release of Materials 6-302
When materials or products listed in Table 6-2.3, “Materials Accepted by Certificate of Field Inspection
Compliance,” of this manual arrive on the job site, or where METS assigns inspection and Release of
of products for which they normally have responsibility back to the resident engineer, Materials
use the following procedure:
• Ensure that METS has sent Form TL-0028, “Notice of Materials to Be Inspected
at Jobsite.” If a material does not have a corresponding TL-0028, contact the
project’s structural materials representative.
• Ensure that the material meets the requirements of the specification and is
undamaged by shipping and handling.
• 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

California Department of Transportation  Construction Manual  July 2017

Field Tests 6-3.1
 Buy America requirements. Refer to Section 3-604, “Buy America.” of this
manual for Buy America information.
• Complete Form CEM-4102, “Material Inspected and Released on Job.”

6-303 6-303 Field Laboratory

Field Laboratory Suitable laboratories and equipment are necessary to perform proper field testing.
When economically feasible, a field laboratory should be established to assess multiple
construction projects in the immediate area.
Field laboratories must comply with the Laboratory Safety Manual. The Laboratory
Safety Manual is required under California Code of Regulations Title 8, Section 5191.
The Laboratory Safety Manual guidelines and procedures shall be implemented and
enforced at all materials testing laboratories in Caltrans, including field construction
laboratories.
Most laboratories have water, gas, and electricity. Field laboratory facilities are
provided by any of the methods covered under Sections 1-4, “Facilities and
Equipment,” and 1-5, “Field Expenses and Purchases,” of this manual.
The resident engineer should coordinate with the district materials engineer to establish
a field laboratory.
6-304 6-304 Field Testing Equipment
Field Testing Each district materials engineer must have an effective calibration program for
Equipment equipment used for materials acceptance testing. Testing equipment must be in proper
operating condition and calibrated within prescribed tolerances for accuracy.
Standards for calibration of testing equipment are described in the appropriate
California Tests for calibration and 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. Acceptance samplers and
testers should verify that field testing equipment is in good condition and check the
date of last calibration on the decal.
Any testing equipment that does not meet calibration requirements is to be recalibrated
or replaced without delay. Each piece of equipment should be recalibrated and
reconditioned in accordance with the frequencies listed in the appropriate California
Test. More frequent calibration may be required depending on use of equipment and on
moving and handling practices.
While the maximum interval between calibrations may be as long as a year, equipment
should be calibrated any time there is reason to believe it has been damaged or affected
in any way that would alter calibration.
6-304A Scales and Balances
All scales and balances used in field testing must be periodically recalibrated. 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.

California Department of Transportation  Construction Manual  July 2017

6-3.2 Field Tests
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 6 kilograms.
• A torsion balance of 500-gram capacity, accurate to 0.10 gram.
When the volume of work is large, an automatic digital scale can be used instead of the
20-kilogram and 6-kilogram scales described above.
6-304B Screens and Sieves
Examine all screens and sieves prior to performing grading tests. Inspection includes
examination for broken wires, distortions and sags, and removal of particles stuck in
the mesh, all as instructed in California Test 202, “Method of Test for Determining
Sieve Analysis of Fine and Coarse Aggregates.”
6-304C Portland Cement Concrete Air Meters
Data sheets accompanying newly purchased meters contain operation and calibration
information. Supplemental sheets are available through METS.
California Test 504, “Method of Test for Determining Air Content of Freshly Mixed
Concrete by the Pressure Method,” covers the procedure for operation of the two most
common brands in use by Caltrans. California Test 115, “Method of Calibration of
Pressure Type Air Meters,” covers calibration of these two meters.
6-304D Compaction Tubes
California Test 110, “Method of Calibration of Compaction Test Equipment,” outlines
the procedure for both calibration and repair.
6-304E Cement-Treated Base Compressive Strength Apparatus
District materials laboratories can check the calibration of the hydraulic jacks used with
the apparatus. If a jack requires repair, contact the METS machine shop in Sacramento
to make the necessary arrangements for repair.
6-305 Test Methods 6-305
Whenever a reference is made in the specifications to a test method by number, it Test Methods
means the test in effect on the day the “Notice to Bidders” for the work is dated. This
means that the test methods for each project are fixed and are not necessarily the latest
revisions.
Field personnel who perform tests for compliance with the specifications must be
qualified to conduct the proper tests methods as indicated by the contract. The resident
engineer must ensure that the correct versions of test methods are used. The latest
revisions of the test methods are available on the METS website:
http://www.dot.ca.gov/hq/esc/ctms/index.html
Use the following guidelines for some of the tests performed in the field.

California Department of Transportation  Construction Manual  July 2017

Field Tests 6-3.3
 6-305A Method of Determining Approximate Grading of Mineral Aggregate by
Dry Sieve Analysis
California Test 202, “Method of Test for Determining Sieve Analysis of Fine and
Coarse Aggregates,” requires that fine aggregate is subjected to a prescribed washing
procedure before performing the sieve analysis. However, where large numbers of
sieve analyses are performed on material from a given source, the tester may use the
“Approximate Sieve Analysis of Processed Fine Aggregate” method in Appendix E of
California Test 202. Any material subject to rejection because of excessive material
retained on any sieve by the approximate method must be retested using the basic
California Test 202.
6-305B Fabrication of Cement Treated Base Specimens
Test specimens are fabricated in the field. When compressive strength tests are desired,
the specimens are cured, tested in the field, or shipped to the district materials
laboratory for testing in accordance with applicable portions of California Test 312,
“Designing and Testing of Classes ‘A’ and ‘B’ Cement Treated Bases.”
6-305C Determination of Cement or Lime Content
Refer to California Test 338, “Determination of Cement or Lime Content in Treated
Aggregate by the Titration Method,” for instructions. The acid-base titration and
constant neutralization titration tests are used to determine the percentage of portland
cement or lime in aggregates that have been treated.
The resident engineer must devise and perform 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.
6-305D Portland Cement Concrete
Concrete samples are taken in accordance with California Test 539, “Method of Test
for Sampling Fresh Concrete.”
For penetration, test in accordance with California Test 533, “Method of Test for Ball
Penetration in Fresh Portland Cement Concrete,” each batch of concrete from which
strength specimens are made.
For slump, test in accordance with ASTM C 143 each batch of concrete from which
strength specimens are made.
If air-entrained concrete is used, test the concrete using California Test 504, “Method
of Test for Determining Air Content of Freshly Mixed Concrete by the Pressure
Method,” on each batch of concrete from which strength specimens are made. If
concrete contains lightweight aggregate, air content is determined in accordance with
California Test 543, “Method of Test for Determining Air Content of Freshly Mixed
Concrete by the Volumetric Method.”
If the cement content is being checked by California Test 518, “Method of Test for
Unit Weight of Fresh Concrete,” determine the cement content for each batch from
which strength tests are made.
Review California Test 540, “Method of Test for Making, Handling, and Storing
Concrete Compressive Test Specimens in the Field,” to determine the maximum size

California Department of Transportation  Construction Manual  July 2017

6-3.4 Field Tests
of coarse aggregate to be incorporated in the test specimen. Be sure to note removal of
any oversize aggregate on the sample identification card.
California Test 540 covers the molding, transportation, curing, and storage of concrete
cylinders.
6-305D (1) Number of Cylinders Required for a “Test”
Each compressive strength test of concrete is determined to be the average strength of
two cylinders. If the strengths at both 14 and 28 days are required, submit two cylinders
for the 14-day test and two cylinders for the 28-day test. District Materials Lab,
Southern Regional Lab, or METS performs California Test 521, “Method of Test for
Compressive Strength of Molded Concrete Cylinders” or ASTM C39, “Standard Test
Method for Compressive Strength of Cylindrical Concrete Specimens,” and reports
results to the resident engineer. The resident engineer evaluates the test results for
compliance with the contract specifications.
The “2 cylinders = 1 test” concept applies to all concrete cylinder tests except trial
batches.
6-305D (2) Trial Batches
Specifications state that for concrete designated by compressive strength greater than
3,600 pounds per square inch, or if prequalification is specified, the concrete must be
prequalified by trial batches or certified test data before it is placed.
Make and test cylinders to prequalify the concrete. The test results must meet the
contract specifications before the concrete designated by compressive strength may be
considered as prequalified by trial batch.
Concrete for trial batches must be designed, produced, and tested by the contractor (or
its supplier), and a certified trial batch test report must be obtained prior to use of such
concrete. The resident engineer must ensure that the certified trial batch test report
contains all of the specified data.
The resident engineer must determine whether testing of trial batches will be performed
during the life of the contract. Caltrans personnel must witness trial batch testing.
6-305E Relative Compaction Using Nuclear Gauges
California Test 231, “Method of Test for Relative Compaction of Untreated and
Treated Soils and Aggregates Using Nuclear Gage,” provides the procedures for
determining relative compaction by using nuclear gauges.
In addition to California Test 231, use of nuclear gauges is contained in California Test
121, “Administrative Instructions for Use of Nuclear 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. California Test 121 includes supervision and operator
requirements for nuclear gauges, as well as requirements for nuclear gauge storage and
transportation. For nuclear gauges, refer to the district radiation safety officer for any
questions concerning operation, storage, and administrative requirements.
The person responsible for general inspection of the work and the person performing
the test measurements, are both involved in performing the complete test. The
progressive steps are:
• Designating the test area.
• Selecting test sites within the test area.

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Field Tests 6-3.5
 • Taking physical measurements.
• Determining test maximum value for comparison with the average in-place density
(California Test 231 only).
• Evaluation.

6-306 6-306 Material Plants

Material Plants Determining the accuracy and suitability of scales and meters used to proportion
materials in material processing plants is important to ensure uniformity and quality of
materials. Plants producing construction materials for Caltrans must be approved under
the MPQP. Material plants used for producing materials under Sections 27, “Cement
Treated Bases”; 28, “Concrete Bases”; 30, “Reclaimed Pavement”; 37, “Seal Coats”;
39-2, “Hot Mix Asphalt”; 60-3.04 “Deck Overlays”; and 90, “Concrete,” of the
Standard Specifications must comply with the MPQP. Refer to Section 3-9,
“Payment,” of this manual for weighing and metering procedures.
The MPQP covers these topics for materials plant weighing and measuring devices:
inspection, calibration, dynamic testing, and approval. Chapter 2 of the MPQP, “Plant
Equipment,” is directed to the material producer and specifies the equipment
requirements for material plants. Chapter 3, “Material Plant Calibration and Dynamic
Testing,” is directed to the user of the calibration and approval process and specifies the
calibration and approval of plant proportioning systems.
The plant approval process must be performed when weighing or measuring devices
are newly installed, repaired, or adjusted, or when the plant is relocated. The resident
engineer may order that the approval process be performed to ensure accurate
proportioning at any time on any type of plant. The maximum interval for retesting
proportioning equipment is as follows:
• Hot mix asphalt and portland cement concrete batch plants—1 year.
• Hot mix asphalt continuous mixing plants—6 months.
• Slurry seal mixer-spreader trucks—6 months or when aggregate sources are
changed.
• Concrete volumetric mixers—every 30 days for pavement and 90 days for
structures or when there is any change in ingredient sources.
The district weights and measures coordinator is responsible for material plant
approval based on:
• Plant equipment safety inspection.
• Type approval of measurement elements, except continuous conveyor scales, by
the California Department of Food and Agriculture, Division of Measurement
Standards.
• Type approval of measurement elements outside the Division of Measurement
Standards area of responsibility by the district weights and measures coordinator.
• Device calibration.
• Dynamic testing of the plant during operation.
Do not allow material production for Caltrans projects until plant approval is received.
The district weights and measures coordinator maintains a list of approved material
plants and equipment currently in compliance with the MPQP.

California Department of Transportation  Construction Manual  July 2017

6-3.6 Field Tests
Chapter 7-Environmental
Stewardship
Chapter 7 Environmental Stewardship
Section 1 Environmental Rules and Requirements
7-101 General
7-102 Environmental Commitments Record
7-102A Resident Engineer Responsibilities
7-103 Protection of Environmental Resources
7-103A Biological Resources and Species Protection
7-103A (1) Resident Engineer Responsibilities
7-103A (2) Contractor Inspections
7-103A (3) Project Files
7-103B Environmentally Sensitive Area
7-103C Cultural Resources
7-103D Community Impacts and Environmental Justice
7-103E Native American Concerns
7-103F Aesthetics
7-103G Paleontological Resources
7-103H Disposal, Staging, and Borrow Sites
7-103H (1) Caltrans- and Contractor-Designated Disposal, Staging, and Borrow Sites
7-103H (2) Surface Mining and Reclamation Act
7-103I Other Contractor Uses of the State Right-of-Way
7-104 Air, Water, and Noise Pollution Control
7-104A Air Pollution Control
7-104A (1) Air Quality
7-104A (2) Dust Control
7-104B Water Pollution Control
7-104B (1) District Construction Stormwater Coordinator Responsibilities
7-104B (2) Resident Engineer Responsibilities
7-104B (3) Stormwater Inspector Responsibilities
7-104B (4) Contractor Inspections
7-104B (5) Amendment Review and Processing
7-104B (6) Project Files
7-104B (7) Contractor Files
7-104C Noise Control
7-105 Permits, Licenses, Agreements, and Certifications
7-105A Special Use Permits and Other Federal Permits
7-105B Fish and Game Code Sections 1602 and 5650
7-105C List of Potential Permits, Licenses, Agreements, and Certifications
Table 7-1.1 State and Local Agency Permits, Licenses, Agreements, and Certifications
Table 7-1.2 Federal Agency Permits, Licenses, Agreements, and Certifications

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Environmental Rules and Requirements 7-1.i
7-106 Hazardous Materials
7-107 Hazardous Waste and Contamination
7-107A Contractor-Generated Waste Versus Department-Generated Waste
7-107B Aerially Deposited Lead
7-107B (1) Nonhazardous Waste Concentrations
7-107B (2) Hazardous Waste Concentrations
7-107B (3) Minimal Disturbance of Material Containing Hazardous Waste Concentrations of
Aerially Deposited Lead
7-107C Naturally Occurring Asbestos
7-107D Department-Generated Contaminated Soil
7-107E Removing Yellow Traffic Stripe and Pavement Marking with Hazardous Waste Residue
7-107F Disturbance of Existing Paint Systems on Bridge
7-107G Treated Wood Waste
7-107H Disposal of Electrical Equipment Requiring Special Handling
7-107I Unanticipated Discovery of Hazardous Waste and Contamination
7-108 Crumb Rubber Usage Reporting
7-109 Solid Waste Disposal and Recycling Reporting
Figure 7-1.1 Unknown Hazards Procedure
7-110 Certificate of Environmental Compliance

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7-1.ii Environmental Rules and Requirements
Chapter 7 Environmental Stewardship
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 construction contracts.
The district construction deputy director is responsible for ensuring that environmental
permit, license, agreement, and certification (PLAC) requirements are enforced. Within
district construction, stormwater coordinators are appointed. Within either the district
environmental or district Construction Unit, environmental construction liaisons are
appointed. The environmental construction liaisons must have appropriate training,
background, and experience to facilitate effective communications necessary to carry
out the responsibilities of both district construction and the district Environmental Unit.
To meet legal requirements, district construction staff must coordinate and
communicate with environmental staff, possess appropriate skills, receive appropriate
training, and understand their role in successfully carrying out environmental
commitments, including PLACs, within the contract requirements.
7-102 Environmental Commitments Record 7-102
Caltrans established the Environmental Commitments Record (ECR) in a memo dated Environmental
June 5, 2005, from the chief engineer to ensure that Caltrans meets its Commitments
environmental commitments for each project by: Record
• Documenting all environmental commitments including PLACs.
• Specifying how each commitment will be met.
• Documenting the completion of each commitment.
The ECR contains all relevant environmental compliance information and PLAC
requirements; basic project information, including each environmental commitment,
person, or unit responsible for commitment completion; timing and manner of
implementation; location; and a commitment reference document and other
commitment requirements. The ECR is part of the resident engineer’s pending file and
is necessary to oversee and track the project environmental commitments. It is used to
prepare the Certificate of Environmental Compliance (CEC) during contract
acceptance.
The resident engineer will review the ECR with the environmental construction liaison
or district Environmental Unit during the preconstruction meeting with Caltrans
personnel before meeting with the contractor. The environmental construction liaison
or district Environmental Unit can assist with discussing the requirements at the
preconstruction meeting. The resident engineer monitors the progress of all
construction-related environmental commitments on an ongoing basis throughout the
life of the contract and ensures their implementation. Commitments completed during
construction should be tracked on the ECR.

California Department of Transportation  Construction Manual  July 2017

Environmental Rules and Requirements 7-1.1
 The following are necessary for meeting environmental commitments during
construction as required by Caltrans policy and law. Refer to Sections 7-103 through 7-
108 of this manual for additional requirements specific to:
• Environmental resources
• Air, noise, and water pollution control
• Permits, licenses, agreements, and certifications (PLACs)
• Hazardous materials
• Hazardous waste and contamination
• Solid waste disposal and recycling reporting
7-102A Resident Engineer Responsibilities
The resident engineer uses all available assistance and expertise to understand and meet
the commitments listed in the ECR. This assistance may come from the environmental
construction liaison, stormwater coordinators, project biologist, or other functional
areas in the district or region (such as design, cultural resources, hazardous waste,
paleontology, hydraulics, or public information office).
Before work begins, the resident engineer must do the following:
• Ensure the resident engineer’s pending file contains the ECR. An ECR is required
for every project; if it is missing, contact the project engineer to obtain it.
• Review the resident engineer’s pending file, ECR, PLACs, construction contract,
and Sections 13, “Water Pollution Control,” and 14, “Environmental
Stewardship,” of the Standard Specifications for commitments.
• Identify notices and required approvals and actions necessary to meet regulatory
requirements and stewardship goals.
• Meet with the environmental construction liaison, district construction stormwater
coordinator, project biologist, and appropriate environmental and engineering
experts in the district to ensure a full understanding of the contract requirements
and commitments listed in the ECR.
• Depending on the project’s size and complexity, an additional preconstruction
meeting may be used exclusively for discussing environmental commitments and
requirements.
• Review Sections 10-1.03, “Time Constraints,” 13, “Water Pollution Control,” and
14 “Environmental Stewardship,” of the Standard Specifications and the special
provisions for water pollution control and environmental time constraints. Ensure
those time constraints are reflected in the critical path method baseline schedule,
including submittal review times.
During the course of work, the resident engineer must do the following:
• Periodically meet with the environmental construction liaison to review the ECR
and confirm that environmental commitments required by the contract will be met.
• Inspect the contractor’s operations for compliance with the specifications and the
PLACs.
• Before submitting a change order or an authorization to proceed with change order
work, review the change order work with the environmental construction liaison to

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7-1.2 Environmental Rules and Requirements
 confirm that the proposed change does not adversely affect environmental
commitments.
• Ensure the contractor notifies and obtains the resident engineer’s approval in
advance for each new activity as required. Ensure the contractor’s schedule is
coordinated with necessary environmental activities.
• Direct the contractor to correct any identified deficiencies in environmental
compliance efforts.
• Should noncompliance occur, initiate contractual enforcement procedures
appropriate to the nature and severity of the situation.
Before accepting the contract, the resident engineer must do the following:
• Ensure that all environmental commitments required by the PLACs and by the
contract have been met.
• Require the contractor to remove temporary best management practices (BMP)
measures, such as environmentally sensitive area (ESA) fences or other measures
unless the BMP measures are part of permanent measures or requested to be left in
place by the district Maintenance Unit.
• Conduct a final walk-through of the project area with the environmental
construction liaison.
7-103 Protection of Environmental Resources 7-103
This section contains guidelines for protecting and preserving environmental resources, Protection of
such as biological, cultural, Native American, or paleontological items, and Environmental
administering the contract’s environmental resource requirements during construction Resources
as required by Caltrans policy and law.
7-103A Biological Resources and Species Protection
Both state and federal laws protect designated plant and animal species and their
respective habitats. Strict prohibitions exist on certain types of work, work during
certain times of the year, or work at specific locations. Even inadvertently affecting
protected species can result in fines or jail sentences and may result in significant
project delays. The PLACs and species protection measures in the contract will specify
the necessary protection measures and restrictions, and the plans will show ESAs.
However, during construction, project staff or personnel from regulatory agencies may
discover protected species that were not anticipated in the contract. If such a discovery
occurs, suspend work in the area and immediately notify the environmental
construction liaison, project biologist, or district Environmental Unit.
The Migratory Bird Treaty Act and the California Fish and Game Code make it illegal
to harm migratory birds, nongame birds, and their occupied nests. Activities that are
most likely to encounter migratory birds, nongame birds, and their occupied nests
include clearing and grubbing; and bridge demolition, maintenance, and retrofit work.
Bird protection is a subset of species protection. Species protection responsibilities
apply to bird protection. PLACs and the bird protection or species protection measures
in the contract will specify the necessary protection measures and restrictions, and the
plans will show any ESAs.
When occupied nests are found within the project area, the resident engineer will
evaluate, with the assistance of the environmental construction liaison or project
biologist, whether work in the area can continue or if suspension of work is necessary.

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Environmental Rules and Requirements 7-1.3
 The resident engineer will immediately contact the environmental construction liaison
or district Environmental Unit for assistance in this evaluation.
7-103A (1) Resident Engineer Responsibilities
The resident engineer uses all available assistance and expertise to protect natural
resources. This assistance may come from the environmental construction liaison,
contractor-supplied biologist, project biologist or other state-furnished biologist, or
other functional areas in the district, such as design, cultural resources, stormwater,
hazardous waste, paleontology, and hydraulics.
Before work begins, the resident engineer must do the following:
• When the contract specifies a contractor-supplied biologist, regulatory agency
approvals may be required prior to accepting the contractor-supplied biologist. Do
not accept submittals from the contractor-supplied biologist until approval is
obtained. Understand that a contractor-supplied biologist works for the contractor
and does not speak for Caltrans.
• Meet with the environmental construction liaison, project biologist, and
appropriate environmental and engineering experts in the district to ensure a full
understanding of the contract requirements for species and natural resource
protection.
• If an ECR-required Biological Resource Information Program (BRIP) has been
prepared by Caltrans, supply a copy to the contractor. If the specifications require
the contractor to prepare a BRIP, coordinate a review with the environmental
construction liaison or project biologist. Only accept the BRIP if it complies with
the PLACs and provisions of the contract.
• If there is a bid item for Natural Resource Protection Plan, Section 14-6.03D(2),
“Natural Resource Protection Plan,” of the Standard Specifications will apply.
Coordinate review of the contractor’s Natural Resources Protection Plan with the
environmental construction liaison or project biologist. Note that the specifications
prohibit any work that has the potential to adversely affect protected species and
their habitat without permission from regulatory agencies.
• Before earthwork or clearing and grubbing begins, request that required
preconstruction biological surveys be completed and results be provided to
understand regulatory requirements that may delay activities.
• When work occurs in water, or where vibrations or sounds from construction or
other project-related activities may pass into waters, review hydroacoustic
requirements for the protection of water-dependent species and ensure that
necessary protections, approvals, monitoring activities, and reports are complete or
active as required.
• Designate appropriate staff to assist in preventing adverse effects to biological
resources as needed.
During the course of work, the resident engineer must do the following:
• If required by the specifications or PLACs, maintain a copy of the BRIP on the
project site and ensure that staff completes required training.
• Inspect the contractor’s operations for compliance with the specifications and the
PLACs, the biological provisions, and the accepted natural resource protection
plan, when required.

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7-1.4 Environmental Rules and Requirements
• Ensure the contractor adheres to the monitoring or survey schedule set forth in the
PLACs, the biological provisions, and the accepted natural resource protection
plan, and provides written reports of these inspections on schedule.
• Ensure the contractor maintains species protection measures so that they will
function as planned.
• Ensure the contractor has the necessary staff and materials on hand to inspect and
maintain species protection measures.
• Ensure the contractor notifies and obtains the resident engineer’s approval in
advance for each new activity, as required. Ensure that the contractor’s schedule is
forwarded to the environmental construction liaison or project biologist and
coordinated with necessary resource monitoring.
• Ensure that construction does not result in new barriers to aquatic species passage
or create issues with maintenance of existing passages.
• Immediately notify the environmental construction liaison and project biologist
when protected resources are affected or may be affected by project activities. The
project biologist will determine what action is necessary and will advise the
resident engineer.
• If necessary, meet with personnel from regulatory agencies, such as the U.S. Fish
and Wildlife Service; U.S. Environmental Protection Agency (U.S. EPA); U.S.
Army Corps of Engineers; National Oceanographic and Atmospheric Agency,
National Marine Fisheries Service (NOAA Fisheries); and the California
Department of Fish and Wildlife, to discuss protected natural resources and
measures to protect resources. The environmental construction liaison or project
biologist will assist in discussions and negotiations.
Before accepting the contract, the resident engineer must do the following:
• As required by the PLACs and by the contract, determine that all biological
requirements are complete.
• Ensure that the project has not maintained or created barriers to aquatic organism
passage.
• Conduct a final walk-through of the project area with the project biologist.
7-103A (2) Contractor Inspections
The PLACs and special provisions for species protection may require the contractor to
inspect the job site periodically for the proper implementation, performance, and
maintenance of species protection measures. The contractor must follow the species
protection measures specified in the PLACs, special provisions, and natural resource
protection plan, and may be required to report on activities.
If any situation constitutes potential noncompliance with the permit, the resident
engineer must conduct a verification inspection, and, if a noncompliant condition
exists, report it to the environmental construction liaison or project biologist. The
environmental construction liaison or project biologist will coordinate with the district
environmental office to determine the actions required, including timely reporting to
regulatory agencies and necessary options for compliance. The resident engineer must
require the contractor to amend the natural resource protection plan, if necessary, and to
install additional species protection measures to achieve compliance.

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Environmental Rules and Requirements 7-1.5
 7-103A (3) Project Files
The resident engineer must keep copies of all applicable documents related to species
protection measures as required in PLACs, special provisions, BRIP, and the natural
resource protection plan, and retain copies in Category 18, “Agreements,” of the
project files. Retain all the required documents for at least 3 years after contract
completion, or longer if required in the PLACs. Provide specific disposition
instructions in Category 18 when retention beyond 3 years is required. These
documents include the following:
• Periodic reports and photographs related to species protection as required.
• Take notification documentation of regulated species as required by PLACs.
• All correspondence related to species protection, including notices of
noncompliance.
• Inspection, survey, and monitoring reports supplied by the contractor,
environmental construction liaison or project biologist.
• Inspection reports from the resident engineer and assistant resident engineer.
• Copies of the approvals and certifications required by the specifications.
7-103B Environmentally Sensitive Area
The ESA is shown on the plans and creates a secure area within the plan boundaries
enclosed by a temporary fence (Type ESA). If the area is breached, immediately secure
it, stop all operations within 60 feet of the boundary, and ensure the contractor follows
the directions in Section 14-1.02, “Environmentally Sensitive Area,” of the Standard
Specifications. The resident engineer will consult with the environmental construction
liaison, project biologist, or project cultural specialist prior to approving entry into an
ESA and when identifying or assessing damage. If the ESA is damaged, document the
damage and, through consultation with the environmental construction liaison or
district Environmental Unit, determine the necessary remediation including the party to
perform the remediation work. Take an administrative deduction for the cost of the
work when applicable, as covered by Sections 3-906G, “Deductions,” and 5-103F (1c),
“Deductions,” of this manual.
7-103C Cultural 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. Seek assistance from the project manager,
environmental construction liaison, project cultural specialist, or district Environmental
Unit. For more information, refer to the Standard Environmental Reference, Vol. 2.
7-103D Community Impacts and Environmental Justice
Mitigating project impact on communities during construction may require actions in
the community. These requirements may be included as part of the contract, including
change orders, but can also be listed as an item on the ECR. Also, refer to Section 8-2,
“Equal Employment Opportunity,” of this manual regarding Title VI and
environmental justice.

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7-1.6 Environmental Rules and Requirements
Executive Order 12898, “Federal Actions to Address Environmental Justice in
Minority Populations and Low-Income Populations,” directs federal agencies to
achieve environmental justice by identifying and addressing disproportionately high
and adverse human health and environmental effects, including the interrelated social
and economic effects of their programs, policies, and activities on minority and low-
income populations in the United States.
7-103E Native American Concerns
These requirements are placed to alleviate concerns of the Native American
community. If resources of concern to Native Americans, human remains, or
previously unknown associated artifacts are unearthed, suspend work in the vicinity
until the concern can be evaluated and properly resolved. Seek assistance from the
project manager, environmental construction liaison, project cultural specialist, or
district Environmental Unit. For more information, refer to the Standard
Environmental Reference, Vol. 2.
http://www.dot.ca.gov/ser/
7-103F Aesthetics
Aesthetics are considered during the planning, design, and construction of
transportation projects to adequately address a transportation project’s visual effects
and to help integrate the facility into the surrounding context. Aesthetic features
included in the construction documents are the result of commitments included in the
environmental document or made to the community to address scenic, aesthetic,
historic, cultural, environmental, and recreational values. The integration and
construction of these aesthetic features on a project is critical to fulfilling the aesthetic
commitments.
Proposed changes to the plans and specifications that affect the aesthetic features must
be coordinated with and approved by the district landscape architect to ensure that
Caltrans’ aesthetic commitments are accomplished as intended.
7-103G Paleontological Resources
Paleontological resources are evidence of ancient life, not including human life,
preserved as fossils in sediments and rock. In geologically diverse California,
vertebrate, invertebrate, and plant fossils are found throughout the state.
Paleontological resources have unique scientific value and as a result must be
protected. Refer to Chapter 8 of the Standard Environmental Reference Vol. 1, for
information about applicable laws.
Paleontological resources may be encountered when a project includes invasive
activities such as excavation or drilling of previously undisturbed sediments and rock.
If paleontological resources are anticipated, the contract should include special
provisions in accordance with Section 14-7, “Paleontological Resources,” of the
Standard Specifications. Protection of paleontological resources usually includes
preservation of scientific information through monitoring, and fossil and data recovery.
This work is normally performed by a consultant working directly for Caltrans, not the
construction contractor. In these cases, the resident engineer must ensure the
coordination and cooperation of the construction contractor with the paleontological
consultant. This is accomplished by including the paleontological consultant in
preconstruction meetings, providing the paleontological consultant with an accurate
and updated schedule of subsurface disturbing activities, and, when required, ensuring

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Environmental Rules and Requirements 7-1.7
 that the contractor’s staff attends paleontological awareness training presented by the
paleontological consultant.
In most cases, paleontological monitoring and fossil and data recovery can be
performed with minimal impact to construction activities. However, when large
specimens or fossil-rich areas are encountered, excavation activities may need to be
temporarily diverted while the paleontological team stabilizes and removes them. In
these cases, the resident engineer must facilitate coordination and cooperation between
the paleontological monitoring team and the construction contractor.
If unanticipated paleontological resources are encountered, the construction contractor
is directed to stop work within a 60-foot radius of the discovery and contact the
resident engineer. The resident engineer must contact the environmental construction
liaison who will enlist the assistance of the appropriate technical staff to investigate the
discovery. Work in the area of discovery cannot resume until the find has been
properly evaluated and recovery activities completed as necessary. The remaining
construction activities must be evaluated in context of the discovery and monitoring
may be required. If monitoring is required, it may be accomplished through either a
separate contract (preferred) or a subcontract through the prime construction contractor.
In either case, assistance from the environmental construction liaison or district
Environmental Unit will be necessary.
After excavation is complete, a paleontological mitigation report will be prepared by
the paleontological consultant. After receiving the report, the resident engineer must
coordinate with the environmental construction liaison or district Environmental Unit
to update the ECR. If fossils are recovered from the project, they will be properly
curated. The resident engineer must coordinate with the environmental construction
liaison or district Environmental Unit to ensure that funding is made available to pay
for reporting and curation activities performed by the consultant.
7-103H Disposal, Staging, and Borrow Sites
Caltrans construction projects often require contractors to make use of either state-
owned or private off-site lands and facilities for the disposal of excess materials; the
acquisition of necessary borrow materials; and to stage equipment, store supplies, and
house their offices. Contract documents generally require the contractor to show that
construction activities on these sites comply with all local, state, and federal
environmental and permitted use regulations. However, in some geographic locations
there have been issues regarding final compliance responsibility. To resolve these
issues and to foster better cooperation with regulatory agencies, the option of
designating disposal, staging, and borrow (DSB) sites has been facilitated.
Those construction projects that cannot accommodate the needs of the project within
the right-of-way may have designated sites outside the project limits. However, even
when such sites are made available, the contractor will continue to have the flexibility
of using alternative sites. Alternative sites selected by the contractor require the
contractor to prepare a submittal to the resident engineer for approval. Requirements
for this submittal are outlined in the following section, and additional guidance is
available at:
http://www.dot.ca.gov/hq/oppd/dib/dibprg.htm
The need for identifying and obtaining environmental approvals for a designated DSB
site will generally have been made by the project engineer on a case-by-case basis,
considering historical and geographical issues and practices, project design

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7-1.8 Environmental Rules and Requirements
requirements, environmental concerns, economic factors, and other aspects specific to
projects and their locale. During project development, the project engineer should have
considered and identified sites readily available for use by the contractor. These sites
would have included, but not be limited to, commercial dumpsites, recycling plants,
private property, and other local sites. If it was deemed necessary that one or more
DSB sites needed to be designated, the project engineer would have proposed sites
evaluated during the environmental review process and, as necessary, included them in
the environmental compliance documentation. To ensure their availability to the
contractor, right-of-way agreements would have been obtained for private sites selected
as designated DSB sites. Any necessary permits would have been included among
those obtained during the plans, specifications, and estimate development. Information
or documents regarding arrangements made by Caltrans to ensure the availability of
designated sites are provided to prospective bidders or contractors in a materials
information handout.
Summaries are provided below for the minimum items expected in: 1) a DSB site
submittal for a site designated by Caltrans; and 2) a summary of the minimum items
expected in a DSB site submittal for a contractor to get approval for the use of an
alternate site. The submittal and support documents are then filed in the project files.
7-103H (1) Caltrans- and Contractor-Designated Disposal, Staging, and Borrow
Sites
For Caltrans-designated sites:
• Caltrans will:
1. Provide a general site plan, including site limits and access roads.
2. Obtain temporary property owner agreements as necessary to “reserve”
property.
3. Prepare California Environmental Quality Act or National Environmental
Policy Act documentation, as needed, in consultation with the Environmental
Unit.
4. Verify the existence of or obtain the necessary PLACs to satisfy regulatory
agencies and ensure site availability in consultation with the Environmental
Unit.
5. Review and accept the contractor’s submittal.
• The contractor will:
1. Prepare a final grading plan in conformance with the Standard Specifications.
2. Provide a release of liability.
3. Provide final property owner agreements (refer to Section 3-603, “Local
Materials,” of this manual).
4. Submit a written plan for water pollution prevention in conformance with the
Standard Specifications.
For alternative sites selected by the contractor:
• Caltrans will review and accept the contractor’s submittal.

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Environmental Rules and Requirements 7-1.9
 • The contractor will:
1. For borrow sites, demonstrate that the site is either not subject to or is in
compliance with the Surface Mining and Reclamation Act (SMARA). If the
borrow site is not subject to SMARA, confer with the environmental
construction liaison or district Environmental Unit t to ensure that the borrow
site is not a potential contamination source.
2. For all DSB sites:
• Provide a site plan, including site limits and access roads.
• Obtain and provide property owner agreements (refer to Section 3-603,
“Local Materials,” of this manual).
• Provide a release of liability.
• Provide environmental documentation prepared by appropriately qualified
environmental specialists.
• Obtain or update all necessary PLACs.
• Determine the final grading plan in conformance with the Standard
Specifications.
• Submit a written plan for water pollution prevention in conformance with
the Standard Specifications.
7-103H (2) Surface Mining and Reclamation Act
Section 10295.5 of the Public Contract Code requires that Caltrans buy or accept sand,
gravel, aggregates, or other mined materials (including imported borrow) from mining
operations in that are compliance with or not subject to SMARA. The resident engineer
can use the list of mining operations in compliance with SMARA, also called the “AB
3098 List,” to verify which mining operations are in compliance. The current list may
be obtained from the Department of Conservation website:
http://www.conservation.ca.gov/omr/SMARA%20Mines/ab_3098_list
Mining operations that meet the following criteria are not subject to SMARA and are
not required to be on the AB 3098 List:
• A total amount of mined materials less than 1,000 cubic yards in any one location
of 1 acre or less.
• Onsite excavations and onsite earth-moving activities on a Caltrans construction
project that are an integral and necessary part of the project.
• Materials mined from federal lands, except for lands that the Bureau of Land
Management and U.S. Forest Service regulate.
• Materials mined from tribal lands, when mined by a tribal mining operator.
• Materials mined from outside of California.
Review contractor-proposed sources and verify that the source is on the current
AB 3098 List. If the contactor proposes to use mined material from a mining operation
not on the AB 3098 List, obtain from the contractor proof that the operation is not
subject to SMARA, in accordance with the criteria above, and confirm with the
Department of Conservation. Contact the Office of Mine Reclamation, Reporting and
Records Unit, at: [email protected] or (916) 323-9198.

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7-1.10 Environmental Rules and Requirements
SMARA allows the State Mining and Geology Board to exempt certain mining
operations or construction projects. Caltrans can accept material from exempted
sources if the contractor provides proof of the board-granted exemption.
If the proposed site is not on the AB 3098 List, and the contractor cannot demonstrate
that the site is not subject to SMARA or that an exemption has been granted, the
resident engineer must not accept the contractor’s submittal. Refer challenges to the
acceptance of materials to the Division of Construction field coordinator.
7-103I Other Contractor Uses of the State Right-of-Way
The contractor’s use of Caltrans-owned parcels that are outside of the project limits
will be contingent upon approval by the resident engineer, based on:
• The DSB site submittal
• Execution of a fair market rental agreement with Caltrans
• Execution of an encroachment permit by the district permit engineer
The resident engineer should consult with the project engineer and environmental
construction liaison or district Environmental Unit before approving the DSB site
submittal. For more information, refer to Section 3-516, “Areas for Use,” of this
manual.
7-104 Air, Water, and Noise Pollution Control 7-104
This section contains guidelines for administering the contract’s air, water, and noise Air, Water, and
requirements. Noise Pollution
Control
7-104A Air Pollution Control
7-104A (1) Air Quality
Section 7-1.02C “Emissions Reduction,” of the Standard Specifications states that the
contractor, by executing the contract, is aware of California Air Resources Board
(ARB) regulations and will comply with those regulations before starting work and
throughout the duration of the contract.
The resident engineer does not need to verify that the contractor’s equipment complies
with ARB regulations. The local air quality control district or air quality management
district, commonly referred to as the “air district,” is responsible for enforcing air
quality regulations. If complaints are brought to the resident engineer’s attention, the
resident engineer should direct the complainant to file the complaint with the local air
district.
If the complaining party insists that Caltrans handle the situation, the resident engineer
should forward the complaint to the local air quality control district, based on project
location, and send the contractor a copy of the complaint filed.
A list of local air quality control districts, contacts, and addresses is available at:
https://www.arb.ca.gov/capcoa/roster.htm
All Caltrans projects must comply with the Clean Air Act. Permits are issued by local
air quality management districts and require that the project create no smoke, offensive
odors, or visible dust. Contractors must take appropriate measures to ensure their
equipment is properly maintained and to apply water and other dust palliatives as

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Environmental Rules and Requirements 7-1.11
 frequently as necessary. Violations can result in fines and sanctions against the
contractor and Caltrans.
7-104A (2) Dust Control
Under the terms of the project contract, the contractor must control dust. The contractor
must maintain such control whether payment is included in the prices paid for the
various items of work involved or whether payment is made separately. Refer to
Sections 4-10, “General Construction,” and 4-18, “Dust Palliatives,” of this manual for
additional guidance related to dust control.
During the preliminary inspection, before work begins, take the following steps:
• Determine whether a planned method to control dust is included in the contractor’s
accepted plan for water pollution prevention.
• Whenever it is proposed to handle temporary traffic changes on an unpaved
roadway, anticipate the necessity for dust control. Notify and require corrective
action whenever the contractor is not adequately controlling dust. In cases of
neglect, work may be suspended under the resident engineer’s authority, pursuant
to Section 8-1.06, “Suspensions,” of the Standard Specifications.
7-104B Water Pollution Control
To ensure the control of pollutants in discharges of stormwater runoff, Caltrans
construction projects may be subject to federal law under the Clean Water Act and state
law under the California Water Code. All Caltrans construction projects are subject to
the Caltrans National Pollutant Discharge Elimination System (NPDES) permit issued
by the State Water Resources Control Board (SWRCB) and one of the following
NPDES permit requirements: the statewide Construction General Permit (CGP) issued
by the SWRCB, the Lake Tahoe CGP issued by the Lahonton Regional Water Quality
Control Board (RWQCB), or the federal CGP issued by the U.S. EPA. The project
specifications should identify which permits apply to the project.
For each construction project, the contractor must prepare either a stormwater pollution
prevention plan (SWPPP) or a water pollution control program (WPCP) in accordance
with Section 13, “Water Pollution Control,” of the Standard Specifications, Caltrans’
Stormwater 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 United States. The resident
engineer must authorize all such preventive measures, and then the contractor’s forces
must implement and maintain the measures.
Successfully protecting water resources (streams, waterways, and other bodies of
water) and protected water-dependent species from pollution is critical to the project’s
success. These waters must be protected from chemical pollutants, including petroleum
products, paint residues, and curing compounds, and from sediment in stormwater
runoff. To ensure this, Caltrans has developed an evaluation plan to review the
contractor’s water pollution control program and to evaluate construction projects for
overall adequacy in implementing stormwater pollution prevention measures. The
Construction Compliance Evaluation Plan provides a process for evaluating the
potential threat to water quality that is sensitive to forecasted storm events and
contractor preparedness. The plan also separates water quality compliance from
stormwater contract administration.

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7-1.12 Environmental Rules and Requirements
For projects covered by the statewide or Lake Tahoe CGP, permit registration
documents and other permit-related compliance documents must be filed electronically
with the SWRCB through the Storm Water Multiple Application and Report Tracking
System (SMARTS) at:
https://smarts.waterboards.ca.gov/smarts/faces/SwSmartsLogin.xhtml
All requests to start construction, Notices of Intent, requests for termination of a
project, Notices of Termination, and interim reporting are made through SMARTS.
To set up a SMARTS profile, the CGP and SMARTS require establishment of certain
responsibilities, including:
• The legally responsible person (LRP).
• The approved signatory.
• A data entry person.
For Caltrans, the LRP is the district director, although as many as three backups may
be designated to perform the same duties, with responsibility for permit compliance
and designating the approved signatory for the project. Assignment of an approved
signatory is accomplished by the linking process in SMARTS as detailed in the
SMARTS User’s Manual. The manual is posted on the Division of Construction
stormwater training website:
http://www.dot.ca.gov/hq/construc/stormwater/swppp_training.html
A project can have more than one approved signatory. The resident engineer is
responsible for the project data submitted in SMARTS and must be designated an
approved signatory. The LRP may link other approved signatories to the project as
necessary to support project delivery. Documentation for SMARTS submittals comes
from various members of a project development team; however, the approved
signatory is responsible for submitting permit registration documents, the Notice of
Intent, discharge reports, annual reports, ad-hoc reporting, and Notice of Termination
certification.
A data entry person may be any Caltrans staff member or contractor’s personnel
designated by the LRP or approved signatory to input information into SMARTS.
The Notice of Intent provides the RWQCBs with details about the project and is a
request for coverage under the CGP. The process involves filing project-related
information and the project SWPPP. Obtain information necessary to complete the
SMARTS Notice of Intent from the project “Storm Water Data Report Attachment for
SMARTS Input.”
Reporting in SMARTS is accomplished by entering data into specific tabs or by
uploading documents. For example, the Notice of Intent is created by entering data in
the fields under the Notice of Intent tab, whereas the project SWPPP and its
amendments are uploaded into the system. There are also screens for discharge
reporting, annual reports, and other permit-related project reports. The approved
signatory may certify submittals in SMARTS and, when applicable, will need to
provide the qualified SWPPP developer’s certification. Hard copies of these documents
must be maintained in the project files.

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Environmental Rules and Requirements 7-1.13
 Section II.D, “Conditions for Termination of Coverage,” of the CGP details when a
project is complete and a Notice of Termination is appropriate. Consult with the project
engineer to ensure the conditions have been satisfied. For additional guidance, refer to:
http://www.waterboards.ca.gov/water_issues/programs/stormwater/caltrans.shtml
7-104B (1) District Construction Stormwater Coordinator Responsibilities
District construction must have at least one designated district construction stormwater
coordinator who will carry out necessary administrative functions to prevent water
pollution. This coordinator reviews the contractor’s SWPPP or WPCP, visits projects,
and acts as technical advisor to the resident engineer. The coordinator evaluates
projects for potential threats to water quality and the effectiveness of stormwater
contract administration. The district construction stormwater coordinator works with
other functional areas in the district, assists resident engineers to ensure compliance,
and ensures that field construction personnel are appropriately trained.
7-104B (2) Resident Engineer Responsibilities
The resident engineer uses all available assistance and expertise in preventing water
pollution. This assistance may come from the district construction stormwater
coordinator, environmental construction liaison, or other functional areas in the district,
such as landscape architecture, environmental, and hydraulics.
Before work begins, the resident engineer must do the following:
• Designate appropriate staff as stormwater inspectors to assist in preventing
stormwater pollution.
• Review the construction contract and the resident engineer’s file for instructions
and commitments.
• Ensure that permit registration documents are submitted into SMARTS.
• Ensure that all proper forms have been filed with the RWQCB.
• Meet with the appropriate environmental and engineering experts in the district to
ensure a full understanding of the contract requirements for water pollution
prevention.
• Conduct a preconstruction meeting with the contractor to discuss all required
stormwater measures and requirements. Depending on the project’s size and
complexity, this preconstruction meeting may be used exclusively for discussing
water pollution prevention or the topic may be included in a general
preconstruction meeting.
• Provide the contractor with a copy of the district Design Unit’s conceptual SWPPP
for the project, if one has been prepared.
• Review and authorize the contractor’s SWPPP or WPCP as required by the
specifications. The district construction stormwater coordinator may assist in the
review. Note that before the resident engineer has authorized the plan, the
specifications prohibit any job site activities. If a RWQCB requires review of the
authorized SWPPP, job site activities are prohibited until the board reviews and
comments on the authorized SWPPP.
• Before any job site activities begin, ensure the contractor deploys any stormwater
measures called for in the SWPPP or WPCP.

California Department of Transportation  Construction Manual  July 2017

7-1.14 Environmental Rules and Requirements
During the course of work, the resident engineer must do the following:
• Maintain a copy of the authorized SWPPP or WPCP on the project site.
• Inspect the contractor’s operations for compliance with the specifications and the
authorized SWPPP or WPCP, including deployment of best management practices
measures.
• Ensure the contractor adheres to the inspection schedule set forth in the SWPPP or
WPCP and provides written reports of these inspections.
• Ensure the contractor prepares and submits Form CEM-2045, “Rain Event Action
Plan,” or Form CEM-2045T “Rain Event Action Plan—Lake Tahoe Hydrologic
Unit” if applicable, for risk levels 2 and 3 on SWPPP projects.
• Ensure the contractor prepares and submits project annual reports.
• Ensure the contractor deploys stormwater and nonstormwater best management
practices measures whenever associated construction activities are taking place.
• Ensure the contractor maintains best management practices measures so that they
will function as planned.
• Ensure the contractor has the necessary materials on hand to deploy any necessary
additional measures in the event of a storm.
• Ensure the contractor uses appropriate measures to stabilize slopes at the times
specified. In accordance with the specifications, ensure the contractor submits an
implementation schedule for soil stabilization and sediment control for disturbed
soil areas.
• Ensure the contractor complies with any provisions that restrict the size of the
contractor’s disturbed soil area.
• Ensure the contractor notifies the resident engineer and obtains the resident
engineer’s authorization in advance for each first-time nonstormwater 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’s water pollution protection plan addresses avoiding water
quality impacts related to pre-nesting season removal of existing bird nests on
bridges and other structures over or near water.
• Direct the contractor to correct any deficiencies in compliance efforts identified in
the contractor’s or district construction stormwater coordinator’s project evaluation
reports.
• If any pollutants are discharged into the waters of the United States, notify the
district construction stormwater coordinator immediately. Review the NPDES
permit and Statewide Stormwater Management Plan to determine the appropriate
reporting timeframe, and provide a draft report of noncompliance to the district
NPDES stormwater coordinator. Unless otherwise indicated in the district or
regional work plans, the district NPDES stormwater coordinator will then forward
the report to the RWQCB. For SWPPP projects, require the contractor to prepare
Form CEM-2061, “Notice of Discharge Report,” or Form CEM-2061T “Notice of
Discharge Report—Lake Tahoe Hydrologic Unit Stormwater Sample Field Test
Report/ Receiving Water Monitoring Report” if applicable.

California Department of Transportation  Construction Manual  July 2017

Environmental Rules and Requirements 7-1.15
 • Report to the district construction stormwater coordinator any illegal discharges or
illicit connections. Require the contractor to prepare Form CEM-2061, “Notice of
Discharge Report,” or Form CEM-2061T “Notice of Discharge Report—Lake
Tahoe Hydrologic Unit Stormwater Sample Field Test Report/ Receiving Water
Monitoring Report” if applicable, as specified in the SWPPP.
• Should noncompliance occur, initiate contractual enforcement procedures
commensurate with the nature and severity of the noncompliance. Contract
enforcement may include the following:
1. Withholding funds from contract payment as specified in the contract.
2. Suspending any work that would exacerbate the noncompliance or interfere
with or prevent the 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 best management practices
measures.
• Meet with personnel from regulatory agencies, such as the U.S. EPA, RWQCB, or
SWRCB to discuss stormwater issues and measures.
• Ensure the contractor submits an annual certification of compliance, Form
CEM-2070, “SWPPP/WPCP Annual Certification of Compliance,” as specified.
Sign, date, and file this certification in the project files.
• At 90 percent construction completion, conduct a field review with the
maintenance superintendent or supervisor, or the district maintenance stormwater
coordinator, and complete Form MTCE-0023, “Construction to Maintenance 90%
BMP Completion Walkthrough.”
Before accepting the contract, the resident engineer must do the following:
• Determine that all slopes are stabilized, as required by the contract.
• Require the contractor to remove temporary BMP measures that are not a part of
permanent erosion control or that the district Maintenance Unit has not requested
to be left in place.
• Conduct a final walk-through of the project area with the maintenance
superintendent or region manager. During the final inspection, update Form
MTCE-0023 to reflect changes and corrective actions implemented since the 90
percent construction completion field review with maintenance.
7-104B (3) Stormwater Inspector Responsibilities
The resident engineer may assign an assistant resident engineer as the stormwater
inspector. The stormwater inspector will assist the resident engineer in carrying out the
work described above, as determined by the resident engineer. Typically, the
stormwater inspector will do the following:
• Review and become familiar with the Standard Specifications and project special
provisions pertaining to water pollution control.
• Review and become familiar with the authorized WPCP or SWPPP.
• Conduct site inspections. Verify that BMP measures are properly installed and
meet the requirements in the Caltrans Stormwater Quality Handbooks and the
contract specifications. Look for areas that may require BMP measures that are not

California Department of Transportation  Construction Manual  July 2017

7-1.16 Environmental Rules and Requirements
 deployed or not addressed in the WPCP or SWPPP. Observe and identify any
discharges, illicit connections, and illegal discharges. Take photographs of all
areas.
• Prepare daily reports on stormwater pollution prevention. Record all stormwater
management activities, or inactivity, and conversations with the contractor
regarding stormwater pollution prevention.
• Document site visits from regulatory agencies, such as the SWRCB, the RWQCB,
or U.S. EPA, and any inspections the agencies perform.
• Monitor the weather reports of the National Weather Service for rainfall
predictions. If a qualifying rain event (greater than 0.5 inch for each event) or
storm event (greater than 0.1 inch in 24 hours) is predicted, ensure the contractor
prepares a rain event action plan for risk levels 2 and 3 projects and deploys
appropriate measures as identified in either the rain event action plan, the SWPPP,
or the WPCP.
• Inform the resident engineer immediately of any problems with BMP measures
during the implementation of the WPCP or SWPPP and any observed discharges.
• Identify changes in construction that may require amendments to the WPCP or
SWPPP, and notify the resident engineer of these findings.
• For sites covered by permits, ensure site access and the safety of representatives of
regulatory agencies and local agencies when they are on site for any reason.
7-104B (4) Contractor Inspections
The special provisions for water pollution control require the contractor to inspect the
construction site at least once a week for the proper implementation, performance, and
maintenance of BMP measures identified in the WPCP or SWPPP. The contractor
must follow the site inspection procedure specified in the SWPPP or WPCP, and the
Construction Site Monitoring Program Guidance Manual. The water pollution control
manager, or trained personnel under the supervision of the water pollution control
manager, must conduct the site inspections using Form CEM-2030, “Stormwater Site
Inspection Report.”
The contractor must notify the resident engineer whenever the SWPPP, WPCP, or
BMP measures may not reduce or have not reduced the discharge of sediment or other
pollutants into a waterway or outside of the project limits. The contractor must follow
the verbal notification with a written report using Form CEM-2061, “Notice of
Discharge Report,” or Form CEM-2061T “Notice of Discharge Report—Lake Tahoe
Hydrologic Unit Stormwater Sample Field Test Report/ Receiving Water Monitoring
Report” if applicable. The contractor’s report must conform to the provisions of
Section 900.3, “Discharge Reporting,” of the SWPPP or those of Section 50.2,
“Discharge Reporting,” of the WPCP.
If the situation constitutes noncompliance with the permit, the resident engineer must
conduct a verification inspection, and if a noncompliance condition exists, report it to
the district construction stormwater coordinator and district NPDES stormwater
coordinator. Unless otherwise indicated in the district or regional work plans, the
district NPDES stormwater coordinator will report it to the appropriate RWQCB. The
resident engineer must require the contractor to amend the WPCP or the SWPPP, if
necessary, and to employ additional BMP measures.

California Department of Transportation  Construction Manual  July 2017

Environmental Rules and Requirements 7-1.17
 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 authorized or the ability of the authorized
WPCP or SWPPP to meet the objectives for water pollution control. A change in
construction operations or site conditions may result in the discharge of significant
quantities of pollutants to surface waters, municipal storm drain systems, or outside of
the project limits. The project biologist must be notified of such releases, asked to
determine the effect on protected species and their habitats, and asked to determine the
need for required notices to regulatory agencies. These changes can include
construction staging or schedule changes, staging area modifications, unanticipated
offsite drainage impacts, and failures of BMPs. The contractor must amend the WPCP
or SWPPP if either plan’s effectiveness is diminished by any such changed condition.
Upon the resident engineer’s authorization, the contractor must incorporate all WPCP
or SWPPP amendments into the onsite documents. The contractor must prepare WPCP
or SWPPP amendments in the format prescribed in the Stormwater Pollution
Prevention Plan (SWPPP) and Water Pollution Control Program (WPCP)
Preparation Manual.
The resident engineer must review the contractor’s proposed revised WPCP or SWPPP
amendment for completeness and conformance with the revised conditions, and give
written authorization to the contractor if the amendments are acceptable. The
authorized revised SWPPP must be uploaded into SMARTS.
7-104B (6) Project Files
The resident engineer must keep copies of all documents related to stormwater
pollution prevention in Category 20, “Water Pollution Control Program or Storm
Water Pollution Prevention Plan,” of the project files. Retain the following documents:
• SWPPP or WPCP and all amendments.
• Daily reports and photographs related to the prevention of stormwater pollution.
• The weekly contractor-prepared Stormwater Site Inspection Report.
• The Notice of Discharge Reports.
• All correspondence related to stormwater pollution prevention, including notices
of noncompliance.
• Inspection reports from the district construction stormwater coordinators.
• Inspection reports from the resident engineer and assistant resident engineer.
• Copies of the certifications required by the specifications.
• The printout from SMARTS after filing the Notice of Termination.
7-104B (7) Contractor Files
The specifications require the contractor to keep at the project site copies of the
SWPPP or WPCP and all authorized amendments.
7-104C Noise Control
Construction and traffic noise may be a sensitive issue in neighborhoods and
communities adjacent to state highways. Funding has been provided for highway noise
reduction through the construction of sound walls and other noise attenuation. Special

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7-1.18 Environmental Rules and Requirements
restrictions may be employed on night work in sensitive areas, such as residential
neighborhoods, schools, and hospitals near the project site. Section 14-8, “Noise and
Vibration,” of the Standard Specifications, provides the contractor’s requirements for
noise control.
7-105 Permits, Licenses, Agreements, and Certifications 7-105
This section covers Permits, Licenses, Agreements, and Certifications (PLACs) that Permits, Licenses,
may be issued by regulatory agencies or may be part of the contract supplemental Agreements, and
project information as described in the special provisions. For assistance regarding Certifications
PLAC requirements, such as contractor submittals on reporting requirements,
protocols, or information training, contact the environmental construction liaison or
project biologist.
7-105A Special Use Permits and Other Federal Permits
The U.S. Forest Service, Bureau of Land Management, and other federal agencies
issue permits to Caltrans to construct and operate highway facilities across lands under
their jurisdictions. There can be special use permits, temporary use permits, U.S.
Department of Transportation easements, federal land transfers, and, in the case of
already existing roadways, there may be prescriptive rights of way. In addition, an
Archaeological Resources Protection Act permit may be required.
7-105B California Fish and Game Code Sections 1602 and 5650
Section 1602 of the California Fish and Game Code requires that public agencies such
as Caltrans reach an agreement with the California Department of Fish and Wildlife
(CDFW) if the proposed work affects a waterway. The agreement required by this
section of the code is known as the “Lake or Streambed Alteration Agreement,” also
known as the “1602 Agreement.” The 1602 Agreement specifically prohibits polluting
the waters of the state and may specifically prohibit certain activities at certain times of
the year, such as working in the river during spawning season. It may also require the
contractor to undertake specific measures, such as installing fish ladders. Violations of
the agreement are punishable by fine, imprisonment, or both.
Section 5650 of the Fish and Game Code prohibits placing specified materials in the
waters of the state. Violations are punishable by fine, imprisonment, or both. Examples
of violations include the following:
• Causing dirt and sediment to enter the waters of the state
• Using creosoted timbers in the waters of the state
• Placing petroleum products, such as asphalt or diesel, into, or where they can get
into, the waters of the state
Placing asphalt concrete grindings, chunks, and pieces in areas where they can pass
into the waters of the state is also a violation of Section 5650 of the Fish and Game
Code. A memorandum of understanding exists between CDFW and Caltrans regarding
the placement of asphalt concrete pavement grindings as shoulder backing and the
placement of asphalt concrete pieces and chunks in embankments. For a discussion of
reusing asphalt concrete as fill material and shoulder backing and a summary of the
memorandum of understanding, refer to Section 110.11, “Conservation of Materials
and Energy,” of the Highway Design Manual. If a question exists as to whether asphalt
concrete grindings or chunks may get into the waters of the state, consult with the
environmental construction liaison or project biologist.

California Department of Transportation  Construction Manual  July 2017

Environmental Rules and Requirements 7-1.19
 7-105C List of Potential Permits, Licenses, Agreements, and Certifications
Table 7-1.1 may be used for determining when permits or approval of contract plans
may be required from state or local governmental agencies. The first column lists the
activity or a resource affected by construction activity. The second column lists the
agency or agencies that may have jurisdiction in the area shown in the first column.
The third column indicates the type of permit or plan approval that may be required by
the agency or agencies.
Table 7-1.2 lists federal environmental statutes and regulations. The first column lists
resources or activities. The second column shows the federal agency having
jurisdiction in the area. The third column lists the statute or regulation that applies to
the resource or activity.
Most required permits and plan approvals should be obtained during the project’s
design phase. However, the following tables may be used as a reminder of the types of
permits and plan approvals that may be required when making changes to the original
plans. Any changes to plan approvals or PLACs must be coordinated with the
environmental construction liaison or Environmental Unit.

California Department of Transportation  Construction Manual  July 2017

7-1.20 Environmental Rules and Requirements
 Table 7-1.1. State and Local Agency Permits, Licenses, Agreements, and Certifications (1 of 2)

Resource or Activity Agency Permit or Approval

Commercial, industrial, and Local agency (county or city) Land use, general plans, specific plan,
residential development conditional use, or subdivision
Conversion of timberland to California Department of Forestry; Timberland conversion permit;
nonforest uses through timber California Department of Fish and California Endangered Species Act
operations and immediate Wildlife (Consultation)
timberland production zone
rezoning
Power transmission lines, Public Utilities Commission Review of plans and approval
pipelines, and railroad
crossings
Solid waste disposal Department of Resource Recycling Disposal requirements
and Recovery (CalRecycle)

Sewage disposal County health department Disposal requirements

Waste discharge State Water Resources Control Board; Waste discharge requirements
Regional Water Quality Control Board
Re-use of soil containing Department of Toxic Substances Soil Management Agreement for ADL-
regulated concentrations of Control Contaminated Soils (ADL Agreement)
aerially deposited lead (ADL)
Storing, treating, or disposing Department of Toxic Substances Hazardous Waste Facilities Permit
of hazardous waste Control required for facilities receiving hazardous
waste from Caltrans

Right-of-way across state California Department of Parks and Right-of-way permit, license, easement,
parkland Recreation joint agreement, or lease
Encroachment on or across a Local agency (county or city) Encroachment permit
local street or highway
Encroachment on 100-year California Department of Fish and Lake/Streambed Alteration Agreement
floodplain, intermittent streams, Wildlife (1602 Agreement); California
and desert washes Endangered Species Act (consultation)
Encroachment on or across California Department of Parks and Review of plans
cove, bay, or inlet Recreation, Division of Boating and
Waterways

Air quality Air Resources Board or local air Authority to construct and permit to
pollution control district operate for activities emitting stationary
source pollutants into the atmosphere
Fish and wildlife habitat California Department of Fish and Lake/Streambed Alteration Agreement
Wildlife for activities in lakes, streams, and
channels and crossings; California
Endangered Species Act
Coastal zone California Coastal Commission; local Coastal Development Permit;
government local coastal program California Coastal Act

California Department of Transportation  Construction Manual  July 2017

Environmental Rules and Requirements 7-1.21
 Table 7-1.1. State and Local Agency Permits, Licenses, Agreements, and Certifications (2 of 2)

Resource or Activity Agency Permit or Approval

Water California State Lands Commission; Land use lease (such as for
State Water Resources Control Board; encroachments, crossings on
Regional Water Quality Control Board; tidelands, submerged lands); National
Department of Public Health, Division of Pollutant Discharge Elimination System
Drinking Water and Environmental Permit for stormwater discharges to
Management; or local health office surface water; waste discharge
requirements for nonstorm discharges
to surface water or groundwater to the
waters of the state; Permit to Operate a
Public Water System
Dredging California Department of Fish and Standard or special suction dredging
Wildlife; State Lands Commission permit; dredging permit
Surface (material borrow sites, Local agency (county or city) Surface Mining and Reclamation Act
for example) (SMARA) permit
Burning Local air pollution control district; Burn permit
California Department of Forestry and
Fire Protection; local fire control agency
Grading Local agency (county or city) Grading permit
Entering private property to Caltrans district Right of Way Unit; Property owner approval for temporary
gather information for Property owner right of entry approval encroachment
temporary use
Entering surface waters to Regional Water Quality Control Board Water quality certification or waiver
gather information or for
construction
All activities involving dams or California Department of Water Approval of plans
reservoirs Resources, Division of Safety of Dams

California Department of Transportation  Construction Manual  July 2017

7-1.22 Environmental Rules and Requirements
 Table 7-1.2. Federal Agency Permits, Licenses, Agreements, and Certifications

Federal Statute, Regulation,

Resource or Activity Agency
or Executive Order
Water U.S. Army Corps of Engineers; U.S. EPA; Clean Water Act (Section 404)
Bureau of Reclamation; U.S. Fish and Wildlife Regulations concerning the National
Service; National Oceanic and Atmospheric Pollutant Discharge Elimination System
Administration (40 CFR); Endangered Species Act

Air U.S. EPA Clean Air Act, Title 42, Sections 7401–
7414
Fish and Wildlife Habitat U.S. Fish and Wildlife Service; U.S. Forest Endangered Species Act
Service; National Park Service; National (Section 7)
Oceanic and Atmospheric Administration Biological Opinion for protection of
species and habitats
Navigable Waters U.S. Army Corps of Engineers; U.S. Coast Rivers & Harbor Act
Guard
Federal Lands U.S. Forest Service; Bureau of Land Clean Water Act (Section 404);
Management; National Park Service; Endangered Species Act
U.S. Army Corps of Engineers; (Section 7)
U.S. Fish and Wildlife Service;
National Oceanic and Atmospheric
Administration
Historic Properties Advisory Council on Historic Preservation; National Historic Preservation Act
State Historic Preservation Office (Section 106)
Paleontological Bureau of Indian Affairs; Bureau of Land Antiquities Act of 1906; Paleontological
Resources Management, U.S. Forest Service; National Resources Preservation Act of 2009;
Park Service; U.S. Army Corps of Engineers Federal Land Policy and Management
Act of 1976
Coastal Zone U.S. Army Corps of Engineers; U.S. Fish and Biological Opinion for protection of
Wildlife Service; National Oceanic and species and habitats; Federal
Atmospheric Administration Endangered Species Act;
Federal Coastal Zone Management Act
of 1972
Wild and Scenic Rivers National Park Service; U.S. Forest Service, Code of Federal Regulations, Title 36,
Bureau of Land Management Section 297 (36 CFR 297); 43 CFR
8350
Wetlands U.S. Army Corps of Engineers; U.S. EPA Executive Order 11990 (Protection of
Wetlands)

Floodplains Federal Emergency Management Agency Executive Order 11988 (Floodplains

Management)
Dredging U.S. Army Corps of Engineers; U.S. Fish and Clean Water Act (Section 404);
Wildlife Service; National Oceanic and Executive Order 11990; Endangered
Atmospheric Administration; U.S. Coast Guard Species Act
Airport Airspace Federal Aviation Administration Federal Aviation Regulations, Part 77

Farmland Natural Resources Conservation Service Farmland Protection Policy Act

California Department of Transportation  Construction Manual  July 2017

Environmental Rules and Regulations 7-1.23
 7-106 7-106 Hazardous Materials
Hazardous Many hazardous materials are used in the construction of highway facilities.
Materials Employees must take appropriate precautions to minimize their exposure and use
protective clothing and equipment. Contractors must submit safety data sheets (SDS)
and obtain permission from the resident engineer before bringing any hazardous
material onto the job site. For instructions, guidelines, and requirements for handling
hazardous materials to ensure employee safety, refer to Chapter 16, “Hazardous
Materials Communication Program,” of the Caltrans Safety Manual and Chapter 2,
“Safety and Traffic,” of this manual. For pesticide use guidelines, refer to Section 4-20,
“Landscape,” of this manual.
Key sources of safety data information are available at the website listed below. The
information this website provides could be critical in the event the contractor fails to
provide an SDS or should additional information or clarification be required.
In using this information, keep in mind that the address may change over time and it
may be necessary to search the more general website listing or call directly for
assistance.
For SDS information, use the following free online database provided by MSDS
Catalog Service LLC:
http://msdsdigital.com/msds-database
SDS information may also be obtained by entering the product name followed by SDS
in a web search engine.

7-107 7-107 Hazardous Waste and Contamination

Hazardous Waste Hazardous waste may be generated as a result of construction activities. Examples of
and Contamination hazardous waste include the removal of stripe and pavement marking containing high
levels of lead, removing lead-based paint from a bridge or other structure, and
excavating soil containing aerially deposited lead. Removing hazardous waste and
contamination that has been released into the environment may be part of the project
activities. For example, the work may include excavating a defined area of
contaminated soil at an old gas station location.
Special permits may be required when generating hazardous waste during construction.
For example, demolishing a bridge, whether new, old, or temporary, requires an
asbestos survey and a permit from the local air quality management district. For
guidance regarding special permit and variance requirements and procedures, contact
the environmental construction liaison or district Environmental Unit.
The district construction division must have a designated district hazardous waste
coordinator who will carry out necessary administrative functions for hazardous waste
and assist the resident engineer. The coordinator will assist the resident engineer by
working with other functional areas in the district and headquarters to do the following:
• Identify hazardous waste training that might be needed.
• Ensure the proper notifications if unidentified waste is found during construction.
• Provide field personnel with procedures and other information so that the
personnel may safely deal with anticipated and unanticipated hazardous waste and
contamination.

California Department of Transportation  Construction Manual  July 2017

7-1.24 Environmental Rules and Requirements
The construction contractor is responsible for ensuring that hazardous waste and
contamination is managed in compliance with all applicable laws and regulatory
requirements. For information about the applicable laws and regulations, refer to
Chapter 10 of the Standard Environmental Reference, Vol. 1. Additional information
regarding hazardous waste management is available at the California Department of
Toxic Substances Control (DTSC):
http://www.dtsc.ca.gov/
For information regarding hazardous waste transportation, refer to the DTSC:
http://www.dtsc.ca.gov/HazardousWaste/Transporters/index.cfm
Section 14-11, “Hazardous Waste and Contamination,” of the Standard Specifications
defines the contractor’s responsibilities, including requirements for proper storage and
handling. Guidance for managing hazardous waste during construction can be found at:
http://www.dot.ca.gov/hq/env/haz/hw_contaminants.htm
Guidance for implementing specific standard special provisions is available at:
http://www.caltrans.ca.gov/hq/env/haz/hw_sp.htm
7-107A Contractor-Generated Hazardous Waste Versus Department-Generated
Hazardous Waste
Section 14-11, “Hazardous Waste and Contamination,” of the Standard Specifications
differentiates between contractor-generated waste and Department-generated waste.
Contractor-generated hazardous wastes are hazardous materials that the contractor
brings to the job site that have no further use and must be disposed of. Examples
include extra or spent chemicals and waste generated as a result of contractor spills and
leaks. Caltrans does not pay for disposal of contractor-generated hazardous wastes. If
the contractor-generated hazardous waste is characterized as a federal waste, often
referred to as a Resource Conservation and Recovery Act (RCRA) waste, the
contractor must obtain a U.S. EPA Identification Number from DTSC and sign
manifests for disposal. If the contractor-generated hazardous waste is not characterized
as a federal waste, it will be characterized as a California hazardous waste—also
known as a non-RCRA waste—and the contractor must obtain a state identification
from DTSC and sign manifests for disposal.
Department-generated hazardous wastes result from removal of materials that exist
within the project limits such as stripe on the highway and soil containing aerially
deposited lead. The Standard Specifications requires that Department-generated
hazardous waste is labeled consistently, and the resident engineer obtains the U.S. EPA
temporary generator identification number and signs the hazardous waste manifests.
Department-generated hazardous waste is required to be disposed of within California
at a facility that holds a DTSC permit to accept the waste. For more information
regarding in-state disposal, refer to Chapter 18, “Environmental Contamination” of the
Project Development Procedures Manual.
At the preconstruction meeting, have the contractor identify the permitted site for
disposal of project hazardous waste. The resident engineer should follow up and
confirm the disposal site’s ability to dispose of the waste stream.
During the course of work, the resident engineer must do the following:

California Department of Transportation  Construction Manual  July 2017

Environmental Rules and Regulations 7-1.25
 1. Retain a copy of the manifest. Send a copy to: DTSC, P.O. Box 400, Sacramento,
CA, 95812-0400 within 30 days.
2. Review the manifest for accuracy before signing it as the generator. If you identify
any errors at the time, line them out, correct them, and initial the correction. If you
identify an error after the waste is transported, prepare a manifest correction letter.
Seek assistance from the district hazardous waste coordinator if needed. The
mailing address on the manifest should be the district office and the manifest
should also show the project location address.
3. Check that the load is transported by a hauler with a valid hazardous waste hauler
certification.
7-107B Aerially Deposited Lead
Aerially deposited lead (ADL) from leaded gasoline emissions still exists in unpaved
areas along California highways, and lead is ubiquitous in the environment. Sample
and analysis of soil is normally performed during project development to determine
whether the lead is present at concentrations requiring special management. Sample
results are analyzed statistically. The sampling and analysis methods were developed
and are required by the U.S. EPA and DTSC. For safety purposes, do not allow
Caltrans staff and contractor staff that have not completed a lead safety training
program provided by the contractor to work in areas where soil is being disturbed.
7-107B (1) Nonhazardous Waste Concentrations
If lead concentrations are nonhazardous, a lead compliance plan is required for safety
precautions, but special disposal of the soil is not required. The requirements for the
lead compliance plan are found in Section 7-1.02K (6)(j)(ii), “Lead Compliance Plan,”
of the Standard Specifications and project-specific information may be found in
Section 7-1.02K (6)(j)(iii), “Earth Material Containing Lead,” of the standard special
provisions. The requirements specify whether soil must be retained on the job site or
may be disposed of by the contractor.
If soil will be disposed of and Section 7-1.02K(6)(j)(iii), “Earth Material Containing
Lead,” indicates the average concentration of total lead exceeds 80 mg/kg, verify the
additional text discussed in Section 3-510B, “Contractor-Property Owner Agreement,”
of this manual is included in the Contractor-Property Owner Agreement. Submit the
Contractor-Property Owner Agreement to the district ADL coordinator, who will
provide the agreement to DTSC. Coordinate and provide additional information to the
district ADL coordinator as required by the ADL Agreement. The information needed
includes the start and end dates of construction, volume of soil disposed of on the
property, and bills of lading used to transport the soil. Refer to Item No. 6 on pages 10
and 11 of Exhibit A of the ADL Agreement:
http://www.dot.ca.gov/hq/construc/environmental/

The list of district ADL coordinators is available at:

http://www.dot.ca.gov/hq/construc/environmental/

The special provisions may contain handling requirements, for example, excavate to
total depth, not in lifts. These requirements are included and must be followed in
situations where mismanagement of the soil could result in unintended

California Department of Transportation  Construction Manual  July 2017

7-1.26 Environmental Rules and Requirements
misclassification of the soil and unnecessary hazardous waste generation. For more
information about these special provisions, refer to the guidance at:
www.dot.ca.gov/hq/env/haz/hw_sp.htm

7-107B (2) Hazardous Waste Concentrations

If lead concentrations are hazardous waste and soil will be disturbed by project
activities, the contract special provisions will require worker protection and soil
management and disposal at a Class I Disposal Facility, or re-use under the Transition
Plan (Exhibit A) requirements of the ADL Agreement between Caltrans and the
DTSC.
ADL soil that must be disposed in a Class I disposal facility is designated in the
specifications and on the plans as either Z-2 or Z-3 soil. When a contract includes
disposal of Z-2 or Z-3 material, within 180 days after the contract has been accepted,
the resident engineer must coordinate and provide additional information to the district
ADL coordinator as required by the ADL Agreement. The additional information
needed includes the start and end dates of construction, landfill names, copies of
hazardous waste manifests used to transport the soil, and volume of soil disposed of at
the landfills. Refer to Item No. 6 on pages 10 and 11 of Exhibit A of the ADL
Agreement.
Reuse of ADL soils with lead concentrations exceeding regulatory thresholds is
allowed by the ADL Agreement when the project is listed in Exhibit C of the ADL
Agreement and the Transition Plan (Exhibit A) requirements of the ADL Agreement
are met. For reference, the transition plan requirements are the requirements originally
set forth in the variance (Exhibit B) with additional reporting requirements. Soil that
can be re-used is designated in the specifications and on the plans as Y-1 (can be buried
under soil) or Y-2 (must be placed under pavement). When the project includes
excavation or placement of Types Y-1 or Y-2 soil, the resident engineer must verify,
before contract award if possible, that the district ADL coordinator has submitted the
project notification to DTSC, including providing copies of the DTSC written
notification to:
• The applicable RWQCBs
• The local air pollution control districts or air quality management districts
• The Certified Uniform Program Agency
The written notification to DTSC must list all projects connected to the Y-1 or Y-2 soil,
including projects receiving Y-1 or Y-2 soil or furnishing Y-1 or Y-2 soil.
If the written notifications and submittals were not sent, the resident engineer must
notify the district ADL coordinator immediately, who must provide the required
written notifications.
The resident engineer must be aware of the requirements of the ADL Agreement,
including excavating, placing, stockpiling, transporting, managing, and burying soil
containing ADL. Coordinating and communicating with the district ADL coordinator
before, during, and after construction is very important. The resident engineer must be
familiar with the recording and reporting requirements of the ADL Agreement.
As Y-1 or Y-2 project changes require a written update notification to DTSC, all
changes to Y-1 or Y-2 soil must be discussed with the district ADL coordinator. Do not
proceed with Y-1 or Y-2 project changes without update correspondence letters to

California Department of Transportation  Construction Manual  July 2017

Environmental Rules and Regulations 7-1.27
 DTSC or written notification from the district ADL coordinator indicating concurrence
with the change. All changes from the original design, including minor changes in
placement locations, quantities, or protection measures, must be documented by the
resident engineer on Form CEM 4501, “Resident Engineer’s Daily Report or Assistant
Resident Engineer’s Daily Report” within 5 days of the change.
The contractor must submit Form CEM-1901, “Burial Location of Soil Containing
Aerially Deposited Lead,” and an electronic geospatial vector data shapefile to the
resident engineer within 5 business days of completing placement of soil containing
ADL at a burial location. The resident engineer should verify the information
submitted on the form and notify the contractor within 5 business days if the
information must be corrected. The contractor must then submit the corrected form and
electronic geospatial vector data shapefile to the resident engineer and
[email protected]. The resident engineer must forward Form CEM-1901 and the
geospatial vector data shapefile to the district ADL coordinator.
The resident engineer is responsible for showing on the as-built plans the locations
where ADL was buried. Information submitted on Form CEM-1901 should be used as
the basis for the plotting locations.
The resident engineer must coordinate with and provide the following to the district
ADL coordinator:
• Lead compliance plan, within 10 days of accepting the plan
• Excavation and transportation plan, within 10 days of accepting the plan
• Start of construction notification (at least 5 days before construction)
o List of contractor and subcontractors
o Anticipated start and end (contract acceptance) construction dates
o Resident engineer contact information
o Project-defined corridor if soil will be moved from one Caltrans project to
another
• Completion report (within 180 days of contract acceptance)
o Actual start and end (contract acceptance) construction dates
o List of all U.S. EPA and State Identification Numbers, including Temporary
Identification Numbers, issued by DTSC for the project. The list must include
the identification numbers obtained by the contractor for contractor-generated
hazardous waste.
o Survey data at each burial location as signed by the contractor’s surveyor
o Volume of soil at each burial location
o The historical maximum elevation of the water table underlying each burial
location
o Copies of all bills of lading used for transporting ADL soil. These must be
kept on file with the project as-built plans
o Laboratory data if soil is tested for lead during construction

California Department of Transportation  Construction Manual  July 2017

7-1.28 Environmental Rules and Requirements
To comply with the record retention requirements of the ADL Agreement (6 years
minimum), the resident engineer must retain ADL-related records in Category 19,
“Hazardous Waste and Hazardous Materials” of the project records as follows:
• All ADL-related correspondence, reports, data, and records
• All ADL-related documents included with the resident engineer pending file.
7-107B (3) Minimal Disturbance of Material Containing Hazardous Waste
Concentrations of Aerially Deposited Lead
The U.S. EPA allows certain discrete areas of generally dispersed contamination to be
considered an individual waste management unit (equivalent to a landfill). These
discrete areas are defined as areas of contamination (AOCs). An AOC is equated to a
single unit; therefore, movement, consolidation, or in-situ treatment of hazardous waste
within the AOC does not create a new point of hazardous waste generation. For an
AOC, contamination must be contiguous but can have various concentrations.
The DTSC allows Caltrans to apply the AOC approach to projects that will only cause
minimal disturbances of soil containing hazardous waste concentrations of ADL.
Minimal or minor disturbances include installing guardrail, fencing, sign posts, traffic
operation systems, highway planting and irrigation; minor clearing and grubbing;
shoulder backing, pavement, and trenches for electrical systems. All soil disturbed
must remain in the immediate area of disturbance and not be transported elsewhere.
Health and safety precautions and dust control for hazardous waste must be
implemented.
When the AOC approach can be applied, the contract specifications under Section 14-
11.09, “Minimal Disturbance of Material Containing Hazardous Waste Concentrations
of Aerially Deposited Lead” of the Standard Specifications will require a lead
compliance plan for worker safety and dust control and require that disturbed soil be
placed back in the immediate area that it came from.
7-107C Naturally Occurring Asbestos
If naturally occurring asbestos (NOA) exists within the project area, the contract will
include specifications that contain safety and management requirements. The
specifications require that the contractor must, at all times, comply with the dust
mitigation requirements of the local air pollution control district or the county air
quality management district and the California Occupational Safety and Health
Administration code of safe work practices for working with asbestos (California Code
of Regulations, Title 8, Section 1529, “Asbestos” [8 CCR 1529]).
The California Air Resources Board (ARB) restricts the use of material containing
detectable NOA (equal to or greater than 0.25 percent) and the DTSC regulates
material containing hazardous levels of NOA (defined as equal to or greater than 1.0
percent asbestos). However, the DTSC does not require that NOA be managed as a
hazardous waste for disposal purposes, and, therefore, disposal at a Class I facility is
not required. Because of this determination, a generator identification number is not
necessary for disposing of excess NOA material, nor are waste manifests or DTSC-
registered hazardous waste transporters required. However, surplus material containing
1.0 percent or greater of NOA must be disposed of by the contractor in a Class II or
Class III landfill facility permitted to receive it and may not be relinquished for reuse
on a site that is not a permitted disposal facility.

California Department of Transportation  Construction Manual  July 2017

Environmental Rules and Regulations 7-1.29
 Ultramafic rock that has been tested and found to contain less than 0.25 percent
asbestos and all NOA material containing less than 0.25 percent asbestos may be used
in a surfacing application according to 17 CCR 93106, “Asbestos Airborne Toxic
Control Measure for Surfacing Applications.” “Restricted Material” is defined as
ultramafic rock and serpentine rock, any material extracted from a region defined on
geologic maps as an ultramafic rock unit, and any material that has been tested and
found to have an asbestos content of 0.25 percent or greater. Surplus material with an
NOA content greater than or equal to 0.25 percent, but less than 1.0 percent NOA must
be disposed of in a licensed landfill facility if it is not relinquished to the contractor. If
material containing less than 1.0 percent NOA is relinquished to the contractor for
reuse in nonsurfacing applications, the contractor must provide the following warning
to the entity receiving the NOA material:

W A R N I N G!

This material may contain asbestos.

It is unlawful to use this material for surfacing or any application

in which it would remain exposed and subject to possible disturbances.

Extreme care should be taken when handling this material to minimize the
generation of dust.

The resident engineer must obtain written documentation from the contractor stating
that the relinquished NOA material will not be reused in a surfacing application and
what the final disposition of the restricted material is.
7-107D Department-Generated Contaminated Soil
If contaminated soil exists within the project area, the contract will include
specifications that contain safety and management requirements. Depending on the
depth to groundwater within the project area and the depth of construction activities,
management of contaminated water may also be included. These specifications will
vary depending upon the site-specific conditions and, therefore, must be reviewed
carefully by the resident engineer to ensure that they are properly implemented.
7-107E Removing Yellow Traffic Stripe and Pavement Marking with Hazardous
Waste Residue
Refer to Section 14-11.12, “Removal of Yellow Traffic Stripe and Pavement Marking
with Hazardous Waste Residue,” of the Standard Specifications and follow the
procedures below when assessing, removing, and disposing of yellow traffic stripe and
pavement marking materials on all projects.
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.

California Department of Transportation  Construction Manual  July 2017

7-1.30 Environmental Rules and Requirements
If yellow traffic stripe and pavement markings are to be removed and the removal has
not been addressed in the contract, the resident engineer must consult with the district
hazardous waste coordinator to determine whether a change order is needed.
The resident engineer must ensure the following:
• Training: The contractor must provide a safety training program that meets the
requirements of 8 CCR 1532.1, “Lead.” Before performing any yellow traffic
stripe and pavement marking removal, personnel (including Caltrans employees)
who have had no prior lead training must complete the safety training program.
• Lead compliance plan: Work practices and worker health and safety must conform
to 8 CCR 1532.1. The contractor must submit the written compliance programs
required in Subsection (e)(2), “Compliance Program,” of 8 CCR 1532.1, to the
resident engineer before starting to remove yellow traffic stripes and pavement
markings and at such times when a program revision is required. An industrial
hygienist certified by the American Board of Industrial Hygiene must prepare the
compliance program. A competent person capable of taking corrective action must
monitor the program. Require that copies of all inspection reports made in
accordance with 8 CCR 1532.1 are given to the resident engineer.
• Work plan: The contractor must submit a work plan that documents the removal
equipment that will be used, removal and waste collection procedures, storage
containers, storage location and security, sampling procedures, sampling personnel
qualifications, certified laboratory that will run the analyses, hazardous waste
hauler certifications, and receiving disposal site and requirements. Removal work
may not start until the resident engineer has reviewed and accepted the work plan.
• Storage of residue: The contractor must store the residue from traffic stripe and
pavement marking removal as follows:
1. While waiting for any test results required by the disposal facility, store the
collected residue as hazardous waste in properly labeled metal containers
approved by the U.S. Department of Transportation for hazardous waste
transport.
2. Cover and handle the containers in such a manner that no spillage will occur.
3. Enclose the stored containers with temporary chain link fencing or a lockable
shipping container at a location within the project limits approved by the
resident engineer.
4. Begin disposing of the contained residue no more than 90 days after
accumulating 220 pounds of residue.
• Testing and disposal: Before disposal, the contractor is required to test the residue
collected in the containers for proper waste classification. The level of lead waste
contained in the removed material will be diluted by pavement debris that has also
been removed. Depending on the test results, disposal of the stored material is as
follows:
1. Dispose of the stored residue as hazardous waste when its lead content is
detected to be at levels greater than 1,000 mg/kg total lead or greater than 5
mg/l soluble lead. Keep records in accordance with current requirements for
hazardous waste handling and disposal, and file them in the project files. The
contractor must dispose of all hazardous waste residues resulting from yellow

California Department of Transportation  Construction Manual  July 2017

Environmental Rules and Regulations 7-1.31
 traffic stripe and pavement marking removal at an approved DTSC-permitted
Class I disposal facility in accordance with the requirements of the disposal
facility operator. A transporter currently registered with the DTSC using
correct manifesting procedures must haul the yellow traffic stripe and
pavement marking residue.
The contractor must make all arrangements with the disposal facility operator
and perform any testing of the yellow traffic stripe and pavement marking
debris required by the operator. The resident engineer must obtain the U.S.
EPA or State Temporary Identification Number and sign all manifests as the
generator. The resident engineer must also pay the manifest fees that may be
billed several months after project completion.
2. Unless the lead removal work was already contemplated in the construction
contract, pay as change order work all work performed for testing, additional
removal costs, retesting, and additional disposal.
3. If the analytical test results demonstrate that the waste is actually
nonhazardous, a change order must be prepared to direct the contractor to
dispose of the waste at a Class II or Class III facility with no additional
payment provided.
7-107F Disturbance of Existing Paint Systems on Bridge
Bridge paints contained high levels of lead, zinc, and chromium before being
reformulated to reduce their toxicity. Even though the phase-out of those paints
occurred many years ago, lead, zinc, and chromium are still a concern because when
bridges are repainted, not all of the prior layers of paint are completely removed. In
addition, lead from the paint is actually absorbed into the steel and, as a result, even
steel that no longer has paint on it can be a hazard if heated because heating causes the
lead to be released as a toxic fume.
When bridge paints are disturbed, the paint debris must be properly contained to
protect waterways and workers. It has been determined that the grime and debris that
collects on bridges also contains elevated concentrations of lead. Consider this grime
and debris part of the existing paint system.
When bridge paint will be disturbed as part of the project, the contract specifications
will require a lead compliance plan for worker safety, waste management, and
verification sampling to document that heavy metals are not released during the work.
The resident engineer must ensure the following:
• Training: The contractor must provide a safety training program that meets the
requirements in 8 CCR 1532.1, “Lead.” Before performing any bridge paint
removal, personnel (including Caltrans employees) who have had no prior lead
training must complete the safety training program.
• Lead compliance plan: Work practices and worker health and safety must conform
to 8 CCR 1532.1. The contractor must submit the written compliance programs
required in Subsection (e)(2), “Compliance Program,” of 8 CCR 1532.1, to the
resident engineer before starting to remove bridge paint and at such times when a
program revision is required. An industrial hygienist certified by the American
Board of Industrial Hygiene must prepare the compliance program. A competent
person capable of taking corrective action must monitor the program. Require that

California Department of Transportation  Construction Manual  July 2017

7-1.32 Environmental Rules and Requirements
 copies of all inspection reports made in accordance with 8 CCR 1532.1 are given
to the resident engineer.
• Debris Containment and Collection Plan: The contractor must submit a plan that
documents the removal equipment and containment systems that will be used,
removal and waste collection procedures, certified laboratory that will run the
analyses, hazardous waste hauler certifications, and receiving disposal site and
requirements. Work that will disturb the paint system may not start until the
resident engineer has reviewed and accepted the plan.
• Storage of residue: The contractor must store the residue from paint disturbance or
removal as follows:
1. While waiting for any test results required by the disposal facility, store the
collected residue as hazardous waste in properly labeled metal containers
approved by the U.S. Department of Transportation for hazardous waste
transport.
2. Cover and handle the containers in such a manner that no spillage will occur.
3. Enclose the stored containers with temporary chain link fencing or a lockable
shipping container at a location within the project limits approved by the
resident engineer.
4. Begin disposing of the contained residue no more than 90 days after
accumulating 220 pounds of residue.
• Waste testing and disposal: Before disposal, the contractor is required to test the
residue collected in the containers for proper waste classification. Depending on
the test results, disposal of the stored material is as follows:
1. Dispose of the stored residue as hazardous waste when its lead content is
detected to be at levels greater than 1,000 mg/kg total lead or greater than 5
mg/l soluble lead. Keep records in accordance with current requirements for
hazardous waste handling and disposal, and file them in the project files. The
contractor must dispose of all hazardous waste residues at an approved DTSC-
permitted Class I disposal facility in accordance with the requirements of the
disposal facility operator. A transporter currently registered with the DTSC
using correct manifesting procedures must haul the residue.
The contractor must make all arrangements with the disposal facility operator
and perform any testing of the residue required by the operator. The resident
engineer must obtain the U.S. EPA or State Temporary Identification Number
and sign all manifests as the generator. The resident engineer must also pay
the manifest fees that may be billed several months after project completion.
2. Unless the lead removal work was already contemplated in the construction
contract, pay as change order work all work performed for testing, additional
removal costs, retesting, and additional disposal.
3. If the analytical test results demonstrate that the waste is actually
nonhazardous, a change order must be prepared to direct the contractor to
dispose of the waste at a Class II or Class III facility with no additional
payment provided.
• Work area monitoring: The contractor must perform air monitoring to demonstrate
that lead is not being released from the containment structure and perform soil

California Department of Transportation  Construction Manual  July 2017

Environmental Rules and Regulations 7-1.33
 sampling before and after the work to demonstrate that lead has not been released
to the ground beneath the work area. Consult the hazardous waste coordinator to
determine the adequacy of the reports and whether a release has occurred requiring
corrective action. If the area beneath the bridge is paved soil, sampling will not be
included in the specifications. In these cases, look for color changes on the
pavement which indicate a release of paint residue.
7-107G Treated Wood Waste
Treated wood has been used to support metal beam guard railing, thrie beam barrier,
piles, and roadside signs. These wood products are typically treated with preserving
chemicals that protect against insect attack and fungal decay. These chemicals may be
hazardous and include but are not limited to arsenic, chromium, copper, creosote, and
pentachlorophenol. The DTSC requires that treated wood waste (TWW) either be
disposed of as hazardous waste or, if not tested, the generator may presume that TWW
is a hazardous waste and manage the waste using DTSC’s Alternative Management
Standards. The standards are described in 22 CCR 67386.1–67386.12. The standards
ease storage requirements, extend accumulation periods, allow shipment of TWW
without manifests and use of a registered hazardous waste hauler, and permit disposal
at specific nonhazardous waste landfills.
Whenever TWW will be removed as part of the project, the contract specifications will
direct the contractor to follow the alternative standards, including providing training to
all personnel who may come into contact with TWW.
For projects that will generate more than 10,000 pounds of TWW per calendar year,
the DTSC must be notified within 30 days of exceeding this weight threshold.
Notification must include the name and mailing address of the generator, generator
identification number, date that the 10,000-pound limit was or is expected to be
exceeded, the weight of the TWW as measured by the receiving facility, and the name
and address of the receiving facility. The resident engineer requests the temporary
generator identification number from the DTSC and files an electronic form available
on DSTC’s website for TWW. The DTSC will forward a copy to the California State
Board of Equalization which, in turn, sets up an administrative record. If a project will
generate more than 10,000 pounds of TWW, a Basic Engineering Estimating System
item 066915, “BOE TWW Generation Fee,” will be included as a department-
furnished material. This item will be paid prior to or during the closeout process of the
project, up to 1 year after construction contract acceptance.
TWW can be shipped off-site by a hauler with a shipping document, bill of lading, or
invoice serving as documentation. If TWW is less than 10,000 pounds per calendar
year per project, a generator identification number is not required. Records must be
kept for 3 years from the date of the last waste shipment.
If there is limited space or no area to temporarily store TWW on the job site, it may be
transferred to a remote consolidation site, such as a maintenance facility, or a location
that meets all the requirements of 22 CCR 67386.7(c), “Offsite Shipments.”
7-107H Disposal of Electrical Equipment Requiring Special Handling
California law requires special handling of electrical waste such as ballasts containing
polychlorinated biphenyl (PCB), batteries, and fluorescent or mercury tubes, bulbs, and
lamps. PCBs found in ballasts and thionyl chloride found in vehicle sensor node
batteries are considered extremely hazardous wastes if they are released from the
equipment.

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7-1.34 Environmental Rules and Requirements
PCB disposal is regulated by the U.S. EPA under the Toxic Substances Control Act
and by 40 CFR Part 761, “Polychlorinated Biphenyls (PCBs) Manufacturing,
Processing, Distribution in Commerce, and Use Prohibitions.” PCB wastes are also
regulated as hazardous waste by the DTSC under the California Health and Safety
Code and the California Code of Regulations, Title 22, Division 4.5, “Environmental
Health Standards for the Management of Hazardous Waste.” All PCB wastes must be
packaged in a container approved to transport PCB, marked, “Contains PCBs,” and
transported with a proper hazardous waste manifest by an authorized PCB or
hazardous waste transporter to an appropriately permitted disposal facility. If a ballast
containing PCBs is damaged, it may leak and, therefore, requires special management.
Damaged ballasts containing PCBs must be contained and transported to a U.S. EPA-
approved high-temperature incinerator.
Waste batteries and fluorescent or mercury tubes, bulbs, and lamps are considered
universal wastes under 22 CCR 66273.1–66273.90. These are wastes generated by
everyone, hence the term “universal.” The management requirements are more relaxed
than those for hazardous wastes. However, universal wastes can adversely impact
public health and the environment if not properly managed, and, therefore, must be
disposed of at appropriately permitted facilities. Damaged vehicle sensor node batteries
may leak thionyl chloride and, therefore, must be contained. Once damaged, these
batteries are no longer considered universal waste and must be managed and disposed
of as a hazardous waste.
When these types of electrical equipment will be removed as part of the project, the
contract specifications will alert the contractor to the special management requirements
for these wastes.
7-107I Unanticipated Discovery of Hazardous Waste and Contamination
Caltrans construction employees must follow safe practices and minimize their
exposure after discovery of unanticipated and unidentified hazardous wastes and
contamination. Minimize potential risks during project construction by having all
construction personnel follow the general procedures below:
• After unknown and potentially hazardous wastes and contamination (including
underground tanks) are discovered, cease construction work in that area. When a
waste is discovered, follow the procedure described in Figure 7-1.1, “Unknown
Hazards Procedure,” of this manual.
• Secure the area with barriers or fences, and evacuate the vicinity.
• Prohibit construction personnel from any exploratory or investigative work that
would result in further personal exposure. Such personnel are prohibited from
taking samples or testing potentially hazardous waste and contamination. This
prohibition includes activities such as the following:
1. Touching, smelling, or ingesting suspected materials.
2. Climbing into trenches or enclosed areas where contamination is suspected.
3. Reaching, looking, or placing a foreign object (such as a stick to probe or a
rock to test depth or to determine the presence of a liquid) into exposed or
leaking tanks or other enclosed spaces.
4. State law specifically prohibits the use of the prime contractor’s forces
(including subcontractors) to respond to an unanticipated discovery if the type

California Department of Transportation  Construction Manual  July 2017

Environmental Rules and Regulations 7-1.35
 of hazard was not identified in the original contract documents. The contractor
must stop work in the area and Caltrans must independently hire a Class A
contractor with a Hazardous Waste Substances Removal Certification to
respond. To ensure rapid response, Caltrans regions and districts are the
contract administrators for on-call construction emergency contracts. For
assistance, contact the contract manager for your specific region or district. A
contact list is available at:
http://www.dot.ca.gov/hq/construc/environmental/
• For any necessary exploratory, investigative, or cleanup work, use specialized
consultants or safety workers who are fully trained, licensed, and qualified for
hazardous waste work in accordance with state and federal regulations.
• Because of potentially catastrophic health effects, 29 CFR 1910.120, “Hazardous
Waste Operations and Emergency Response,” requires that no one enter the
designated exclusion zones until a complete and effective “hazardous waste
worker protection program” is established or until the consultant has determined
no exposure danger exists. (The designated exclusion zones are delineated in the
consultant-prepared hazardous waste site safety plans.)
7-108 7-108 Crumb Rubber Usage Reporting
Crumb Rubber For projects that include items of work that use crumb rubber modifier, the contractor
Usage Reporting is required to report crumb rubber usage on Form CEM-4410, “Crumb Rubber Usage
Report.” Crumb rubber is used in the following items of work:
• Rubberized hot mix asphalt
• Hot mix asphalt with performance grade modified asphalt binder with crumb
rubber modifier
• Seal coat with crumb rubber modifier
• Vegetation control (minor concrete)
The contractor is required to track and report the weight (in pounds) of crumb rubber
used throughout the duration of the contract. The contractor reports the monthly usage
and total year-to-date usage information monthly on Form CEM-4410. During the
preconstruction conference, the resident engineer must advise the contractor that this
form is available on the Division of Construction’s forms website. The requirements of
the form should be explained and reiterated during the preconstruction conference held
at the beginning of the project and preconstruction meetings for the various items of
work that include crumb rubber.
The contractor submits the form monthly, for ongoing contracts, to the resident
engineer by the 10th of the month following the reporting period, and a final report at
the end of the project. If no crumb rubber was used during the reporting period, the
contractor checks the “No crumb rubber was used” check box.
Form CEM-4410 must be completely filled out and certified by the contractor for it to
be acceptable. The resident engineer must review for accuracy all reports submitted by
the contractor. The resident engineer completes and signs the section of the form
verifying that the supplier is on the Authorized Material List, quantities were paid on
the monthly estimate, and that the contractor submitted the report to [email protected].

California Department of Transportation  Construction Manual  July 2017

7-1.36 Environmental Rules and Requirements
In accordance with Section 9-1.16E(3), “Performance Failure Withholds,” of the
Standard Specifications, withhold $10,000 for each failure to submit a completed
report.
7-109 Solid Waste Disposal and Recycling Reporting 7-109
Solid Waste
Solid waste disposal and recycling reports require the contractor to track and report
Disposal and
landfill disposal and material recycling activity performed throughout the duration of
the contract. The contractor reports this information annually on Form CEM-4401, Recycling
“Solid Waste Disposal and Recycling Report.” During the preconstruction conference, Reporting
the resident engineer must advise the contractor that this form is available on the
Division of Construction’s forms website. The requirements of the form should be
explained and reiterated during the preconstruction conference and other meetings.
Form CEM-4401 must include, at a minimum:
• The report calendar year.
• Amount of solid waste taken to landfills.
• Amount of solid waste diverted from landfills to recycling facilities.
• Amount of recycled material generated and then reused on a project.
• Name, title, and signature of the contractor’s representative.
• Date of the report.
The contractor submits the annual report for ongoing contracts to the resident engineer
by January 15, and a final annual report 5 days following contract acceptance. If no
work was conducted during the reporting period, the report states that no work was
performed during that period.
Section 14-10.02, “Solid Waste Disposal and Recycling Report,” of the Standard
Specifications, requires that the contractor submit to the resident engineer a final solid
waste disposal and recycling report before the contract can be finalized.
Form CEM-4401 must be completely filled out and signed by the contractor for it to be
acceptable. The resident engineer must review for accuracy all reports submitted by the
contractor. Compare the total amount listed on Forms CEM-4401 of materials taken to
and diverted from landfills with the approximate amount of work requiring the removal
of materials. Before signing each report, resolve any discrepancies in material type or
amount with the contractor. In accordance with Section 14-10.02, “Solid Waste
Disposal and Recycling Report,” of the Standard Specifications, Caltrans withholds
$10,000 for each failure to submit a completed report.
The resident engineer must submit the approved Form CEM-4401 to the district
recycling coordinator with a copy to the district construction office no later than
February 1 of each year or within 15 days after receiving the final report. Contact
information for district and statewide recycling coordinators is available at:
http://www.dot.ca.gov/hq/oppd/rescons/sb1016/coordinators.htm

California Department of Transportation  Construction Manual  July 2017

Environmental Rules and Regulations 7-1.37
 Figure 7-1.1. Unknown Hazards Procedure
Contractor encounters
Stop work in the vicinity of the find. Evaluate level of risk to workers and public. Cordon off
underground tanks, gases,
the area and evacuate the immediate area. Do not allow construction personnel to do any
odors, uncontained spills, or
exploratory or investigative work that would result in further personal exposure.
other unknown waste.

Resident engineer contacts: (1) district construction hazardous waste

coordinator, (2) district hazardous material manager, (3) maintenance
hazardous spill coordinator, and (4) district Proposition 65 coordinator.

Resident engineer, district

construction hazardous Is hazardous
waste coordinator/district waste or Normal disposal Construction
hazardous waste contamination solid waste continues
No
coordinator makes field present?
review.

Yes/Maybe Resident engineer seeks

assistance using hazardous
emergency contracts.

Hazardous waste
emergency contractor
makes a preliminary
determination.

Is hazardous
waste or
contamination No
present?

Yes

District construction hazardous waste coordinator or resident engineer contacts

regulatory agency only if necessary (examples: dumping, pulling tanks).

Hazardous waste investigation or removal plan developed between Caltrans,

emergency contractor, and regulatory agency (if involved).

Emergency contractor characterizes hazardous waste and limits of contamination.

Emergency contractor develops and implements approved cleanup plan.

Examples of responsibilities during cleanup: identify disposal facility, local permits,

ensure contractor follows health and safety plan, obtain EPA identification numbers.

Examples of follow-up activities: pay manifest fees, regulatory submittals.

California Department of Transportation  Construction Manual  July 2017

7-1.38 Environmental Rules and Requirements
7-110 Certificate of Environmental Compliance 7-110
A Certificate of Environmental Compliance (CEC) is prepared at the end of Certificate of
construction to document and certify Caltrans’ environmental compliance efforts for Environmental
measures specified in final environmental (or other project) documentation, including Compliance
PLACs and ECR.
For any commitments not completed by the end of construction, initiate notification to,
and have ongoing communication with, appropriate staff including, but not limited to,
the environmental construction liaison, project manager, and Environmental Unit chief,
to discuss and document the logistics (timing, staff, resources) of when those
commitments will be completed, and to identify who is responsible for tracking such
completion efforts. All activities to complete post-construction commitments are
identified in the CEC. The resident engineer is responsible for ensuring that the CEC is
prepared and distributed. The CEC refers to the ECR to determine:
• Whether the environmental commitments were met and, if not, which measures
were implemented
• Which contract specifications satisfied environmental commitments and concerns
• Whether additional environmental commitments are required as a result of project
changes, and their outcomes
The updated ECR will serve as the basis for the CEC documentation.
The CEC will be signed by the environmental construction liaison, environmental
branch chief, project manager, and resident engineer, and will be filed in the project
files.
Provide copies of the CEC to all district or regional organizational units responsible for
the project including Environmental, Design, Project Management, and Construction.
Discuss the CEC fully at the project closeout meeting. This can result in identifying the
lessons learned on the project and areas of environmental compliance that may need
improvement. Include district maintenance staff in the project closeout meeting if there
are post-project commitments.
The CEC form is available on the Division of Environmental Analysis website:
http://www.dot.ca.gov/ser/forms.htm#cert_compliance

California Department of Transportation  Construction Manual  July 2017

Environmental Rules and Regulations 7-1.39
 Chapter 8-
Employment Practices
Chapter 8 Employment Practices

Section 1 Labor Compliance

8-101 General
8-102 Labor Compliance Responsibilities
8-102A Resident Engineer
8-102A (1) Resident Engineer General Responsibilities
8-102A (2) Resident Engineer Project Responsibilities
8-102A (3) Interviews With Contractor Personnel
8-102B District Labor Compliance Office
8-102B (1) District Labor Compliance Manager General Responsibilities
8-102B (2) Labor Compliance Office Project Responsibilities
8-102C Contractor
8-103 Certified Payroll Requirements
8-103A Review of Payrolls
8-103A (1) Fringe Benefit Statement
8-103A (2) Travel, Subsistence, and Zone Pay
8-103A (3) Workday
8-103A (4) Assistant Resident Engineers’ Daily Reports
8-103A (5) Wage Rates
8-103A (6) Overtime
8-103A (7) Apprentices
8-103A (8) Payroll Deductions
8-103B Wage Calculation Methods
8-103C Discrepant, Delinquent, or Inadequate Payrolls
8-103C (1) Discrepant Payrolls
8-103C (2) Delinquent or Inadequate Payrolls
8-103C (3) Payment Withholds for Missing or Inadequate Payrolls
8-103C (4) Refusal to Provide Payrolls
8-103C (5) Correlation of Payrolls and Change Order Bills
8-103C (6) Deducting Payment for Violations
8-103C (7) Payroll Documents Outstanding at the Time of Contract Acceptance
8-103D Review of Owner-Operator Listing
8-103D (1) Calculating Equipment Owner-Operator Payment Breakdown
8-103D (2) Payrolls and Listings Involving Owner-Operator
8-103D (2a) Truck Owner-Operators
8-103D (2b) Equipment Other Than Trucks
8-104 Covered and Non-Covered Employment
8-104A Materials Sites
8-104B Material Plants
8-104C Equipment Furnished by Equipment Rental Firm

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Labor Compliance 8-1.i
 8-104D Equipment Furnished by Owner-Operators
8-104E Repair of Equipment
8-104F Work Performed by Vendors, Suppliers, and Fabricators
8-104G Work Performed by Specialists
8-104H Engineering Consultants, Materials Testers, and Land Surveyors
8-105 Classification of Labor and Wage Rate Determinations
8-105A Prevailing Wage Requirements
8-105B Special Wage Determinations
8-105C Supervisory and Managerial Personnel
8-105D Corporate Employees as Officers and Directors
8-105E Employment of Apprentices
8-105F Partial Coverage
8-106 Labor Compliance Case Write-Ups
8-106A Withhold of Funds Hearing
8-107 Debarment of Contractors
8-107A State
8-107B Process for Filing a Debarment Complaint
8-107C Federal Suspension and Debarment
8-108 Summary of Labor Compliance Law, Act, and Statute
8-108A Federal Law
8-108A (1) Copeland Act
8-108A (2) Prevailing Wage Provisions of Davis-Bacon Act
8-108A (3) Work Hours Act of 1962
8-108A (4) False Information Act
8-108B State Law

California Department of Transportation  Construction Manual  July 2017

8-1.ii Labor Compliance
Chapter 8 Employment Practices
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 Part 5); regulations of the Federal Highway Administration (FHWA); the
California Code of Regulations; and the U.S. 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 U.S. Department of Labor. In addition, these laws set guidelines for the following:
• Overtime
• Length or shifts of workday
• Substantiation of wages
• Fringe benefits paid
• Covered work (work done under contract and paid for in whole or in part out of
public funds, thus requiring the payment of prevailing wages) and non-covered work
The Federal-aid Highway Acts of 1956 and 1968 provide an active program to ensure
that laborers and mechanics employed on federal-aid projects are paid at wage rates
generally prevailing for the same type of work on similar construction in the immediate
locality. The federal wage rate determinations are included in the contract.
The California Labor Code provides that the California Department of Industrial
Relations determine and publish the general prevailing wage rates and that those rates be
referenced in the contract.
The Division of Construction, Labor Compliance Unit, establishes policy and procedure
for FHWA-delegated labor compliance responsibilities and for the California
Department of Industrial Relations-approved Caltrans labor compliance program.
8-102 Labor Compliance Responsibilities 8-102
The responsibilities and procedures when administering the contract’s labor Labor Compliance
requirements are described as follows: Responsibilities
8-102A Resident Engineer
8-102A (1) Resident Engineer General Responsibilities
At the project level, the resident engineer is responsible for enforcing the labor
requirements that are in the contract. To fulfill this responsibility, the resident engineer

California Department of Transportation  Construction Manual  July 2017

Labor Compliance 8-1.1
 and support staff must have an adequate working knowledge of the contract labor
requirements.
Early surveillance and detection of labor compliance violations are preferable to
conducting belated investigations and implementing formal enforcement actions. The
resident engineer brings labor compliance issues to the attention of the contractor and the
district labor compliance office immediately upon detection. Resolve minor issues, such
as clerical errors or inadvertent acts, at the project level. If the issue is not resolved timely,
base the decision to withhold funds on the recommendation of the district labor
compliance office. If the contractor provides evidence of full restitution, promptly return
the withheld funds to the contractor.
When the contractor knowingly violates labor law or refuses to comply with the contract
labor requirements, consider these actions willful in nature. Willful violations include
fraud, wage kickback schemes; or falsifying certified payrolls, fringe benefit statements,
evidentiary source documents, or daily extra work bills. These violations require that the
district labor compliance office conduct a full investigation and report the findings to the
resident engineer and the Division of Construction, Labor Compliance Unit.
8-102A (2) Resident Engineer Project Responsibilities
The resident engineer’s specific responsibilities are:
• Ensure that labor compliance, equal employment opportunity (EEO), and
disadvantaged business enterprise (DBE) or disabled veteran business enterprise
(DVBE) requirements are discussed at the preconstruction conference. Request
district labor compliance staff attendance to communicate these topics. Labor
compliance staff will provide a standard checklist covering the topics. File a copy of
the signed checklist in the project records.
• Forward all labor compliance, EEO, DBE, and DVBE documents submitted by the
prime contractor or any subcontractor to the district labor compliance office.
• Refer all employee complaints regarding EEO or wage underpayments to the district
labor compliance office.
• Verify that required posters are properly displayed at the job site. A checklist of
posters is available on the labor compliance website at:
http://www.dot.ca.gov/hq/construc/LaborCompliance/posters.htm
• Notify the district labor compliance office of all contractor and subcontractor
activity during the week.
• After receiving recommendations from the district labor compliance office,
authorize deductions from progress payments for labor compliance, EEO, DBE, and
DVBE violations.
• Document the presence of contractor employees and owner-operators at the job site
on the assistant resident engineer’s daily report. Minimally, this documentation must
include the following information:
1. Contract number.
2. Name of contractor with name of employee or owner-operator.
3. Hours worked per employee or owner-operator.
4. Classification of employees.

California Department of Transportation  Construction Manual  July 2017

8-1.2 Labor Compliance
 5. Items of work with description and operated equipment with name of operator
and name of operator’s employer.
• Confirm that names of employees, wage rates, and hours listed on change order bills
match information listed on the contractor’s certified payrolls.
• Ensure that Caltrans personnel properly record charges for labor compliance
activities. Details are available from the district labor compliance office and the
Caltrans Coding Manual.
• Conduct employee interviews, and transmit to the district labor compliance office
fully completed interview forms. For more information about these interviews and
forms, refer to Section 8-102A (3), “Interviews With Contractor Personnel,” below.
8-102A (3) Interviews With Contractor Personnel
The contract requires the contractor to allow authorized Caltrans personnel to interview
contractor employees during working hours.
Record employee interviews on Form CEM-2504, “Employee Interview: Labor
Compliance/EEO” or Form CEM-2504 (Spanish), “Entrevista de Empleado: Labor
Compliance/EEO,” if applicable. The employee interview is used by the district labor
compliance office to check the validity of information shown on the certified payroll
records. The employee is asked questions regarding wage rates, hours of work, and type
of work performed. When an interview indicates a reporting deficiency such as a lack of
knowledge of classification or rate of pay or labor violation such as nonpayment of
overtime, notify the district labor compliance office, which will conduct a full
investigation.
Conduct interviews at the rate of two employees per contract, per month, including at
least one interview from the prime contractor and each subcontractor until such time as
the contract is accepted or that all employees on the project have been interviewed. A
variety of crafts and trades should be interviewed. The number of interviews taken must
constitute a representative sample of workers employed on the project.
In the case of a small contractor having two or three employees on the project for several
months, do not continue taking interviews once all the contractor’s staff have been
interviewed. Contact the district labor compliance office to confirm the contractor is fully
compliant with the labor requirements of the contract and no additional interviews of the
contractor’s staff are necessary. If the resident engineer chooses to suspend further
interview activity, document the decision in the project records and notify the district
labor compliance office.
During the interviews, assure the interviewees that their statements, whether oral or
written, will be confidential. Interview employees individually and away from
supervisory personnel and other contractor staff. Do not disclose to the employer the
identity of the employee without the employee’s consent.
In addition to conducting contractor employee interviews, interview truck and
equipment operators designated as “owner-operator” to determine the correctness of this
classification. Interview at least one equipment owner-operator and a sampling of truck
owner-operators to adequately determine owner-operator status. Factors that establish
the validity of the “owner-operator” classification are described below in Section 8-103D
(2), “Payrolls and Listings Involving Owner-Operator.”

California Department of Transportation  Construction Manual  July 2017

Labor Compliance 8-1.3
 8-102B District Labor Compliance Office
The district labor compliance office administers labor compliance policy and procedures
by assisting resident engineers in the enforcement of the labor requirements in the
contract.
8-102B (1) District Labor Compliance Manager General Responsibilities
Under the general direction of the district construction deputy director, the district labor
compliance manager has immediate charge of the district labor compliance office and
must directly supervise and train labor compliance staff administering and monitoring
labor compliance and other related contractual obligations. Further, the district labor
compliance manager must ensure that employees use proper charging practices when
performing labor compliance activities.
The administration and monitoring of labor compliance provisions extends to state and
federal highway construction projects.
8-102B (2) Labor Compliance Office Project Responsibilities
The district labor compliance office is charged with specific responsibilities in assisting
the resident engineer to administer contracts, including:
• Attend the preconstruction conference. Discuss the labor compliance, DBE or
DVBE, EEO, and subcontracting provisions of the contract.
• Provide appropriate labor compliance training for district project personnel.
• Review employee interviews and cross-check wage rates and classifications against
certified payrolls.
• Assist resident engineers with the required process for Title VI and Title VII
complaints. For detailed information on the complaint process, refer to Section 8-2,
“Equal Employment Opportunity,” of this manual.
• Review and confirm all contractor certified payroll records according to current
labor compliance program policy located at:
http://www.dot.ca.gov/hq/construc/LaborCompliance/lcpbulletins.htm
• When necessary, recommend to the resident engineer that funds be withheld from
progress payments made to the contractor for missing or inadequate certified payroll
records or established violations.
• To verify the accuracy of payrolls, review source documents at the contractor’s
office and collect evidence.
• When wage underpayments have occurred, prepare labor compliance violation
cases and submit them to the Division of Construction, Labor Compliance Unit, for
approval. Upon review and approval, the unit will submit the case to the California
Department of Industrial Relations for state labor code violations. For federal code
violations, cases are approved by Caltrans and sent to the Federal Highway
Administration as a notice only. A copy of either type of case must be retained in
the project records.
• If the contractor appeals the findings and final recommendations of a labor
compliance violation case, represent the district during the administrative hearing
process or during court proceedings.

California Department of Transportation  Construction Manual  July 2017

8-1.4 Labor Compliance
8-102C Contractor
The prime contractor is responsible for labor compliance for its own company as well as
all subcontractors and owner-operators. In this section, the term “subcontractor” applies
to all subcontractors (approved or not) employed by the prime contractor and all lower-
tier subcontractors who perform “covered” employment as described in Section 8-104,
“Covered and Non-Covered Employment,” of this manual. On federal contracts, the
prime contractor must insert the labor regulations in all subcontracts and, in turn,
subcontractors must include these regulations in all lower-tier subcontracts. Contract
labor requirements apply the same standard of performance to prime contractors and
subcontractors as expected of all other requirements of the contract. For noncompliance
with contract labor requirements, Caltrans has statutory authority to withhold payment
to the prime contractor for back wages and penalties.
8-103 Certified Payroll Requirements 8-103
A payroll is a record of all payments a contractor made to employees working on the Certified Payroll
project. A certified payroll is one that contains the written declaration required in Section Requirements
7-1.02K(3) “Certified Payroll Records (Labor Code §1776),” of the Standard
Specifications.
Subcontractors must submit to the prime contractor all certified payrolls, owner- operator
listings, and statements of compliance. In turn, the prime contractor must submit these
documents to the district labor compliance office by the 15th day of each month for the
previous month. The payrolls can be submitted on the state-furnished Form CEM-2502,
“Contractor or 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 who 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 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 straight time and overtime hourly wage rate.
• The daily and weekly hours worked in each classification, including actual overtime
hours worked. Add any premium for overtime hours worked to the rate of pay, not
the reported number of hours worked.
• The gross wages, itemized deductions, withholdings, and net wages paid.
8-103A Review of Payrolls
Payrolls must conform to federal and state labor laws. The resident engineer will use the
payrolls to verify extra work bills. The labor compliance office will conduct the payroll
review using the following information and processes.
8-103A (1) Fringe Benefit Statement
Contractors must use Form CEM-2501, “Fringe Benefit Statement,” or equivalent to
indicate payment of fringe benefits as a supplement to the certified payroll. A fringe
benefit statement is a breakdown of benefits in addition to hourly wage rates that the
contractor pays on behalf of the employee. Typical fringe benefits include vacation,
health benefits, pension plans, and training funds listed in the prevailing wage rates. The

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Labor Compliance 8-1.5
 fringe benefit statement should also indicate to whom the fringe benefits have been paid,
such as a union trust fund or as a cash payment made directly to the employee.
8-103A (2) Travel, Subsistence, and Zone Pay
When a project is located in a geographic area designated as a subsistence area,
contractors are required to make travel, subsistence, or zone payments to their employees
in accordance with the current requirements on file with the California Department of
Industrial Relations. Subsistence is to be paid as a lump sum daily payment or as an
increased hourly wage rate, depending on the craft, classification, and approved
agreements.
8-103A (3) Workday
Each workday is limited and restricted to 8 hours during any one calendar day, for which
the employee is entitled to be paid at the proper prevailing straight-time rate.
8-103A (4) Assistant Resident Engineers’ Daily Reports
Using assistant resident engineers’ daily reports, district labor compliance staff confirm
that the payroll reflects the labor used and the hours worked for each day of work at the
job site, including weekends and holidays; that the method of reporting hours is accurate;
that the actual number of hours worked is clear; and the rate of pay can be readily
determined.
8-103A (5) Wage Rates
The prevailing hourly wage rate is composed of the basic hourly wage rate plus fringe
benefits. When state and federal wage rates differ, the contractor is required to pay the
higher of the two. On federally funded projects, if payment is made at an hourly rate in
excess of the prevailing rate, this hourly rate, less fringe benefit payments, is the basic
hourly rate for computing overtime compensation.
8-103A (6) Overtime
After an employee works 8 hours in a calendar day, and 40 hours in a calendar week, the
employee is entitled to be paid at the proper prevailing overtime rate, but not less than
one and one-half times the basic wage rate plus fringe benefits. Work performed on
Saturday and Sunday generally must be paid at premium rates of pay at time and a half
and double time, respectively. For exemptions to this rule, contact the district labor
compliance staff. The federal wage decisions do not differentiate between weekday rates
of pay and Saturday or Sunday rates of pay; however, all hours worked over 40 in a work
week must be paid at the overtime rate of pay.
8-103A (7) Apprentices
Resident engineers are responsible for tracking apprentices used on the contract and
recording that information in daily reports. District labor compliance staff will ensure
apprentice classifications are correctly identified on certified payroll records and that the
type of work and ratio of apprentices to journeyman meet the requirements of the
apprenticeship agreement on file with the Division of Apprenticeship Standards. A
disproportionate employment of apprentices to journeymen could indicate that some of
the apprentices are working outside the limits of their classification. When this occurs,
excess apprentices must be paid at the journeyman rate. Additionally, labor compliance
staff will verify that apprentices are registered in appropriate state and/or federal
programs.

California Department of Transportation  Construction Manual  July 2017

8-1.6 Labor Compliance
8-103A (8) Payroll Deductions
Payroll deductions should have a complete, clear, and concise breakdown. The
contractor may not combine payroll deductions on the payroll form without proper
identification unless an attachment specifies supplemental data with the purpose and
amount of each deduction.
All deductions must comply with the Department of Labor, 29 CFR 3, “Copeland Anti-
Kickback Act.” Additional regulatory language can be found in the California Labor
Code Sections 213 and 224.
8-103B Wage Calculation Methods
Various calculation methods are used to verify the accuracy of certified payrolls.
Following are examples of methods commonly used by contractors. Payrolls are
acceptable if they are prepared in accordance with either of the methods shown below.
These examples illustrate a situation where an employee worked 10 hours on a given
day, overtime premium of one and one-half times the basic hourly rate of $14.00 per
hour, $2.00 per hour subsistence, and with fringe benefits amounting to $6.00 per hour.

Method One: Basic reported hours of work

8 hours @ $22.00/hour = $176.00
($14.00 + $2.00 + $6.00) = $22.00/hour
2 hours @ $29.00/hour = $ 58.00
[($14.00 X 1.5) + $2.00 + $6.00] = $29.00/hour
Subsistence and fringe benefits are not paid at overtime rates.
Total Pay for the day = $234.00

Method Two: Adjusted rate of pay

10 hours @ $22.00/hour = $220.00
($14.00 + $2.00 + $6.00) = $22.00/hour
2 hours @ $7.00/hour = $ 14.00
($14.00 ÷ 2) = $7.00/hour
This is the difference between straight-time and overtime pay for hours in excess of 8
hours - subsistence and fringe benefits are not paid at overtime rates.
Total Pay for the day = $234.00
8-103C Discrepant, Delinquent, or Inadequate Payrolls
This section covers procedures for payroll discrepancies, delinquencies, and
inadequacies. The contractor must timely submit payrolls and accompanying statements
of compliance in accordance with Section 7-1.02K(3), “Certified Payroll Records (Labor
Code § 1776),” of the Standard Specifications.
8-103C (1) Discrepant Payrolls
When discrepancies are found during payroll review and confirmation, the following
actions must be taken:
The district labor compliance office must request that the contractor submit a
supplemental payroll correcting the discrepancy. Under no circumstances should the
incorrect or incomplete certified payrolls be returned to the contractor for revision.
However, the contractor may make corrections to certified payrolls if those corrections

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Labor Compliance 8-1.7
 are written in ink and the contractor initials each correction in the presence of Caltrans
personnel. Proof of wage restitution for all affected employees must be provided and can
be in the form of canceled checks, copied both front and back.
To ensure that payroll discrepancies are corrected, the district labor compliance office-
will use a tabulation or summary sheet to record discrepancies and to note when and how
each error was corrected.
8-103C (2) Delinquent or Inadequate Payrolls
If payrolls and statements of compliance have not been received for all weeks that the
contractor or subcontractors worked on the project, consider the payrolls delinquent. If
payrolls and statements of compliance received are incomplete, consider the records
inadequate. The labor compliance officer must notify the resident engineer and the
contractor which certified payroll documents are missing or inadequate.
The resident engineer must withhold monies due to the contractor on the monthly
progress payment in accordance with Section 7-1.02K(3), “Certified Payroll Records
(Labor Code § 1776),” of the Standard Specifications. Make withholds separately for
each payment period in which a new delinquency or inadequacy appears. When all
delinquencies or inadequacies for a period have been corrected, release the withhold
covering that period on the next progress payment. Withholds can only be taken once
and do not compound on each monthly estimate. District labor compliance offices will
advise the resident engineer when funds should be withheld or returned during a payment
period. The recommended withhold is up to 10 percent of the payment, a minimum of
$1,000 and a maximum of $10,000.
8-103C (3) Payment Withholds for Missing or Inadequate Payrolls
The following examples illustrate the process for taking and releasing withholds on the
monthly progress payment.
Example 8-1.1. Progress Payment 1:
Progress Payment 1 has a value of $9,500.
Value of the withhold is 10 percent of $9,500 or $950.
Therefore, the resident engineer must withhold the minimum amount of $1,000.

Example 8-1.2. Progress Payment 2:

Progress Payment 2 has a value of $49,000.
One or more pay documents are still delinquent under a previous month’s withhold plus
one or more new delinquencies for this period.
Value of the withhold is 10 percent of $49,000 or $4,900. Last month’s withhold was
$1,000. Therefore, the resident engineer should have a withhold of $4,900 from the
current progress payments and is still withholding $1,000 from the previous month’s
payment for a total of $5,900 withheld from contractor payments for labor compliance
issues.

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8-1.8 Labor Compliance
Example 8-1.3. Progress Payment 3:
The delinquencies are all cleared up for the previous months, but new delinquencies have
originated during this period. Payment three has a value of $55,000.
Value of the withhold is 10 percent of $55,000 or $5,500. Total withhold for this pay
period is $5,500.
The resident engineer should return $5,900 to the contractor for the current progress
payment. Since the current withhold is $5,500, the contractor will only see a return of
$400 in the pay documents.

Example 8-1.4. Progress Payment4:

The contractor has not corrected the problems with the payrolls in question during
Progress Payment3. No new delinquencies have occurred. No additional withhold is
warranted. Make no change to the amount of money previously withheld from the
contractor, and continue to hold $5,500.

Example 8-1.5. Progress Payment5:

Progress Payment 5 is for a total of $120,000. The contractor has a carryover withhold
from progress payment 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
withhold for missing labor compliance documents is $10,000 per pay estimate. Withhold
$10,000 from the current estimate.
The total value for labor compliance delinquencies is $10,000+$5,500 from Progress
Payment 3 to equal $15,500 in total withholds.
8-103C (4) Refusal to Provide Payrolls
If the prime contractor refuses to submit certified payrolls, in accordance with Section 7-
1.02K(3), “Certified Payroll Records (Labor Code § 1776),” of the Standard
Specifications, the district labor compliance office will notify the contractor by certified
mail that payrolls have not been received. The letter advises the contractor that they are
in violation of the contract, and that if payrolls are not submitted within 10 days of receipt
of this letter, penalties will be assessed in accordance with California Labor Code Section
1776(h) in the amount of $25.00 per worker for each calendar day the payroll has not
been submitted for contracts advertised prior to January 1, 2012, and $100 per worker
on or after January 1, 2012. This type of penalty must be pre-approved by the California
Department of Industrial Relations prior to deducting any funds from the contractor. The
district labor compliance office will notify the resident engineer when it is appropriate to
deduct the funds for missing certified payroll records. Process an administrative
deduction in the full amount of labor compliance penalties on a monthly basis. These
deductions are penalties and are not refundable to the contractor, regardless of the
method used to obtain the payrolls.
8-103C (5) Correlation of Payrolls and Change Order Bills
Resident engineers compare the labor charged by the contractor for change order work
with the corresponding payrolls. The certified payrolls and fringe benefit statements
serve as source documents for approval of every change order bill. The change order bill
must show the identical labor classifications, hours worked, and wage rates, including
fringe benefits, that are shown on the certified payroll documents. Notify the labor

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Labor Compliance 8-1.9
 compliance office immediately of any discrepancy on the payroll records. Do not
approve payment of the change order bill until the discrepancy is corrected or it is
determined by the labor compliance office to be a labor compliance violation, not a
change order overcharge.
8-103C (6) Deducting Payment for Violations
When contractors do not comply with the district labor compliance office’s request for
correction of discrepancies, missing certified payroll records, or correction of inadequate
certified payroll records, the issues become violations and are compiled into a wage case.
The district labor compliance office must conduct a full investigation of the facts and
circumstances of the case. The facts of the case will determine whether the wage
violation was a good faith mistake or a willful violation. Based on the determination, the
district labor compliance manager recommends a penalty amount to be assessed against
the contractor in accordance with the provisions of the contract and the California Labor
Code. The Division of Construction, Labor Compliance Unit, will review the case and
inform the district labor compliance office when it is appropriate to withhold funds for
violations and associated penalties. The Division of Accounting, Disbursing Office, will
withhold the full amount of the violation equaling the state and federal penalties and the
amount of wage underpayments. When the Division of Accounting, Disbursing Office,
has placed a hold on the contractor’s funds, the district will be notified when to release
any associated withholds for labor compliance violations.
8-103C (7) Payroll Documents Outstanding at the Time of Contract Acceptance
When there are outstanding payroll documents, take an “Other Outstanding Documents”
deduction from payment after contract acceptance, as covered in Section 5-103F (1c),
“Deductions,” of this manual.
8-103D Review of Owner-Operator Listing
Contractors are required to list all owner-operators used on covered work and certify
owner-operator status by providing at least the following information:
• Operator name.
• Business address of the owner-operator.
• The owner-operator’s social security number.
• The equipment license number. If the equipment is used off-highway, the contractor
must provide a complete description and include the dates it was operated on the
project.
• Operator labor classification.
• Hours worked by the owner-operator as reported on a daily basis.
• Combined hourly rental rate and labor rate paid for the owner-operated equipment.
• Gross estimate or actual payments earned.
This information must be provided by the contractor on Form CEM-2505, “Owner-
Operator Listing,” 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 an approved subcontractor or recognized lower tier
subcontractor.

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8-1.10 Labor Compliance
8-103D (1) Calculating Equipment Owner-Operator Payment Breakdown
From the information shown in the payroll, determine the hourly wage rate due by
deducting the prevailing equipment rental rate for the area from the gross hourly rate
shown on the owner-operator listing. The contract rental rate (without markup) may be
used as a guide. Since this may not be the local prevailing rate, it may be necessary to
canvass local rental agencies or other sources to determine the actual prevailing
equipment rental rate.
Compare the resulting hourly wage rate to the applicable basic wage plus fringe benefits
to determine compliance.
8-103D (2) Payrolls and Listings Involving Owner-Operator
Use the following requirements to differentiate an owner-operator from a 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 office.
8-103D (2a) Truck Owner-Operators
• To verify truck owner-operator status, the contractor must provide an owner-
operator completed Form CEM-2510, “Truck Owner-Operator Certification of
Ownership.”
• The operator should be the registered owner of the vehicle. The name of the driver
should match the name of the registered owner on the Department of Motor Vehicles
(DMV) registration.
• If the legal owner is a firm or corporation, and the firm or corporation name is shown
on the vehicle registration slip, request that the driver furnish evidence that they are
leasing or purchasing the vehicle. It is common for the name of the finance or leasing
company to be listed on the registration. If the owner-operator is leasing or financing
the vehicle, then the operator should be able to furnish such evidence. If the owner-
operator is unable to substantiate purchase or lease of the equipment, the resident
engineer should disallow use of the owner-operator classification for this truck and
contact the labor compliance office.
• Insurance for the vehicle should be carried in the 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 office.
The district labor compliance office will send information to the Division of

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Labor Compliance 8-1.11
 Construction, Labor Compliance Unit, to be run through DMV or CHP Motor Carrier
Permit Division record check.
8-103D (2b) Equipment Other Than Trucks
If the owner-operator is leasing or financing the equipment, the operator should be able
to furnish such evidence. If the owner-operator is unable to substantiate that they are
purchasing or leasing the equipment, the district labor compliance office should disallow
use of the owner-operator classification for this piece of equipment. The contractor must
establish proof of ownership in cases where there is doubt as to the validity of the owner-
operator designation. If difficulty is encountered in determining truck ownership, all
pertinent data should be submitted to the Division of Construction, Labor Compliance
Unit.
8-104 8-104 Covered and Non-Covered Employment
Covered and Non- Caltrans is responsible for enforcement of both federal and state labor compliance
Covered Employment requirements for all contracts it advertises and awards. The California Labor Code
requires that all public works projects are subject to the payment of prevailing wages for
the immediate geographic area in and adjacent to the project.
Every laborer or mechanic employed at the job site who performs a part of the contract
work is subject to the labor provisions of the contract. The laborer or mechanic may be
either an employee of the prime contractor, an employee of an approved or listed
subcontractor, or some other person or firm who furnishes on-site labor, including
specialists, sole owners, partners, corporate officers, and rental companies furnishing
equipment with an operator.
The terms “job site” or “site of the work” as applied to labor compliance are not limited
to the actual geographic location or limits of the project. In addition, these terms include
any location or facility established for the sole or primary purpose of contributing to the
specific project. Typical examples of these types of locations or facilities include
materials sites, processing plants, fabrication yards, garages, or staging sites set up for
the exclusive or nearly exclusive furtherance of work required by the project. Essential
criteria for job site or off-site work is whether these facilities have been operating on a
commercial basis for a period of at least 2 months prior to the award of the contract or
whether that site performs a commercially useful function exclusively for this project.
Employees working at a job site or site of work are covered by the prevailing wage law
and the provisions of the specific contract. The interpretation of covered work can
change often with new legislation, coverage determinations issued by the California
Department of Industrial Relations, federal all-agency memorandums, and court
decisions forming case law. When the distinction between covered and non-covered
employment is not clear, the matter should be referred to the district labor compliance
manager for evaluation.
8-104A Materials Sites
For labor compliance purposes, materials sites used exclusively for the project are
considered as being on site. Employees at these sites must be paid prevailing wages.
Factors that determine coverage of materials sites include:
• The commercial or noncommercial nature of the operation
• The amount of contractor or supplier control of the site
• The exclusiveness of the materials site to the project

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8-1.12 Labor Compliance
• 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 prevailing wages are required.
If material is delivered to the project site by the prime contractor or any on-site
subcontractor’s employees, the hauling will be covered under prevailing wage
requirements. If material is delivered from a commercial establishment by a third-party
or independent hauler, prevailing wages are not required to be paid as long as the
establishment meets the following criteria:
1. The establishment must be in the business of selling supplies to the public.
2. The establishment cannot have been opened specifically for the contract.
3. The plant cannot be located at the site of work.
4. The materials delivered from the plant cannot be immediately incorporated into
the project with no re-handling out of the flow of construction.
8-104B Materials Plants
Roadside production of materials produced by other than the contractor’s forces is
considered “subcontracted” with respect to the contract labor requirements.
Materials, including aggregates, produced with any kind of portable, semi-portable,
temporary crushing, screening, proportioning, batching, or mixing plant are considered
to have originated at a materials plant.
When a materials plant has been established or reopened exclusively or nearly
exclusively for the purpose of supplying materials to a specific contractor for specific
projects, and when these plants are not generally operated commercially, they are
considered to be a site of the work and, therefore, covered for the payment of prevailing
wages. Work involved in the establishment, reopening, and general operation of such
plants will also likely be covered. Use the following guidelines to determine if a plant is
commercial and, therefore, not covered:
• The operator has obtained a permit to operate as a commercial plant.
• A business license has been obtained for the operation of the plant.
• A public weighmaster operates scales at the materials plant.
• The contractor provides proof of sales to other agencies or individuals.
• The plant is in operation before the project begins and remains in operation after the
project is completed.

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Labor Compliance 8-1.13
 The prime contractor must demonstrate that the primary purpose of this materials plant
is for general commercial operations. The contractor must provide proof that more than
token sales have originated at this material plant.
8-104C Equipment Furnished by Equipment Rental Firms
Equipment is often rented or leased by contractors from established commercial
equipment rental firms. The prevailing wage provisions of the contract do not cover drop
off, pick up, and incidental repair of this equipment. When rented equipment used in the
work, including extra work, is operated and maintained by employees of the equipment
rental firm, the equipment rental firm is considered to be a “subcontractor” with respect
to labor compliance. The employees of the rental firm are, in this situation, covered by
the labor compliance requirements of the contract.
8-104D Equipment Furnished by Owner-Operators
Owner-operators of general construction equipment such as graders, cranes, or
excavators are considered covered by state and federal prevailing wage requirements.
The hiring contractor must list them on Form CEM-2505, “Owner-Operator Listing.”
The owner-operator must be paid at least the minimum prevailing wage rate in effect for
the type of equipment operated. On federally funded contracts, the Form CEM-2505
must also include the rate for the equipment rental.
8-104E Repair of Equipment
General repair of equipment used on the job site or located at the site of work, including
installing, overhauling, assembling, repairing, reconditioning, or other work on
machinery, equipment, or tools used in or upon the work, are covered by prevailing wage
requirements. Established, independent commercial repair shops that have been in
business prior to the award of the contract are not covered. Mechanics and other
employees working on such machinery, equipment, or tools are covered by the contract
labor provisions. Such employees must be listed on the 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 job site. For instance:
• Shop work during fabrication of structural steel is not subject to the contract labor
requirements. The contract labor provisions cover any structural steel work
performed subsequent to delivery of material to the job site even though shop
personnel may perform it. This includes repair of damaged or defective work, as
well as normal installation or erection.
• Oil spreading by employees of asphalt suppliers is subject in certain conditions:
1. Only the time spent on site spreading the material is covered work. Standby
time is not.
2. When using a federal classification, coverage will apply only when the
employee, during one workweek, has 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.

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8-1.14 Labor Compliance
• Treat spreading of pavement reinforcing fabric in the same way that oil spreading
work is treated.
At the job site, installation of any manufactured product, such as mechanical and
electrical equipment, bridge deck expansion and bearing assemblies, sign frames, precast
or precast-prestressed concrete beams, and all similar fabricated items are covered work
and subject to the contract labor provisions.
8-104G Work Performed by Specialists
An independent firm that furnishes a special service or performs work of a specialized
nature is considered to be a “subcontractor” with respect to the labor provisions.
Work performed by specialty firms is subject to all contract labor requirements,
regardless of the nature of the work, service, or method of payment.
8-104H Engineering Consultants, Materials Testers, and Land Surveyors
All firms that furnish engineering services at the job site, such as construction inspection,
materials testing, and land surveying, regardless of whether that firm is hired by the
contractor or Caltrans, are subject to California Labor Code prevailing wage
requirements. The payment of prevailing wage rates is mandatory.
8-105 Classification of Labor and Wage Rate Determinations 8-105
Labor standards require the proper classification and payment of workers for the work Classification of
they actually perform. To meet these standards, the contractor and persons or firms Labor and
performing the work on the project must: Wage Rate
• Use only the classification listed in the wage determination decision or prevailing Determinations
wage rate determination applicable to the contract.
• Use classifications that describe the work being performed. For example, if
carpenters are used to place reinforcing steel, they should be shown as “ironworkers”
and paid accordingly.
• Maintain an accurate record of the time spent in each work classification, and show
this time by means of separate entries in the payroll records and on the certified
payroll.
A single worker may perform many different tasks covered by more than one craft or
classification during the course of a single day. In this situation, the contractor may break
up the work into the different classification and pay accordingly or it may pay the worker
the highest applicable wage rate for the entire day. If the highest wage rate is paid for the
entire day, separate entries in the payroll records are not required.
Since most construction work is performed by recognized craft classifications, prevailing
practice in the industry and union rules will usually determine the proper classification.
Workers must be classified and paid according to the work they actually perform,
regardless of union affiliation, other titles, or designations.
Occasionally, the wage rate may not be provided in the federal wage determinations for
a particular labor classification. When this occurs, the workers should be reclassified, if
possible, to a comparable classification. If it is not possible to reclassify the work, contact
the district labor compliance office and request that a wage classification be determined.
A wage survey, collective bargaining agreements, local prevailing practice, and the
contractor’s previous experience with similar work will be considered in reaching this
determination.

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Labor Compliance 8-1.15
 To request wage rate determinations on federal-aid contracts, the district labor
compliance office uses Form SF-308, “Request for Wage Determination and Response
to Request.” To request federal wage rates, consult the Division of Construction, Labor
Compliance Unit.
In no case may a construction contract be considered effectively amended until a
response has been received from the Department of Labor indicating approval of the
proposed classification or reclassification requests.
8-105A Prevailing Wage Requirements
In most cases, the wage rates as determined by the California Department of Industrial
Relations and the U.S. Department of Labor will be the same for any given labor
classification. If there is a difference between Department of Labor wage rates and
California 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 California Department of
Industrial Relations or the Department of Labor, depending on which agency’s rate is in
error.
8-105B Special Wage Determinations
The state general prevailing wage rates contain most crafts and classifications of workers
required on Caltrans projects. Occasionally, however, a unique labor classification may
be anticipated for future state-funded major construction projects or for minor or
miscellaneous service contracts, but is not listed in the general prevailing wage rates. In
this situation, the district labor compliance office must obtain a special wage
determination from the California Department of Industrial Relations.
To initiate the request, the district labor compliance office prepares a memorandum to
the Division of Construction, Labor Compliance Unit, describing the following:
• Job duties and the nature of the work
• The locality (county) where the work is to be performed
• The anticipated advertisement and award dates
• A list of contractors or employers, including complete addresses and telephone
numbers, who perform work of a similar nature within the same geographical area
• The most recent determination number of any prior requests
The Division of Construction, Labor Compliance Unit, will forward the request to the
California Department of Industrial Relations, Office of Policy, Research, and
Legislation, which will prepare a special wage determination and send it back to the
Division of Construction, Labor Compliance Unit. The Division of Construction, Labor
Compliance Unit, will send the special wage determination by cover memo to all district
labor compliance offices for appropriate handling or future reference.
In case of a jurisdictional dispute, such as a dispute between cement masons and
operating engineers, a nonsignatory contractor may pay either wage rate, as long as it is
recognized by the California Department of Industrial Relations.

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8-1.16 Labor Compliance
8-105C Supervisory and Managerial Personnel
As a general rule, when administering the prevailing wage requirements, those
employees whose work is supervisory or nonmanual 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 who 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 worker 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 California
Department of Industrial Relations, Division of Apprenticeship Standards (DAS).
An apprentice who is not so registered is not “properly indentured” within the meaning
of the term as it is used in the California Labor Code and the Standard Specifications.
Under the provisions of the contract, a nonindentured apprentice is not considered to be
an apprentice and must be paid the journeyman wage rate for their classification.
For each project, the contractor is required to furnish evidence of its apprentices’
registration. This evidence must be on a Form DAS-1, “Apprenticeship Agreement,” or
a letter giving notice of registration from the DAS. Either Form DAS-1 or a letter from
the DAS is acceptable evidence of apprentice registration. District labor compliance staff
may also identify apprenticeship status through the DAS online registration database
located at:
http://www.dir.ca.gov/das/appcertpw/AppCertSearch.asp
If an apprentice is scheduled to work on the project before the contractor receives
evidence of registration, the district labor compliance office must telephone the nearest
DAS office and confirm proper registration.
This procedure will expedite the verification of apprentices but does not preclude the
obligation of the contractor to supply written evidence of the apprentice’s registration
and to satisfy the state requirements and California Labor Code Section 1777.5.
In addition to evidence of registration in its program, the contractor is required to use the
appropriate apprentice-journeyman ratios and wage rate percentages, as addressed in
state prevailing wage determinations and contractor’s union agreements.

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Labor Compliance 8-1.17
 California Labor Code Section 1777.5 requires the contractor to contribute the training
fund portion of the fringe benefit to the appropriate apprentice trust fund or to the DAS,
California Apprenticeship Council.
On federal-aid projects, the prime contractor and subcontractor must furnish evidence of
federal registration for apprentices performing work on the contract. Federal registration
must be provided on U.S. DOL Form ETA-671, “Program Registration and
Apprenticeship Agreement,” or identified in a letter from the U.S. Office of
Apprenticeship providing notice of registration. Form ETA-671 will provide the wage
schedule for each registered apprentice.
Some federal-aid projects will contain a requirement for a minimum number of
apprentices that must be used on the project. Contractors must provide the resident
engineer with a plan identifying the specific training program to be used and how the
contractor will achieve the number of apprentices to be used before work begins on the
project. For more information, refer to Section 8-208, “Contracts Containing ‘Federal
Requirements Training Special Provision,’ ” of this manual.
8-105F Partial Coverage
Contractors or subcontractors who are engaged in more than one Caltrans construction
project at a time may use the same employees on two or more projects during a given
work week. Separate certified payrolls must be provided for individual contracts.

8-106 8-106 Labor Compliance Case Write-Ups

Labor Compliance After investigating the facts and determining that an apparent labor compliance violation
Case Write-Ups has occurred, the district labor compliance office will determine the amount of penalty
assessment and wage restitution due from the contractor. The district labor compliance
manager must document findings on Forms CEM-2506, “Labor Compliance - Wage
Violation,” and CEM-2507, “Labor Violation: Case Summary.” Use Form CEM-2506
to record applicable data for each worker who was underpaid on a Caltrans contract. Use
Form CEM-2507 to summarize the data on the CEM-2506 and to provide a
chronological record of the case. State labor compliance violation cases must be
documented to include:
• A description of the facts and evidence collected to build the labor compliance
violation case
• A spreadsheet showing a summary of wages and penalties due each employee
• Evidence provided by and statements made by the contractor
• An analysis of the facts
• A case history
• Recommendations to the California Department of Industrial Relations
Forms CEM-2506 and CEM-2507 are sufficient documentation for assessing penalties
and withholding back wages due employees for federal wage case violations.
When forwarding cases to the Division of Construction, Labor Compliance Unit, with
the district’s recommendations, attach the following to a cover letter:
• Forms CEM-2506 and CEM-2507
• Form CEM-2508, “Contractor Payroll Source Document Audit Summary”
• Form CEM-2509, “Checklist—Source Document Audit”

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8-1.18 Labor Compliance
• A case history
• Applicable correspondence with the contractor
8-106A Withhold of Funds Hearing
Legal authority to withhold funds from the contractor for labor compliance violations is
provided by California Code of Regulations, Title 8, Sections 16410–16414.
Caltrans must provide written notice to the contractor and to any affected subcontractor
of the withholding or forfeiture. The notice must contain the following information:
• The amount to be withheld or forfeited.
• A short statement of the factual basis as to why the funds are to be withheld or
forfeited. Include the computation of any wages found to be due and the
computation of any penalties assessed under California Labor Code Section 1775.
• Notice of the right to request a hearing and the manner and time within which a
hearing must be requested.
• Notice that penalties can be recovered by the prime contractor from an offending
subcontractor.
• The notice must be sent by certified mail to the last known address of the contractor
and the offending subcontractor.
• Once the notice has been provided to the contractor and offending subcontractor,
Caltrans will withhold enough money to cover wage restitution and penalties as
stated in the notice.
8-107 Debarment of Contractors 8-107
Debarment of
8-107A State
Contractors
The California Department of Industrial Relations, Division of Labor Standards
Enforcement, (DLSE) has the authority to debar contractors from bidding on public
works projects. Caltrans, through its approved labor compliance program, does not
directly investigate the contractor for debarment; however Caltrans can prepare a written
complaint requesting the debarment of a contractor. This complaint is forwarded to the
California Department of Industrial Relations for a final debarment determination.
Anyone may file a debarment complaint, including an individual party.
A debarment order may be taken against a contractor or any subcontractor. The intent of
the law is to debar and prevent contractors who have committed any violation with the
intent to defraud or have committed more than one willful violation within a 3-year
period from bidding on public works projects.
The requirements and procedures for debarment can be found in Section 1777.1 of the
California Labor Code. Additional legal authority to debar contractors can be found in
Title 8, “Industrial Relations,” of the California Code of Regulations.
8-107B Process for Filing a Debarment Complaint
The district labor compliance office may request the Division of Construction, Labor
Compliance Unit, to file a complaint for Caltrans with the California Department of
Industrial Relations, Division of Labor Standards Enforcement. The following
information must be provided:
• An individual case summary of all district labor compliance enforcement actions

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Labor Compliance 8-1.19
 • A summary of prevailing wage cases filed against the contractor
• Dollar amount of all withholds taken and penalties assessed
• Status of whether the cases were approved by the State Labor Commissioner’s office
Each district labor compliance office will maintain a “Caltrans labor compliance
debarment log” showing the dates of complaint preparation, when forwarded to the
Division of Construction, Labor Compliance Unit, and when sent to the California
Department of Industrial Relations for a final decision.
The investigation and final determination for debarment rests solely with the California
Department of Industrial Relations legal office and the Division of Labor Standards
Enforcement. Final determinations will be forwarded to the complainant and the
awarding body.
8-107C Federal Suspension and Debarment
Suspension and debarment apply to all federal-aid highway construction projects and are
discretionary administrative actions taken to protect the federal government by excluding
persons from participation in the federal assistance programs.
A suspension and debarment action ensures that the federal government does not
conduct business with a person who has an unsatisfactory record of integrity and
business ethics. The suspension and debarment actions are administered government
wide; consequently, a person excluded by one federal agency is excluded from doing
business with any federal agency.
8-108 8-108 Summary of Labor Compliance Law, Act, and Statute
Summary of Labor This section provides an overview and content summary of labor compliance law, acts,
Compliance Law, Act, and statutes.
and Statute
8-108A Federal Law
8-108A (1) Copeland Act
• Full wages earned must be paid.
• Deductions from wages must be authorized.
• Proper payroll records must be kept for a period of 3 years after contract completion.
• Statements of compliance must be submitted weekly by the prime contractor and all
persons or firms performing work on the contract.
8-108A (2) Prevailing Wage Provisions of Davis-Bacon Act
• Wages paid to laborers and mechanics must not be less than the predetermined
hourly rates (including fringe benefits) shown in the appropriate wage schedule.
• Laborers and mechanics must be properly classified and paid according to the work
actually performed.
• Laborers and mechanics must be paid at least once a week.
• The prevailing wage schedule, including fringe benefits and supplements (which
can be the one printed in the contract proposal), and the minimum wage poster must
be posted in a prominent place at the project site.

California Department of Transportation  Construction Manual  July 2017

8-1.20 Labor Compliance
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 6 months’
imprisonment.)
8-108A (4) False Information Act
• The making or use of false statements is a felony ($10,000 fine and/or 5 years’
imprisonment).
• The false statement poster shall be posted at one or more places where it is readily
available to all personnel concerned with the project.
8-108B State Law
Following are some of the more frequently cited California Labor Code sections:
Sections 213 and 224 disallow a contractor from withholding funds improperly and
requires employee authorization to withhold portions of the employee’s wages.
Section 1725.5 requires a contractor to register with the California Department of
Industrial Relations to qualify to bid and be listed on a bid proposal.
Section 1729 holds the subcontractor liable for failure to comply with the prevailing
wage requirements.
Section 1742 allows the contractor to pursue a hearing on a determination of a willful
wage violation case through the California Department of Industrial Relations.
Section 1771.1 prohibits a contractor or subcontractor from qualifying to bid or be listed
on a bid proposal and contract for public works if not registered with the California
Department of Industrial Relations. This requirement applies to bid proposals submitted
on or after March 1, 2015, and any contract for public works entered into on or after
April 1, 2015.
Section 1771.3 pertains to the State Public Works Enforcement Fund that serves to
monitor and enforce the public works requirements.
Section 1771.4 calls for bids and contract documents to specify that projects are subject
to compliance monitoring and enforcement by Caltrans’ Labor Compliance Program.
Section 1771.5 provides for approval of the Caltrans labor compliance program and
excludes from the prevailing wage requirements construction work with a value of
$25,000 or less; and alteration, demolition, repair, or maintenance projects with a value
of $15,000 or less.
Section 1774 requires all workers be paid not less than the specified prevailing wage rate.
Section 1775 requires that penalties be assessed against the contractor for failure to pay
employees prevailing wages.

California Department of Transportation  Construction Manual  July 2017

Labor Compliance 8-1.21
 Section 1776 requires the contractor and subcontractor to keep accurate records of wages
paid, specifies which persons and under what circumstances these records may be
inspected, and provides penalties for failure to comply.
Section 1777.5 pertains to apprenticeship standards and ratios, and nondiscrimination.
Section 1778 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 prohibits the charging of a fee for employing a person on public works
projects.
Section 1780 prohibits a fee for placing an order for employment on public works.
Section 1810 defines 8 hours as a legal day’s work.
Section 1811 restricts work to 8 hours per day and 40 hours per calendar week without
overtime compensation.
Section 1812 requires the contractor to keep accurate records of hours worked and have
records available for inspection by the awarding body.
Section 1813 provides penalties for violations of provisions of Sections 1810-1815 by
any contractor.
Section 1814 provides that persons violating provisions of Sections 1810-1815 are guilty
of a misdemeanor.
Section 1815 provides overtime payment at one and one-half times the basic rate of pay
for hours worked in excess of 8 hours per day and 40 hours per calendar week.
Section 2750.5 provides that a worker is presumed to be an employee unless proven to
be an independent contractor.

California Department of Transportation  Construction Manual  July 2017

8-1.22 Labor Compliance
Chapter 8 Employment Practices

Section 2 Equal Employment Opportunity

8-201 General
8-202 Laws, Regulations, and Specifications
8-203 Preconstruction Conference
8-204 Onsite Interviews
8-205 Federal-Aid Project Equal Employment Opportunity Posters
8-206 Contractor Employee Title VII Complaints—Discrimination Complaint
Processing
8-207 Equal Employment Opportunity Title VI Complaints and Contract
Administration
8-208 Contracts Containing “Federal Requirements Training Special Provision”
8-209 Contractor’s Annual Equal Employment Opportunity
8-210 Deducting Payment for Failure to Submit Reports
Example 8-2.1 Sample Letter to the Complainant
Example 8-2.2 Sample Letter to the Contractor

California Department of Transportation  Construction Manual  July 2017

Equal Employment Opportunity 8-2.i
Chapter 8 Employment Practices
Section 2
Section 2 Equal Employment Opportunity Equal
Employment
Opportunity

8-201 General 8-201

This section presents the requirements for administration of the nondiscrimination and General
equal employment opportunity (EEO) provisions of the contract. The total EEO program
is complex and involves functional units outside of construction. Requirements in this
section apply primarily to activities and responsibilities resulting from contractual
requirements and are not necessarily complete for either Caltrans or the contractor
insofar as the total responsibilities and activities.
8-202 Laws, Regulations, and Specifications 8-202
California requirements for public works contractors on the subjects of Laws, Regulations,
nondiscrimination and EEO are located in Title VI of the Civil Rights Act of 1964; and Specifications
California Government Code, Section 12990; Title 2 of the regulations of the Fair
Employment and Housing Commission; and California Code of Regulations, Sections
8107 and 8203.
Sections 7-1.02I(2), “Nondiscrimination,” and 7-1.11B, “FHWA-1273,” II,
“Nondiscrimination,” of the Standard Specifications and in the required federal contract
provisions of the specifications call the contractor’s attention to these and other
requirements. Under the terms of the contract, the contractor is responsible for its
subcontractors’ compliance.
8-203 Preconstruction Conference 8-203
The resident engineer or district labor compliance officer must discuss the Preconstruction
nondiscrimination and EEO provisions of the contract at the preconstruction meeting Conference
and advise the contractor of the requirements in Title VI of the Civil Rights Act of 1964.
Refer to Section 5-0, “Conduct of the Work,” of this manual for details on
preconstruction conferences.
8-204 Onsite Interviews 8-204
District labor compliance officers or project personnel conduct onsite interviews with Onsite Interviews
employees of the contractor and subcontractors. Conduct employee interviews for
nondiscrimination and EEO at the rate of at least two employees per contract, per month
including at least one interview from the prime contractor and each subcontractor until
the contract is accepted or all employees on the project have been interviewed. Record
interviews on Form CEM-2504, “Employee Interview: Labor Compliance/EEO,” or
Form CEM-2504 (Spanish), “Entrevista de Empleado: Labor Compliance/EEO,” if
applicable. EEO interviews are done in conjunction with the labor compliance interviews
as a means of verifying that the contractors and subcontractors are in compliance with
the EEO and the labor nondiscrimination contract provisions mandated by state and
federal statutes and regulations.

California Department of Transportation  Construction Manual  July 2017

Equal Employment Opportunity 8-2.1
 When an employee’s responses to the EEO questions in Form CEM-2504 indicate
possible violations, the district labor compliance officer must forward a copy of that
interview to the Division of Construction, Labor Compliance Unit, for further action.
Refer to Section 8-102A (3), “Interviews With Contractor Personnel,” of this manual for
more information.

8-205 8-205 Federal-Aid Project Equal Employment Opportunity Posters

Federal-Aid Project Ensure the contractor’s EEO policy and the “Equal Employment Is the Law” poster are
Equal Employment posted in a prominent location on the project for all employees to review for the duration
Opportunity Posters of the contract. Check to see that the contractor has these posted when visiting each
construction location. The “Equal Employment Opportunity Is the Law” poster must
also be posted in the resident engineer’s and contractor’s office.
The district labor compliance officer verifies that the policy and poster are displayed at
offsite locations during a source document audit. If the contractor is noncompliant, the
district labor compliance officer provides additional posters and writes a memo advising
the resident engineer of the contractor’s compliance status for inclusion in the project
file.
A checklist of posters is available on the labor compliance website:
http://www.dot.ca.gov/hq/construc/LaborCompliance/posters.htm
8-206 8-206 Contractor Employee Title VII Complaints—Discrimination
Contractor Employee Complaint Processing
Title VII Complaints- A complaint that implicates the contractor’s employment practice is considered an EEO
Discrimination complaint based on Title VII of the Civil Rights Act of 1964. EEO complaints may
Complaint Processing originate as a direct complaint from the contractor’s employees or as a result of a
contractor employee interview. When a complaint is received, document all EEO
complaints in a diary, a memo to the project files, or on form CEM-2504. The public,
contractors, suppliers, and vendors may also present these complaints. File the original
EEO complaint in the project records and send a copy of the complaint to the district
labor compliance officer.
The district labor compliance officer sends complainants a letter notifying them of their
rights under the Civil Rights Act of 1964. The letter also provides a complete list of
resolution options, including:
• Use of the employer’s internal EEO program for investigation and resolution.
• Filing a complaint directly with the California Department of Fair Employment and
Housing (DFEH).
• Filing a complaint directly with the U.S. Equal Employment Opportunity
Commission.
A copy of the following items should be included in the letter:
• Form DFEH-159 “Guide for Complainants and Respondents,” a DFEH brochure
available on the internet:
http://www.dfeh.ca.gov/complaint-process/complaint-forms/
• Instructions on “Filing a Charge of Employment Discrimination,” are available on
the internet:
http://www.eeoc.gov/employees/howtofile.cfm

California Department of Transportation  Construction Manual  July 2017

8-2.2 Equal Employment Opportunity
For a sample letter to the complainant, refer to Example 8-2.1 at the end of this section.
In addition, the district labor compliance officer sends a notification letter to the prime
contractor that an employee has alleged discrimination and that the employee was given
notice of available recourse. The labor compliance officer must not divulge the
employee’s name. The letter reminds the contractor of the obligation to conduct an
investigation pursuant to contract requirements. For a sample letter to the contractor,
refer to Example 8-2.2 at the end of this section.
The district labor compliance officer refers the issue to the Division of Construction,
including copies of the letter to the complainant, the letter to the contractor, and the
employee interview form. Take further district construction actions only on the advice
and guidance of the Division of Construction.
8-207 Equal Employment Opportunity Title VI Complaints and 8-207
Contract Administration Equal Employment
The Civil Rights Act of 1964, Title VI, Section 601 states in part, “No person in the Opportunity Title
United States shall, on the grounds of race, color, or national origin, be excluded from VI Complaints and
participation in, be denied the benefits of, or be subjected to discrimination under any Contract
program or activity receiving federal financial assistance.” Administration
Any complaint indicating that the practices of Caltrans have the effect of discrimination
is considered a Title VI complaint. It may originate from a direct complaint made by the
public or by a contractor. Refer Title VI complaints that occur during construction to the
district labor compliance officer, who refers the complaint to the Division of
Construction. The division reviews the complaint, gathers relevant documents, and
refers it to the Discrimination Complaint Investigations Unit to process the complaint
and take further action as necessary.
During construction, amendments to the contract may occur by change order. Some
change orders may invoke Title VI complaints or violate the principles of environmental
justice. Environmental justice is the fair treatment of people of all races, cultures, and
incomes with respect to the development, adoption, implementation, and enforcement
of environmental laws, regulations, and policies. Examples include new traffic detours;
changes in the length or limits of the project; mitigation measure changes; materials
changes; and changes in contract-mandated material borrow, disposal sites, or setup of
portable asphalt or concrete plants.
Take affirmative measures to ensure nondiscrimination and preservation of
environmental justice when administering changes. If a change requires Title VI
mitigation measures, the resident engineer may conduct community meetings, prepare
news releases, or hire public relations consultants to keep communities informed on
project scope and schedule changes. Consult with the Division of Construction’s Labor
Compliance Officer, the design project engineer, and the project manager as necessary
to evaluate the impacts of any significant change including compliance with Title VI
requirements.
8-208 Contracts Containing “Federal Requirements Training Special 8-208
Provision” Contracts
Federal-aid projects use the training special provision when a project is of sufficient size Containing “Federal
and duration to support full training periods. When the special provision provides a Requirements
number of required trainees or apprentices, Section 7-1.11D, “Training,” of the Standard Training Special
Specifications applies. The intent of the provision is to enhance contractors’ EEO Provision”

California Department of Transportation  Construction Manual  July 2017

Equal Employment Opportunity 8-2.3
 programs through on-the-job training. Training and upgrading of minorities and women
toward journeyman status are the primary objectives of the provision. However, the
contractor must not use the training program to discriminate against an applicant for
training. The provision states the number of apprentices or trainees the contractor must
use on the project and provides guidance on actions the contractor must take. In addition,
the provision provides for reimbursement to the contractor for each apprentice or trainee
used on the project.
Before the work involving apprentices or trainees begins, the resident engineer requests
that the contractor submit a training plan with the number of apprentices or trainees in
each classification, the training program to be used, and the start date for training in each
classification. Review the training plan to confirm that it meets the requirements of the
training specification. Subcontractors who will be using apprentices or trainees must
provide a plan for them. Apprentices and trainees must be employed under programs
currently approved by the U.S. Department of Labor, Office of Apprenticeship Training,
Employer and Labor Services (DOL). Contractors must submit evidence of apprentice
or trainee registration in an approved training program to the resident engineer or district
labor compliance officer. Contractors may use trainees only when the trainee wage
schedule for the specific classification is listed in the federal wage determination
applicable to the contract.
The resident engineer may accept a training program not currently approved by DOL as
long as the program meets the EEO requirements of the federal contract special
provisions. Contractors must submit a request to the resident engineer for approval of
such programs before their use on the project. Submit the contractor’s request to the
district labor compliance officer who forwards it to the Division of Construction for
verification of conformance to federal requirements. If the training program meets the
requirements, the Division of Construction will submit the program to the Federal
Highway Administration (FHWA) with a recommendation for approval. Upon approval
from the FHWA, the division will notify the district labor compliance officer and
resident engineer. Notify the contractor of the training program approval.
Write a change order, as specified in the contract, to provide the appropriate
compensation for the apprentices or trainees. The total amount of the change order
should reflect the contractor’s plan for use of apprentices or trainees. No markup will be
applied to the specified hourly rate.
During construction, the contractor must give periodic reports demonstrating
performance regarding training requirements. Tailor reporting periods to the duration of
the project. For example, a year-long project should require at least quarterly reports.
Review the reports for conformance with the contractor’s training plan before approving
reimbursement for training hours. Do not reimburse the contractor unless the reports
have been provided. Reimburse the contractor for training in excess of the required
number of apprentices or trainees as long as evidence of registration in a DOL program
is provided. When an apprentice or trainee quits the project, the contractor must provide
the reason. The contractor will have fulfilled contract requirements if applicable training
has been provided to the specified number of apprentices or trainees.
8-209 8-209 Contractor’s Annual Equal Employment Opportunity
Contractor’s Annual The U.S. Code of Federal Regulations, Title 23, Section 230.121 requires prime
Equal Employment contractors and subcontractors, regardless of tier, to submit the FHWA Form PR-1391,
Opportunity “Federal-Aid Highway Construction Contractors Annual EEO Report” to the resident

California Department of Transportation  Construction Manual  July 2017

8-2.4 Equal Employment Opportunity
engineer for review. The form shows the composition of the contractor’s workforce by
race and gender for each job category. The requirement applies to all contractors,
regardless of tier, who have federal-aid contracts exceeding $10,000 and who worked
during all or any part of the last payroll period preceding the end of the month of July.
Contractors are subject to a progress pay deduction for failure to submit a satisfactory
form. Section 8-210 below lists applicable procedures and amounts.
8-210 Deducting Payment for Failure to Submit Reports 8-210
Make EEO deductions in situations where the contractor or subcontractor fails to submit Deducting Payment
the required training plan, does not post the necessary EEO information, or fails to for Failure to
provide FHWA Form PR-1391, “Federal-Aid Highway Construction Contractors Submit Reports
Annual EEO Report.”
Before taking a deduction, notify contractors found to be noncompliant in writing,
advising them of the specific deficiencies. Refer to Section 5-103F (1c), “Deductions,”
of this manual for instructions on taking the deduction.

California Department of Transportation  Construction Manual  July 2017

Equal Employment Opportunity 8-2.5
 Example 8-2.1. Sample Letter to the Complainant (Employee)

STATE OF CALIFORNIA—CALIFORNIA STATE TRANSPORTATION AGENCY EDMUND G. BROWN Jr., Governor

DEPARTMENT OF TRANSPORTATION
DIVISION OF CONSTRUCTION
[Resident Engineer’s Address]
[City, CA ZIP]
[PHONE (Area Code) xxx-xxxx] Making Conservation
[FAX (Area Code) xxx-xxxx] a California Way of Life.
TTY 711
www.dot.ca.gov

[The telephone and fax numbers must be those of the signature block regardless of who signs the letter. REMOVE THIS
NOTE BEFORE PREPARING THE LETTER.]
[Date: Month dd, yyyy]
[Employee’s Name]
[Address]
[City, State, ZIP]
RE: [Caltrans Contract Number, Federal ID Number, and Project Description]
Dear [Employee’s Name]:
This letter confirms our discussion on [date] where you informed us that you believe you have experienced discrimination
and allege [company name] discriminated against you based on [race, color, national origin, sex, age, or disability].
The district labor compliance officer reviewed the allegations and notified [company name] in writing, that you have been
provided a complete list of resolution options, including the use of the employer’s internal equal employment opportunity
program for investigation and resolution. Your name was not given to [company name].
The California Department of Transportation (Caltrans) monitors discrimination complaints against sub-recipients of state
or federal financial assistance. However, Caltrans has no statutory or regulatory authority to conduct an investigation of
alleged discrimination complaints between the contractor and the contractor’s employee. Caltrans has no authority to
gather evidence, subpoena documents, depose witnesses, or file equal employment opportunity cases on behalf of a
contractor’s employee. Caltrans ensures that the contractor conducts an equal employment opportunity investigation, and
documents oversight activities in the project records.
You must file a complaint with the California Department of Fair Employment and Housing or the United States Equal
Employment Opportunity Commission within specific statutory deadlines from the date of the alleged discriminatory act.
For more information, please refer to enclosed Form DFEH-159, “Guide for Complainants and Respondents.”
If you have questions relating to the information referenced above, please contact [Labor Compliance Officer’s name] at
[Labor Compliance Officer’s telephone number].
Sincerely,
[District Labor Compliance Officer’s Name]
District Labor Compliance Officer
District [Number] Construction

Enclosures: Form DFEH-159, “Guide for Complainants and Respondents”

“Filing a Charge of Employment Discrimination,” available online at:
http://www.eeoc.gov/employees/howtofile.cfm

c: Division of Construction
Office of Business and Economic Opportunity
“Provide a safe, sustainable, integrated and efficient transportation system
to enhance California’s economy and livability”

California Department of Transportation  Construction Manual  July 2017

8-2.6 Equal Employment Opportunity
 Example 8-2.2. Sample Letter to the Contractor

STATE OF CALIFORNIA—CALIFORNIA STATE TRANSPORTATION AGENCY EDMUND G. BROWN Jr., Governor

DEPARTMENT OF TRANSPORTATION
DIVISION OF CONSTRUCTION
[Resident Engineer’s Address]
[City, CA ZIP]
[PHONE (Area Code) xxx-xxxx] Making Conservation
[FAX (Area Code) xxx-xxxx] a California Way of Life.
TTY 711
www.dot.ca.gov

[The telephone and fax numbers must be those of the signature block regardless of who signs the letter. REMOVE THIS
NOTE BEFORE PREPARING THE LETTER.]
[Month dd, yyyy]
[Contractor’s Name]
[Address]
[City, State, ZIP]
RE: [Caltrans Contract Number, Federal ID Number, and Project Description]
Dear [Contractor’s Name]:
The California Department of Transportation (Caltrans) has been notified that a current or former employee of [company
name] filed (or) plans to file a formal complaint of discrimination. The current or former employee is alleging
discrimination based on [race, color, national origin, sex, age, or disability].
The district labor compliance officer provided the complainant a complete list of resolution options, including (1) the use
of the employer’s internal equal employment opportunity program for investigation and resolution and (2) filing a
complaint with the California Department of Fair Employment and Housing or with the United States Equal Employment
Opportunity Commission.
Caltrans complies with nondiscrimination laws and regulations, including Title VII of the Civil Rights Act of 1964. Title
VII states, “It shall be an unlawful employment practice for an employer: (1) to fail or refuse to hire or to discharge any
individual or otherwise to discriminate against any individual with respect to their compensation, terms, conditions, or
privileges of employment, because of such individual’s race, color, religion, sex, or national origin or (2) to limit,
segregate, or classify their employees or applicants for employment in any way which would deprive or tend to deprive
any individual of employment opportunities or otherwise adversely affect their status as an employee, because of such
individual’s race, color, religion, sex, or national origin.” Caltrans ensures that its activities or programs are
nondiscriminatory.
No one may intimidate, threaten, coerce, or engage in other discriminatory conduct against anyone because he or she has
either taken action or participated in an action to secure rights protected by the nondiscrimination statutes. Any individual
alleging such harassment, retaliation, or intimidation may file a complaint with the California Department of Fair
Employment and Housing or with the United States Equal Employment Opportunity Commission.
If you have questions relating to the information referenced above, please contact the Office of Business and Economic
Opportunity at (916) 324-0449.
Sincerely,
[District Labor Compliance Officer’s Name]
District Labor Compliance Officer
District [Number] Construction
c: Division of Construction
Office of Business and Economic Opportunity
Subcontractors (if applicable)
“Provide a safe, sustainable, integrated and efficient transportation system
to enhance California’s economy and livability”

California Department of Transportation  Construction Manual  July 2017

Equal Employment Opportunity 8-2.7
Chapter 8 Employment Practices

Section 3 Disadvantaged Business Enterprises and Disabled Veteran

Business Enterprises
8-301 General
8-302 Terms Used in Construction
8-302A Commercially Useful Function
8-302B Underutilized Disadvantaged Business Enterprises
8-303 Before Work Begins
8-303A Disadvantaged Business Enterprise and Disabled Veteran Business Enterprise
Commitment Form
8-303B Subcontractor List Versus Disadvantaged Business Enterprise and Disabled Veterans
Business Enterprise Commitment Form
8-303C Preconstruction Conference
8-304 Activities During Construction
8-304A Monitoring and Enforcement
8-304A (1) Monthly DBE/UDBE Trucking Verification Form
8-304A (2) When Listed DBE or DVBE Does Not Perform the Work
8-304B Substitution of Listed Firms
8-304B (1) Underutilized Disadvantaged Business Enterprise Substitutions
8-304B (2) Disadvantaged Business Enterprise Substitutions
8-304B (3) Disabled Veteran Business Enterprise Substitutions
8-304C Adding Disadvantaged Business Enterprises or Disabled Veteran Business Enterprises
8-305 Forms Required After Contract Acceptance
8-305A Final Report, Use of Disadvantaged Business Enterprises and Disabled Veteran Business
Enterprises, First-Tier Subcontractors
8-305B Disadvantaged Business Enterprises Certification Status Change (Federal-Aid Contracts)
8-306 Caltrans Office of Business and Economic Opportunity
Example 8-3.1 Second Notice, Contractor Has Failed to Respond to Verbal Notice on Nonuse of
Disabled Veteran Business Enterprise

California Department of Transportation  Construction Manual  July 2017

Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises 8-3.i
Chapter 8 Employment Practices
Section 3
Section 3 Disadvantaged Business Enterprises and Disabled Disadvantaged
Veteran Business Enterprises Business Enterprises
and Disabled Veteran
Business Enterprises
8-301 General 8-301
Caltrans’ policy is to ensure equal opportunity in the award and performance of its General
contracts. Part of this policy includes programs designed to increase the use of
disadvantaged business enterprises (DBEs) on federally funded contracts and disabled
veteran business enterprises (DVBEs) on state-funded contracts.
Federal regulations define DBEs as firms owned and controlled by individuals who are
both socially and economically disadvantaged. For the state’s federally assisted
transportation program, Caltrans establishes an annual overall participation goal for
DBEs. Caltrans strives to meet the annual goal through varying individual contract goals
that contractors must either meet or conduct a good faith effort to meet during the bidding
process.
State law defines DVBEs as firms owned, managed, and controlled by one or more
disabled veterans. State law requires Caltrans to ensure at least 3 percent DVBE
participation in its contracting dollars expended annually. Caltrans strives to meet this
requirement by establishing individual DVBE participation requirements on state-
funded contracts. Contractors must meet the contract requirement to be awarded a state-
funded contract.
Contract goals are set based upon the type of work in the contract and the availability of
DBE firms to participate in the bidding process in the geographical area of the contract.
DVBE contract participation requirements vary from 3 percent to 5 percent depending
on the dollar value of the overall project. Contracts may also include a DVBE bid
incentive based on the percentage of the commitment made by the bidder.
For every advertised contract containing goals or percentage requirements, the contractor
must submit information to Caltrans during the bidding process regarding the proposed
use of DBEs or DVBEs. The contractor’s proposal is evaluated prior to award of a
contract to see if the contract requirement has been met or if a good faith effort to use
DBEs has been made, as applicable. If the low bidder has not met the contract
requirement or shown good faith efforts to do so, the contract may be awarded to the
next low bidder that meets these requirements. Once a contract is awarded, the bidder’s
statement of intent or good faith effort is a commitment that becomes a contract
requirement.
Projects funded only with state funds have no specific requirement for the use of DBEs.
Likewise, projects funded with federal transportation funds have no specific requirement
for the use of DVBEs. DBEs and DVBEs are not interchangeable. Consequently,
projects funded only by the state cannot use a DBE to meet the DVBE requirement, and
projects funded with federal transportation funds cannot use a DVBE to meet the DBE
goal.

California Department of Transportation  Construction Manual  July 2017

Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises 8-3.1
 Some contracts do not have DBE or DVBE goals. However, Caltrans still encourages
the use of DBEs and DVBEs on these contracts, and bidders are urged to obtain DBE or
DVBE participation.
The contract contains the Caltrans DBE or DVBE requirements. Specific restrictions
exist regarding the removal and replacement of both DBEs and DVBEs listed on the
contractor’s commitment documents provided at the time of bid submission. DBE or
DVBE requirements are in addition to the requirements of Sections 4100–4114,
“Subletting and Subcontracting Fair Practices Act” (Fair Practices Act), of the Public
Contract Code, which are described in Section 3-507C, “The Subletting and
Subcontracting Fair Practices Act,” of this manual.
8-302 8-302 Terms Used in Construction
Terms Used in
8-302A Commercially Useful Function
Construction
• DBE—a DBE performs a commercially useful function when it does all of the
following (as detailed in the Code of Federal Regulations Section 26.55[c]):
1. Performs at least 30 percent of the total cost of its contract with its own
work force and does not subcontract out portions of its contract work that
are greater than normal industry practices for the type of work performed.
2. Performs, manages, and supervises the work involved.
3. Negotiates prices, determines quantity and quality, orders materials and
supplies, pays for the materials and supplies, and installs the materials
where applicable.
• DVBE—a DVBE performs a commercially useful function when it does all of the
following (as detailed in California Military and Veterans Code, Section
999[b][5][B]):
1. Is responsible for the execution of a distinct element of the contract
2. Carries out the obligation by actually performing, managing, or supervising
the work involved
3. Performs work that is normal for its business services and functions
4. Is responsible with respect to products, inventories, materials, and supplies
required for the contract; for negotiating price; determining quality and
quantity; and ordering, installing, if applicable, and making payment
5. Is not further subcontracting a portion of the work that is greater than that
expected to be subcontracted by normal industry practices
A DBE or DVBE firm does not perform a commercially useful function if its role on the
contract is limited to being an extra participant in a transaction or contract through which
funds are passed in order to obtain the appearance of participation.
8-302B Underutilized Disadvantaged Business Enterprises
An underutilized disadvantaged business enterprise (UDBE) is a certified DBE firm that
is recognized as being in one or more of the following DBE categories: Black American,
Asian-Pacific American, Native American, or Women.
In a 2007 Caltrans-led disparity study conducted to determine if disparity existed in the
use of one or more DBE categories, the four categories above were determined to be

California Department of Transportation  Construction Manual  July 2017

8-3.2 Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises
underutilized in the construction industry. To achieve greater participation in the four
groups, Caltrans set UDBE goals on contracts advertised on or after February 27, 2009
through June 15, 2012. UDBE contract goals were not set on projects advertised after
June 15, 2012.
8-303 Before Work Begins 8-303
Before Work
8-303A Disadvantaged Business Enterprise and Disabled Veteran Business
Enterprise Commitment Form Begins
The DBE or DVBE commitment form provides the resident engineer with a listing of
specific work to be done or materials to be furnished by specific DBEs or DVBEs and
is based on information the contractor submitted during the bidding process. The resident
engineer will receive the approved commitment of DBE or DVBE participation in the
award package. For DBE participation commitments, bidders use Form DES-OE-
0102.10D, “DBE-Commitment.” For DVBE participation commitments, bidders use
Form DES-OE-0102.5, “Certified DVBE Summary.” For DBE good faith efforts,
bidders use Form DES-E-0102.11A, “DBE Good Faith Efforts Documentation.” The
percentage specified in the original contract advertisement may differ from the approved
listing, which is a specific contract commitment from the contractor. The contractor must
meet the DBE or DVBE commitment, regardless of the contract percentage.
Review the commitment forms with inspection staff before work begins to ensure that
field staff knows who should be performing DBE or DVBE contract work. If the
commitment form has not been provided in the award package or is incomplete, the
resident engineer must contact the district labor compliance officer or the office engineer.
8-303B Subcontractor List Versus Disadvantaged Business Enterprise and
Disabled Veteran Business Enterprise Commitment Form
Do not construe the commitment of DBE or DVBE subcontractors as a request to
subcontract or a notice of intent to subcontract as required by Section 5-1.13,
“Subcontracting,” of the Standard Specifications. However, the approved form does
equate to a commitment from the contractor to meet the DBE or DVBE requirements of
the contract. In those instances where a DBE or DVBE subcontractor exceeds the dollar
threshold (one-half of 1 percent of the total bid, or $10,000, whichever is greater)
specified in the Fair Practices Act, the DBE or DVBE must also be listed on the
“subcontractor list.” Conversely, a DBE or DVBE whose value of work falls below the
threshold will not be listed on the subcontractor list, in accordance with the Fair Practices
Act. Because the DBE or DVBE may not be on the subcontractor list, the DBE or DVBE
listing and the subcontractor list may not match. First-tier subcontractors listed on the
contractor’s DBE or DVBE use plan must be listed on Form CEM-1201,
“Subcontracting Request.” Refer to Section 3-507D, “Procedure for Approval or
Acknowledgment of Subcontractors,” of this manual for additional information on first-
tier subcontractors.
To cross-check DBE or DVBE commitments, compare the subcontractors and contract
items listed on the subcontractor list and Form CEM-1201, “Subcontracting Request,”
with the approved DBE or DVBE commitment forms. Identify any irregularities during
the preconstruction conference.

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Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises 8-3.3
 8-303C Preconstruction Conference
During the preconstruction conference, review the commitment details with the prime
contractor and other attending parties. Inform the contractor of the contract requirements
to use the committed DBE or DVBE firms or go through the applicable substitution
process. Also inform the contractor that unless the work is performed or supplied by the
listed DBEs or DVBEs or a substitution is approved, the contractor is not entitled to any
payment for work or materials or may be subject to a 10 percent contract withhold. The
preconstruction conference is a good opportunity for the prime contractor to inform
Caltrans staff of any known issues prior to the work starting. If the contractor identifies
any issues, follow the process identified in Sections 8-304B, “Substitution of Listed
Firms,” and 8-304C, “Adding Disadvantaged Business Enterprises or Disabled Veteran
Business Enterprises,” of this manual.

8-304 8-304 Activities During Construction

Activities During
8-304A Monitoring and Enforcement
Construction
Caltrans is required by federal and state regulations to monitor worksites to ensure work
committed to a DBE or DVBE is being performed by the respective firms and ensuring
a commercially useful function. For federally funded projects, the resident engineer must
certify in writing that a field review of DBE records occurred and the worksite was
monitored by Caltrans staff.
The following procedures must be used by field staff to monitor and enforce the DBE or
DVBE requirements of the contract, including prompt payment:
1. When a DBE or DVBE firm performs work on the contract, inspection staff must
document in the daily inspection report the name of the firm and the associated
contract items performed. Cross-check the inspection reports against commitment
forms to ensure the appropriate firm is performing the work or providing the
materials.
2. Interview workers of DBE or DVBE subcontractors. For additional information on
conducting interviews, refer to Section 8-102A (3), “Interviews With Contractor
Personnel,” of this manual.
3. Confirm with the district labor compliance officer that certified payroll records have
been received for the DBE or DVBE, if applicable.
4. If the DBE or DVBE firm is a materials supplier, request that the contractor provide
documents such as delivery confirmation reports and canceled payment checks to
confirm that the DBE or DVBE supplied the materials.
5. Ensure the contractor submits Form CEM-2406, “Monthly Disadvantaged Business
Enterprises (DBE) Payment,” by the 15th of the month for the previous month’s
activities.
6. If trucking is part of the contractor’s DBE commitment, identify trucking firms and
drivers and associated items of work for each trucking firm on daily inspection
reports. In addition, ensure the contractor submits Form CEM-2404F, “Monthly
DBE/UDBE Trucking Verification,” by the 15th of the month for the previous
month’s trucking activities. Randomly confirm the information on these forms by
requesting copies of weighmaster certificates and canceled payment checks from
the contractor. Cross-check the information against daily inspection reports as well.

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8-3.4 Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises
 Refer to Section 8-304A (1), “Monthly DBE/UDBE Trucking Verification Form,”
of this manual for additional information.
7. Do not allow a contractor to terminate or substitute a listed DBE or DVBE from the
contract without written consent. For information on the substitution process, refer
to Section 8-304B, “Substitution of Listed Firms,” of this manual.
8. Withhold contract funds, as applicable, for improper substitutions, terminations, or
failure to meet contract commitments.
9. Bring to the attention of the district labor compliance officer any complaints of
failure by the contractor to promptly pay DBE or DVBE firms.
10. Require the contractor to notify you in writing of any changes in DBE certification
status; that is, a DBE becomes decertified or a business entity becomes certified as
a DBE. For additional information on changes in DBE certification status, refer to
Section 8-304B (2), “Disadvantaged Business Enterprise Substitutions,” of this
manual.
11. Consult with the district labor compliance officer for questions on implementing
enforcement activities.
8-304A (1) Monthly DBE/UDBE Trucking Verification Form
When DBE trucking is approved on the commitment list, the contractor must submit to
the resident engineer Form CEM-2404F, “Monthly DBE/UDBE Trucking
Verification,” before the 15th of each month. The form must include the following for
all trucking performed during the reporting period:
• The truck 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 applicable
If the prime contractor fails to submit the form, the resident engineer must hold an
administrative deduction for missing documents.
In determining how much credit percentage to allow for the trucking company toward
the DBE contract goal, use the following factors:
• The listed DBE must 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.

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Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises 8-3.5
 • The DBE may also lease trucks from a non-DBE firm or a non-DBE owner-
operator. The DBE who leases trucks from a non-DBE is entitled to credit only for
the fee or commission it receives as a result of the lease arrangement. The DBE does
not receive credit for the total value of the transportation services provided by the
lessee because a DBE is not providing these services.
• A lease must indicate that the DBE has exclusive use of and control over the truck.
The leased truck may work for others during the term of the lease with the consent
of the DBE, as long as the lease gives the DBE absolute priority for use of the leased
truck. (Generally, the lease must be long term and not for the specific project.)
8-304A (2) When the Listed DBE or DVBE Does Not Perform the Work
If Caltrans personnel observe that firms other than those listed are doing the work or
providing the materials, promptly notify the contractor in writing that an apparent
violation is taking place. If you make an initial verbal warning, note this fact in the
resident engineer’s daily report. Also, for this work, hold an administrative deduction on
the next estimate for the dollar amount of work that should have been performed to date
as listed on the DBE commitment for the specific firm. For DVBEs, hold an
administrative deduction for 10 percent of the DVBE commitment for the specific firm.
If the first notice is ineffective for any reason, send another written notice describing the
violation to the contractor. Include a warning that failure to comply with the DBE or
DVBE contract requirements will result in a withhold in the full amount of the items of
work listed and a referral to the Department of General Services (DGS) for investigation
for contracts with DVBE commitments. For a sample copy of such a letter, refer to
Example 8-3.1, “Second Notice, Contractor Has Failed to Respond to Verbal Notice on
Nonuse of DBE or DVBE,” at the end of this section.
If the written notice fails to achieve results, submit to the district labor compliance office
a memorandum noting the following:
• The apparent violation
• Actions taken
• The contractor’s subsequent action or inaction
• Documentation of the notices sent to the contractor
The district labor compliance office reviews for consistency the actions taken and
forwards this documentation to the Division of Construction, Labor Compliance Unit,
and the construction field coordinator. Include any district recommendations for action.
The Division of Construction will notify the Caltrans Office of Business and Economic
Opportunity (OBEO). When necessary, OBEO will investigate the apparent violation
and notify the federal or state authorities as appropriate.
The actions described above are in addition to any that must be taken for violations of
the subcontracting provisions of the Standard Specifications and of the Subletting and
Subcontracting Fair Practices Act.
8-304B Substitution of Listed Firms
The resident engineer must not allow a prime contractor to remove or substitute a listed
DBE or DVBE firm without prior written consent from Caltrans. This includes allowing
the prime contractor to self-perform work originally committed to a DBE or DVBE firm.
Requests for substitution of a listed DBE or DVBE firm must be in writing.

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8-3.6 Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises
8-304B (1) Underutilized Disadvantaged Business Enterprise Substitutions
The UDBE substitution procedures apply to contracts advertised on or after February 27,
2009 through June 15, 2012. For contracts with UDBE participation, follow the process
described below. The prime contractor is required to replace the listed UDBE with
another certified DBE firm identified as underutilized or conduct a good faith effort to
do so to the extent required to meet the original contract goal. For additional information
on those DBE firms considered to be underutilized, refer to Section 8-302, “Terms Used
in Construction,” of this manual.
Require the contractor to submit a written request for substitution of a listed UDBE.
Ensure the request cites one of the seven reasons listed in Section 5, “General,
Performance of UDBEs,” of the special provisions. If the prime contractor requests
substitution with a non-UDBE, the good faith effort must be included with the request
and must address the eight information and supporting document items identified in the
contract under “Disadvantaged Business Enterprises.” The prime contractor’s good faith
effort must be reviewed and approved by the district construction division chief before
approval of a substitution request. If the prime contractor fails to conduct a good faith
effort to replace a listed UDBE with another UDBE, deny the substitution request.
Provide the listed UDBE with written notice, including confirmation of receipt, of the
prime contractor’s request to substitute upon receipt of a request for substitution. The
written notice must allow the listed UDBE at least 5 days to object to the substitution. If
the UDBE objects and provides a timely response, the district must conduct a hearing on
the substitution request. Provide the prime contractor and UDBE with written notice at
least 5 days before the scheduled hearing. If the UDBE does not object to the substitution
or does not respond within the 5-day timeframe, give the prime contractor written notice
of the substitution approval. For approval of the substitution, complete Form CEM-2401,
“Substitution Report for Disadvantaged Business Enterprise (DBE) or Underutilized
Disadvantaged Business Enterprise (UDBE).”
If the prime contractor replaces a listed UDBE without approval, temporarily withhold
payment for the items of work committed to the UDBE from the next progress payment.
Send the prime contractor written notice of the improper substitution and payment
withhold. If the UDBE is also a listed subcontractor pursuant to the Fair Practices Act,
the substitution process must comply with the Fair Practices Act and with Section 3-
507C (5), “Hearing Process for Substitution Violations,” of this manual. If the prime
contractor is found in violation of the Fair Practices Act, the hearing officer may also
assess a penalty of up to 10 percent of the subcontract amount. Any temporary withholds
become permanent when a violation is confirmed.
8-304B (2) Disadvantaged Business Enterprise Substitutions
For DBE substitutions, follow the process listed below. The prime contractor is required
to replace the listed DBE with another certified DBE or conduct a good faith effort to do
so to the extent needed to meet the original contract goal.
Require the contractor to submit a written request for substitution of a listed DBE.
Section 5 “General, Performance of Disadvantaged Business Enterprises,” of the
contract identifies the information required for a contractor-requested substitution.
Review the contractor’s written request and ensure it includes all of the following:
• One of the 11 reasons for substitution as identified in the special provisions

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Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises 8-3.7
 • A copy of the 5-day notice from the contractor to the DBE regarding the substitution,
including verification that the DBE received the notice
• The DBE’s response to the 5-day notice
• If applicable, the contractor’s good faith effort documentation addressing the eight
requirements found in Section 2-1.12B(3), “DBE Good Faith Efforts Submittal,” of
the Standard Specifications
If the request for substitution does not include the required information, notify the
contractor of the requirement to comply with the contract and do not proceed with the
substitution request.
If the DBE objects to the 5-day notice of substitution, the district must conduct a hearing
on the substitution request. The prime contractor and DBE must be provided at least 5
days’ written notice of the scheduled hearing. If the DBE does not object to the
substitution or does not respond to the contractor’s notice within the 5-day timeframe,
the substitution can occur with another DBE or non-DBE as a result of an approval of
the good faith effort. To document written substitution approval, complete Form
CEM-2401, “Substitution Report for Disadvantaged Business Enterprise (DBE) or
Underutilized Disadvantaged Business Enterprises (UDBE),” and provide a copy to the
contractor.
If the prime contractor replaces a listed DBE without written approval from the resident
engineer, payment for the items of work committed to the DBE must be temporarily
withheld from the next progress payment. Send the prime contractor written notice of
the improper substitution and payment withhold. In addition, if the DBE is also a
subcontractor required to be listed at bid time by the Fair Practices Act, the substitution
process must comply with Section 3-507C (5), “Hearing Process for Substitution
Violations,” of this manual. If the substitution is found to be in violation of the Fair
Practices Act, the hearing officer may assess the prime contractor a penalty of up to 10
percent of the subcontract amount. Any temporary withholds become permanent when
a violation is confirmed.
Federally funded contracts require the contractor to report a DBE firm that becomes
certified or decertified during the course of the project. A DBE subcontractor that
becomes decertified during the course of the project must notify the contractor in writing
with the date of decertification. In the same manner, a subcontractor that becomes a
certified DBE during the course of the project must notify the contractor in writing with
the date of certification.
The prime contractor must notify the resident engineer if the contractor becomes aware
of a DBE obtaining or losing its certification during construction.
The contractor must still honor contractual commitments with a DBE firm performing
work on the contract even if the DBE loses its certification during construction. No
substitution is required.
For federal reporting purposes only, DBE credit for Caltrans will be limited to payments
made while the firm was certified. This has no effect on the Form CEM-2402F, “Final
Report - Utilization of Disadvantaged Business Enterprises First-Tier Subcontractors,”
which should show the total paid to the DBE. For additional information on the final
report, refer to Section 8-305A, “Final Report, Use of Disadvantaged Business
Enterprises or Disabled Veteran Business Enterprises,” of this manual.

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8-3.8 Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises
8-304B (3) Disabled Veteran Business Enterprise Substitutions
For contracts advertised on or after January 1, 2010, DVBEs listed at the time of bid for
participation credit must only be substituted with another DVBE. For contracts
advertised on or after April 1, 2013, DVBEs must be substituted with another DVBE or
a small business in the demonstrated absence of an available DVBE. In addition, for all
DVBE substitutions, Caltrans must receive approval from DGS before allowing a
contractor to proceed with the substitution.
Require the contractor to submit a written request for substitution. Review the request to
ensure compliance with the requirements of Section 5-1.13C, “Disabled Veteran
Business Enterprises,” of the Standard Specifications. This includes citing one or more
of the allowed reasons for substitution and providing copies of the following:
• Written notice of the substitution request provided to the DVBE and any response
received
• Documentation of the absence of DVBE substitutable firms, if applicable
• The commitment quote from the replacement firm
• The business information, items of work, and corresponding dollar value for the
replacement firm.
The allowable reasons for substitution are as follows:
1. When the DVBE becomes bankrupt, insolvent, or goes out of business.
2. When the DVBE does not perform as listed in the Bidder Declaration.
3. When the DVBE does not meet the bond requirements of the contractor.
4. When the DVBE’s name is incorrect due to an inadvertent clerical error. In the case
of public works contracts, compliance with Section 4107.5 of the Public Contract
Code is required.
5. When the DVBE is not licensed as required by any California regulatory agency.
6. When the awarding department, or its duly authorized officer, determines that the
DVBE: (a) did not perform in accordance with the plans and specifications; or, (b)
has delayed or disrupted the progress of the work.
For contracts advertised prior to April 1, 2013, Caltrans provides the DVBE with written
notice of the substitution request, using a traceable mailing method such as registered,
overnight, or certified mail, if the contractor’s request does not already include
documentation of such notice. The written notice gives the DVBE 5 working days to
object, in writing, to the substitution and request a hearing with Caltrans.
Return to the contractor for correction requests that do not include the required
information or do not indicate substitution with another DVBE or small business firm.
If the listed DVBE provides a written objection to a contractor’s substitution request,
within 5 working days of receipt of the objection, set a date for a hearing and send a
notice to the contractor and DVBE of the date and location. Conduct the hearing in
compliance with Section 3-507C (3), “Hearing Process for Substitutions,” of this
manual. If the listed DVBE does not respond to the notice of a contractor’s request to
substitute within 5 working days or does not object to the substitution, no hearing is
required.

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Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises 8-3.9
 After resolving any issues with the substitution request and determining that the
substitution may occur, complete Form CEM-2405, “Disabled Veteran Business
Enterprise (DVBE) Substitution Request to the Department of General Services (DGS),”
and send it to the Division of Construction, to the attention of the labor compliance
program manager. Also send a copy to the district labor compliance manager. Include
all supporting documents such as the contractor’s substitution request; notice to the
DVBE; DVBE’s response, as applicable; request for hearing; and hearing decision. The
Division of Construction labor compliance program manager reviews and signs the
DVBE substitution form and forwards it to DGS for final review and approval or denial.
DGS responds to the request within 3 business days. The Division of Construction
notifies the district of DGS’ final decision upon receipt.
Provide the contractor with notice of DGS’ decision. If the substitution is approved by
DGS and the new DVBE or small business is a first-tier subcontractor, ensure the prime
contractor completes and submits an updated Form CEM-1201, “Subcontracting
Request.” If the substitution is denied by DGS, do not allow substitution of the DVBE
originally listed.
Do not allow the proposed substitute DVBE or small business firm’s work to occur until
a substitution request has been approved by DGS.
If the contractor improperly substitutes a listed DVBE with a non-DVBE or non-small
business, withhold 10 percent of the dollar value of the original listed DVBE
participation. Send the prime contractor written notice of the improper substitution and
payment withhold. In addition, if the DVBE is also a subcontractor required to be listed
at bid time by the Fair Practices Act, the substitution process must comply with Section
3-507C (5), “Hearing Process for Substitution Violations,” of this manual. Substitution
of a listed DBE or DVBE may be a lengthy process. However, contractors are not
entitled to either time adjustments or increased costs as a result of substituting the DBE
or DVBE firm.
Consult with the district labor compliance program manager for assistance with the
substitution process for DBE or DVBE firms.
8-304C Adding Disadvantaged Business Enterprises or Disabled Veteran
Business Enterprises
Caltrans permits and encourages the contractor to increase the amount of work to DBEs
or DVBEs over what was originally listed for contract commitment. If a portion of the
work will be subcontracted, the contractor must comply with Section 5-1.13,
“Subcontracting,” of the Standard Specifications and with the Fair Practices Act. For the
procedures for subcontracting, refer to Section 3-507, “Subcontracting,” of this manual.
Place a copy of the contractor’s request in the project file for later reference when
approving Form CEM-2402F, “Final Report - Utilization of Disadvantaged Business
Enterprises (DBE) First-Tier Subcontractors,” or Form CEM-2402S, “Final Report -
Utilization of Disabled Veteran Business Enterprises (DVBE) State Funded Projects
Only.”

8-305 8-305 Forms Required After Contract Acceptance

Forms Required After The following forms are required after contract acceptance. Refer to the Standard
Contract Acceptance Specifications for the specific due date of each form.

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8-3.10 Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises
8-305A Final Report, Use of Disadvantaged Business Enterprises or Disabled
Veteran Business Enterprises
The specifications require the contractor to submit to the resident engineer either Form
CEM-2402F, “Final Report - Utilization of Disadvantaged Business Enterprises (DBE)
First-Tier Subcontractors,” or Form CEM-2402S, “Final Report - Utilization of Disabled
Veterans Business Enterprises (DVBE) State Funded Projects Only,” upon completion
of the contract work. These final reports provide key information required to certify that
DBE and DVBE firms participated on the contract and were paid for the work
performed.
Ensure the final utilization report includes the following information:
• The names and addresses of DBE or DVBE firms and first-tier subcontractors for
federal-aid projects
• The date each of the firms completed the work
• The date of final payment to the firms
• The total dollar figure paid to each firm
• All actual expenditures (not the contract item prices) paid to DBEs or DVBEs
• Any lower-tier DBEs or DVBEs that were used, even if the firms were not originally
listed in the bid submittals for the purposes of goal attainment
If the prime contractor is a DBE or DVBE firm, the reports must also show the date of
work performed by its own forces, along with the corresponding dollar value of the work
claimed toward DBE or DVBE commitments. Require the contractor to submit a
complete form if any of the required information is not included.
Compare the contractor’s original dollar commitment with the amount shown on the
final DBE or DVBE report. Review the contractor’s calculations to verify that the
appropriate amount is credited for participation of DBE suppliers and truckers. Below
are the criteria for crediting DBE supplier and trucker participation:
• One hundred percent credit if the materials or supplies are obtained from a DBE
manufacturer.
• Sixty percent credit if the materials or supplies are obtained from a DBE regular
dealer.
• Only fees, commissions, and charges for assistance in the procurement and delivery
of materials or supplies, if they are obtained from a DBE that is neither a
manufacturer nor regular dealer. Code of Federal Regulations, Title 49, Section
26.55, “How is DBE Participation Counted Toward Goals?,” defines
“manufacturer” and “regular dealer.”
• One hundred percent credit for the total value of the transportation services the DBE
provides on the contract using trucks it owns, insures, and operates using drivers it
employs or leases from another DBE.
• Actual fee or commission amount for participation by non-DBE trucks leased by
DBEs.
DVBE subcontractors, suppliers and truckers receive full participation credit as long as
the entity has performed a commercially useful function on the project.

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Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises 8-3.11
 If any question exists concerning the report’s accuracy, require a written explanation
from the contractor. The response 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
explanation to the final DBE or DVBE report. The written explanation is not required
for projects that do not have specific percentage goals for DBE or DVBE participation
or final projects that show no change from the DBE or DVBE commitment.
For federally funded projects only, if the contractor’s DBE attainment falls short of the
contract commitment, hold only the amount of contract funds necessary to meet the
original DBE contract goal. If funds were previously withheld from the contractor for
failure to meet DBE participation requirements, continue to hold only the amount of
contract funds necessary to meet the original DBE contract goal. Any penalties
previously assessed for violations of the Fair Practices Act are not returned to the
contractor, even if the contractor meets the DBE commitment with other DBE firms. For
contracts with DVBE participation commitments, do not return previously withheld
funds to the contractor. If the contractor does not attain the original goal for reasons
beyond their control, then no funds should be withheld. For example, if a change order
eliminates all or a portion of an item originally designated to be performed by a DBE or
DVBE, this situation is beyond the contractor’s control. Conversely, if a change order
increases the work allocated to a DBE or DVBE, the contractor is not required to have
the DBE or DVBE perform the work, but should be encouraged to do so. Consult with
the district labor compliance manager for questions regarding withheld funds for DBE
or DVBE participation.
If no issues with the final utilization reports are identified, the resident engineer signs the
final report. For federally funded contracts, the signature of the resident engineer
provides written certification of DBE participation through onsite monitoring and record
review activities. The final DBE or DVBE report (together with the contractor’s
narrative) must be sent to the Office of Business and Economic Opportunity (OBEO) by
email at [email protected]. A copy should also be sent to the district
construction office.
If the contractor does not submit the final utilization reports, take the appropriate
deduction on the after-acceptance estimate. For federal-aid contracts, withhold $10,000.
For state-funded contracts, initiate an “other outstanding document” (OOD) withhold.
For more information on these withholds refer to Section 3-907A, “Payment Before
Final Estimate,” of this manual. Return the withhold when a completed report is
submitted and verified.
8-305B Disadvantaged Business Enterprises Certification Status Change (Federal-
Aid Contracts)
To document and report changes to DBE certification, the contractor must complete
Form CEM-2403F, “Disadvantaged Business Enterprises (DBE) Certification Status
Change.” The form must list the amount of money paid to the DBE while it was certified.
The contractor must submit the form at the 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-2403F. If the
prime contractor fails to submit the form, include this report as part of the OOD
deduction when preparing the after-acceptance payment.

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8-3.12 Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises
8-305C Monthly Disadvantaged Business Enterprises (DBE) Payment
The purpose of monthly DBE payments is to comply with the uniform report of DBE
awards or commitments and payments to ensure “real time” payments and breakdown
of participation by minority-owned DBEs.
The resident engineer ensures the contractor submits a completed Form CEM-2406,
“Monthly Disadvantaged Business Enterprises (DBE) Payment,” including explanation
of differences between the original commitment and payment to the DBE in the
comment section. A copy is emailed to the Office of Business and Economic
Opportunity at [email protected].
8-306 Caltrans Office of Business and Economic Opportunity 8-306
Caltrans OBEO develops policy related to and generally administers and oversees the Caltrans Office of
DBE program for Caltrans. Additionally, among other duties, OBEO certifies DBEs, Business and
publishes the lists of the certified firms, and determines whether those firms meet the Economic
requirements of applicable federal regulations. DGS certifies DVBEs, and determines Opportunity
whether these firms meet the requirements of applicable state regulations.
OBEO also approves contract goals, determines goal attainment during the contract
award process, and performs external equal employment opportunity compliance
reviews of Caltrans’ contractors, including use of DBE and DVBE firms.
Although overall program responsibility rests with OBEO, specific construction project
responsibility rests with district construction and the Division of Construction. Be aware
of the general contract requirements related to use of DBE and DVBE firms and equal
employment opportunity, and when a question arises about the requirements or when a
violation of the requirements has apparently occurred, immediately notify the district
construction office.
If the district needs assistance, the district contacts the Division of Construction labor
compliance manager. If a complaint is received from a DBE or DVBE firm regarding
treatment on the project, and the firm alleges that the claimed mistreatment is due to its
DBE or DVBE status, promptly notify the district labor compliance officer. If an
investigation or other action is appropriate, the district labor compliance officer will
make a request to the Division of Construction.
The Division of Construction will arrange for any necessary additional steps, including
assistance from other functions, such as the Legal Service Center, OBEO, or Audits and
Investigations. District construction should only take additional actions that may be
necessary after receiving the Division of Construction’s advice and guidance.

California Department of Transportation  Construction Manual  July 2017

Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises 8-3.13
 Example 8-3.1. Second Notice, Contractor Has Failed to Respond to Verbal
Notice on Nonuse of Disabled Veteran Business Enterprise

[Contract Identification]
[Today’s Date]
[Contractor's Superintendent]
[Prime Contractor]
[Job Site Address]

Dear [Superintendent]:

On [date], the work on Contract Item [contract item ##, description of item] apparently
was being done by employees of [name of firm]. Our records indicate that your company
stated in its DVBE use plan that this work would be done by [name of DVBE firm]. On
[notification date], I called your attention to this apparent violation of the contract, yet
[name of firm] has continued to perform work on curbs and gutters. Be advised that,
pursuant to the paragraph titled “Subcontracting” in Section 5 of the contract provisions,
no payment will be made for the work that was allocated to the listed subcontractor, but
performed by [name of firm].

To avoid the possibility of further consequences for violating the provisions of the
contract, we suggest that you either comply with your company’s original 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 DVBEs with other DVBEs or small businesses, subject to Caltrans
and the Department of General Services approval. This process can be fairly lengthy, and
we urge you to immediately take such steps as are necessary. You are cautioned that we
will be unable to authorize either increased costs or time due to your failure to comply
with your original contractual commitment.

We are sending copies of this letter to your company’s home office and to Caltrans
headquarters office in Sacramento. Please contact me if I can assist you in your efforts to
fulfill your contract.

Sincerely,

Resident Engineer

cc: Prime Contractor, Home Office

HQ Construction Program
District Construction Office
RE File
Note 1: The above letter concerns the least complicated situations in which the prime contractor is doing
work planned to be sublet to a DVBE. If a second subcontractor is involved, other contract
specifications are probably being violated; for instance, the following:
• Standard Specifications Section 5-1.13, “Subcontracting”—Lack of prior notice of subcontract
(if state funded).
• Sections 4100–4114, “Subletting and Subcontracting Fair Practices Act,” of the Public Contract
Code—Substitutions for listed subcontractors without the engineer’s approval will result in a
penalty of up to 10 percent of the contract item amount.
Note 2: When subcontractor approval or notice requirements are involved, the letter to the prime contractor
should refer to “subcontracting and DVBE provisions” rather than merely “DVBE provisions.”
When the subcontractor listing law is involved, the letter must clearly address both the Subletting
and Subcontracting Fair Practices Act and DVBE violations.

California Department of Transportation  Construction Manual  July 2017

8-3.14 Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises
 Chapter 9- Projects
Sponsored by Others
Chapter 9 Projects Sponsored by Others

Section 1 Construction Contract Administration for Projects

Sponsored by Others
9-101 General
9-102 Advertise, Award, and Administer Construction Contracts
9-103 Caltrans Administered Projects Sponsored by Others
9-103A Requesting Additional Funds for Local Federal-Aid (Subvention) Projects
9-103B Requesting Additional Local Funds for Locally Sponsored Projects

California Department of Transportation  Construction Manual  July 2017

Construction Contract Administration for Projects Sponsored by Others 9-1.i
Chapter 9 Projects Sponsored by Others
Section 1
Section 1 Construction Contract Administration for Construction
Projects Sponsored by Others Contract
Administration
for Projects
Sponsored by
Others
9-101 General 9-101
Caltrans encourages local and private sponsoring of state highway improvements. General
Local agencies develop and implement local funding programs that supplement federal
and state funding programs to meet their current and future transportation needs.
Projects sponsored by others that are constructed on the state highway system may be
implemented 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 (such as funds from Surface Transportation Program,
Congestion Mitigation Air Quality, or Active Transportation Program), and private
funds. Local agencies may combine their funds with state funds (such as the State
Transportation Improvement Program, State Highway Operation and Protection
Program, or Minor Programs) to develop transportation improvements.
The term “local agency” used throughout this section means any public entity (federal,
state, regional transportation planning agency [RTPA], county, city, or other local
government entity) that sponsors or acts as implementing agency for 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 will select the implementing agency for
construction contract administration. Caltrans will consider acting as implementing
agency for a construction contract on a reimbursement basis in certain cases that are
described in Section 9-103, “Caltrans Administered Projects Sponsored by Others,” of
this manual.
9-102 Advertise, Award, and Administer Construction Contracts 9-102
Caltrans policy states that advertising, award, and contract administration shall not be Advertise, Award,
divided among different entities; that is, the entity that advertises the project shall also and Administer
award and administer the construction contract. Only the Chief, Division of Construction
Construction can waive this policy. Contracts
9-103 Caltrans Administered Projects Sponsored by Others 9-103
The district may honor local agency requests that Caltrans advertise, award, and Caltrans
administer the construction contract for locally sponsored projects at the discretion of Administered
the district director, and subject to availability of resources. The local agency must Projects Sponsored
accept the processing procedures normally applied to state highway projects, since the by Others

California Department of Transportation  Construction Manual  July 2017

Construction Contract Administration for Projects Sponsored by Others 9-1.1
 locally sponsored project will be processed along with Caltrans’ regular workload
associated with developing the statewide transportation program.
The district director determines the appropriate method for advertising, awarding, and
administering a construction contract project sponsored by others. The district director
should consider advertising, awarding, and administering contracts if:
• The project involves major urban freeway or expressway construction, where
heavy public traffic will occur through construction.
• The project requires extensive night work.
• The project involves long and unusual structures.
• The Federal Highway Administration requests administration by Caltrans.
Caltrans administered projects that are sponsored by others follow the guidance of this
manual and the terms of the cooperative agreement. Whenever Caltrans advertises,
awards, and administers the contract, the project is considered to be “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 a combined effort, the Caltrans district (not the local
agency) is responsible to properly staff such a project whether or not the local agency
can 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 project identification number for state
administered projects similar to charging practices used on Caltrans projects. As a
result of using this charging method, the local agency shares the engineering costs in
accordance with the cooperative agreement between the local agency and Caltrans.
Charges made for the local 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 this manual. The agreement must state that the fund
provider will abide by the outcome of the Caltrans claims process.
9-103A Requesting Additional Funds for Local Federal-Aid (Subvention) Projects
If the project is funded in whole or part with local federal-aid funds, and the resident
engineer determines that additional funds are needed, the resident engineer follows the
procedures outlined in Section 5-203, “Obtaining Additional Funds,” of this manual,
with the following changes:
• The meeting with the resident engineer, construction engineer, construction field
coordinator, and project manager to discuss funding needs and alternatives shall
also include the district local assistance engineer and a representative of the local
agency that sponsored the project. The meeting should include a representative of
the local RTPA if the local federal-aid funds are programmed by the RTPA. The

California Department of Transportation  Construction Manual  July 2017

9-1.2 Construction Contract Administration for Projects Sponsored by Others
 meeting should include the Federal Highway Administration transportation
engineer for projects of division interest.
• 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 pay for part of the project costs, the meeting will determine the
responsibilities for the additional funds request. Project managers process the
request for additional state funds as outlined in Section 9-103B, “Requesting
Additional Local Funds for Locally Sponsored Projects,” of this manual. The
request for additional local federal-aid funds will be processed as determined at the
meeting.
9-103B Requesting Additional Local Funds for Locally Sponsored Projects
If the project is not funded by local federal-aid funds, and the resident engineer
determines that additional funds are needed, the resident engineer follows the
procedures outlined in Section 5-203, “Obtaining Additional Funds,” of this manual,
with the following changes:
• Include a representative of the local agency that sponsored the project when
discussing funding need and alternatives during the meeting with the resident
engineer, construction engineer, construction field coordinator, and project
manager.
• Send the memorandum to request additional local funds to the local agency.
• Determine the split on the responsibility for the additional funds request during the
meeting, if state funds are paying for part of the project costs. Project managers
process the request for additional state funds as outlined. The request for additional
local funds will be processed as determined at the meeting.

California Department of Transportation  Construction Manual  July 2017

Construction Contract Administration for Projects Sponsored by Others 9-1.3
Chapter 9 Projects Sponsored by Others

Section 2 Projects Administered by a Local Agency on the State

Highway System
9-201 General
9-202 Quality
9-203 Reimbursement
9-204 Source Inspection
9-205 Project Review

California Department of Transportation  Construction Manual  July 2017

Projects Administered by a Local Agency on the State Highway System 9-2.i
Chapter 9 Projects Sponsored by Others
Section 2
Section 2 Projects Administered by a Local Agency on the Projects
State Highway System Administered by
a Local Agency
on the State
Highway System
9-201 General 9-201
Ensure that all projects on or proposed for the state highway system are constructed General
efficiently and effectively in accordance with Deputy Directive 23-R1, “Roles and
Responsibilities for Development of Projects on the State Highway System.” The
directive requires local agencies to conform to Caltrans standards and practices as
defined in policies, procedures, manuals, and guidance documents.
The implementing agency is that entity charged with successful completion of each
project component as defined in California Government Code, Section 14529 (b) of
which one component is construction, construction management, and engineering,
including surveys and inspection. To establish clear lines of responsibility, contract
advertisement, award, and administration shall be completed by the same
implementing agency.
Work in partnership with the local agency by committing to fulfill all Caltrans
promises as established by Director’s Policy DP-10, “Department Commitments.”
These commitments will have been agreed to in the cooperative agreement and the
encroachment permit.
Obtain a copy of the cooperative agreement and encroachment permit before work
begins. Comply with the terms of both agreements or jointly amend them as necessary.
Perform quality management work in accordance with Deputy Directive 90, “Funding
of Quality Management Work on State Highway Projects,” that outlines how quality
management work will be performed for state highway system projects. That directive
requires the implementing agency, other than Caltrans, to develop a quality control
plan for construction administration.
The local agency must obtain an encroachment permit and use Caltrans approved plans
and specifications before performing any construction administration or work on the
state highway system. The local agency will provide the resident engineer and
construction engineering team. Caltrans will provide independent quality assurance
(IQA) and oversight of construction.
The Construction Manual Supplement for Local Agency Resident Engineers and the
Local Agency Structure Representative Guidelines provide guidance to the
implementing agency when it administers a construction project that modifies,
maintains, or improves the state highway system. District construction and Structure
Construction oversight resident engineers should provide copies of these guidelines to
the implementing agency at the project development team meeting where the
construction phase cooperative agreement is discussed and at the preconstruction

California Department of Transportation  Construction Manual  July 2017

Projects Administered by a Local Agency on the State Highway System 9-2.1
 meeting where roles, responsibilities, and procedures are discussed. The local agency is
expected to conform to these guidelines.

9-202 9-202 Quality

Quality When Caltrans is the implementing agency for construction administration, quality
assurance consists of quality control, department acceptance, and IQA activities
described in the contract, structure construction technical manuals, the Construction
Quality Assurance Program manual and this manual.
When a government agency or private entity is the implementing agency, it is
responsible for implementing quality control and quality assurance procedures for the
project that comply with Caltrans policies, procedures, standards and best practices
such that the local agency’s:
1. Contractor is responsible for quality control that consists of operational techniques
and activities that are performed or conducted to fulfill contract requirements for
quality.
2. Resident engineer is responsible for quality assurance that consists of planned and
systematic actions necessary to provide confidence that product or service quality
will satisfy the contract requirements as detailed in the Construction Manual
Supplement for Local Agency Resident Engineers.
3. Structure representative is responsible for providing quality assurance as detailed
in the Local Agency Structure Representative Guidelines.
The Construction Manual Supplement for Local Agency Resident Engineers and the
Local Agency Structure Representative Guidelines are used by government agencies
and private entities to prepare their quality management plan and to administrate the
construction contract. A recommended local agency quality management plan outline
is provided in the Oversight Resident Engineer Guidelines:
http://www.dot.ca.gov/hq/construc/publicationlist.htm
Caltrans district construction, with input from Structure Construction for projects
involving structures, must approve the quality management plan before the
encroachment permit for construction is issued.
Caltrans oversees construction administration of the project administered by local
agencies for compliance with state and federal regulations and laws, and Caltrans
standards. This IQA means Caltrans provides policy and procedural oversight to non-
Caltrans organizations, personnel, or companies administering construction contracts
on projects under encroachment permit on the state highway system. Caltrans provides
direction for similar organizations and personnel for projects that will become a part of
the state highway system.
The Division of Construction’s Oversight Resident Engineer Guidelines provides
policy and procedures related to the duties of Caltrans construction IQA personnel on
local agency-administered construction projects. These guidelines are to be used as a
resource for Caltrans employees who provide IQA on projects administered by others
on the existing or future state highway system. The Oversight Resident Engineer
Guidelines should not be used as a substitute for the encroachment permit or the
cooperative agreement.

California Department of Transportation  Construction Manual  July 2017

9-2.2 Projects Administered by a Local Agency on the State Highway System
9-203 Reimbursement 9-203
When the implementing agency is a private entity, Caltrans performs IQA services at Reimbursement
the private entity’s expense. When another government agency is the implementing
agency, Caltrans IQA services are typically provided at state expense. Reimbursement
of Caltrans activities would be documented in a cooperative agreement prior to start of
construction. Quality assurance and quality control activities are the responsibility of
the implementing agency, and Caltrans will not perform these activities as reimbursed
work.
9-204 Source Inspection 9-204
The local agency provides source inspection on projects they administer. Source Inspection
The local agency is required to prepare a Source Inspection Quality Management Plan
(SIQMP). Prior to issuance of the encroachment permit for construction, the SIQMP
must be approved by the state materials engineer.
The recommended SIQMP Outline was introduced with the “Materials Engineering
and Testing Services Source Inspection Quality Management Plan Outline”
memorandum dated April 20, 2012, from the Division of Engineering Services,
Deputy Division Chief for Materials Engineering and Testing Services (METS).
METS developed the SIQMP Outline to help local agencies manage their source
inspection efforts when administering construction projects within the state highway
system. The outline is provided in the Oversight Resident Engineer Guidelines:
http://www.dot.ca.gov/hq/construc/publicationlist.htm
9-205 Project Review 9-205
Caltrans, the local agency, and the contractor review a locally-administered state Project Review
highway construction project prior to Caltrans’ acceptance of the work.
Prior to this review, Caltrans oversight personnel perform a separate review and
coordinate Caltrans safety and maintenance reviews of the local agency project at 90
percent complete.
Before acceptance of the work, Caltrans oversight personnel discuss the findings of the
independent review, safety review, and maintenance review with the local agency.
The local agency must submit all required contract, technical, and administrative
documents, including change orders and project history file, before Caltrans accepts the
work.
Caltrans oversight personnel must use Form OFG-6, “Final Acceptance Checklist for
Caltrans Oversight Projects,” to facilitate the review and acceptance by Caltrans of
local agency or private entity-administered construction projects on the state highway
system.

California Department of Transportation  Construction Manual  July 2017

Projects Administered by a Local Agency on the State Highway System 9-2.3
 Index

A
Abbreviations..................................................................................................................... 3-1.1, 4-12.10
AC, see Asphalt concrete
A
Acceptance of contract, see Contract acceptance
Acceptance of materials, see Department acceptance
Acceptance records ........................................................................................................................ 6-1.12
Acceptance sampling and testing requirements tables ..................................................................6-1.3
Acceptance tests ...............................................................................................................................3-6.6,
3-9.19, 4-39.9, 4-39.15, thru 4-39.40, 4-40.7, 4-72.2,4-90.12, 4-92.5, 4-92.6, 5-1.10,
5-1.29, 5-1.39, 5-1.40, 5-1.78, 5-1.31, 6-1.3, 6-1.5 thru 6-1.9, 6-1.13, 6-1.14, 6-1.49, 6-2.9
Acceptance testing and evaluation, hot mix asphalt ................................................................. 4-39.35
Access to the work ......................................................................................................2-1.7, 3-5.1, 3-8.5
Additives
anitistrip ........................................................... 4-39.3, 4-39.4, 4-39.8, 4-39.10, 4-39.18, 4-39.20
chemical, in water ..................................................................................................... 4-10.2, 4-37.1
hot mix asphalt ....................................................................................................................... 4-39.1
set-control.................................................................................................................4-37-1, 4-37.23
slurry seal and micro-surfacing ............................................................................................ 4-37.1
soil.............................................................................................................................................4.24.1
UV resistant ............................................................................................................................ 6-2.26
warm mix asphalt .........................................................................4-39.1, 4-39.4, 4-39.15, 4-3.26,
Adhesive ....................................................................................................................................... 4-12.16,
4-37.10, 4-41.2, 4-41.7, 4-51.4, 4-73.3, 4-81.1 thru 4-81.4, 4-95.1, 6-2.20, 6-2.24, 6-2.26
Adjustment in compensation.................................................................... 5-1.35, 5-1.39, 5-1.79, 5-3.8
Adjustment of overhead costs .......................................... 3-9.31, 3-9.30, 5-3.6, 5-3.7, 5-3.15, 5-3.31
Administration .....................1-0.1, 4-39.34, 4-40.18, 5-0.9, 5-1.1, 5-1.41, 5-5.1, 8-2.3, 9-1.1, 9-2.1
Aerially deposited lead .............................................. 3-5.10, 5-1.2, 5-1.3, 7-1.21, 7-1.24 thru 7-1.29
Aggregate bases ........................ 3-5.19, 4-19.15, 4-26.1, thru 4-26.4, 4-96.1, 5-1.28, 5-1.30, 6-1.21
Aggregate subbases ............................ 4-19.10, 4-19.14, 4-19.15, 4-25.1 thru 4-25.4, 5-1.28, 6-1.20
Agreements .................................................................................................................................................
1-1.5, 2-2.13, 3-5.32, 3-5.40, 3-8.4, 3-8.7, 5-0.1, 5-0.6, 5-1.38, 5-1.39, 5-3.6, 5-3.10
aerially deposited lead (ADL) ....................................................... 5-1.26, 7-1.21, 7-1.26, 7-1.27
apprenticeship ................................................................................................. 8-1.6, 8-1.17, 8-1.18
borrow ........................................................................................................... 5-1.24, 5-1.25, 5-1.77
California Department of Fish and Wildlife .......................................................... 7-1.19, 7-1.21
claim settlement...................................................................................................................... 5-4.14
collective bargaining ........................................................................................ 1-3.1, 8-1.6, 8-1.15
confirmation of verbal, emergency force account highway projects ......... 5-1.44, 5-5.2, 5-5.4
contractor-property owner.................................................................... 3-5.10 thru 3-5.15, 7-1.26
cooperative ................................................................... 4-15.1, 5-1.24, 5-2.4, 5-3.18, 9-1.2, 9-2.1
Disputes Review Board ......................................................................................................... 5-1.37
environmental ............................................................ 4-19.2, 4-19.10, 5-0.3, 5-0.5, 5-3.22, 7-1.1
estimates, payment ...............3-9.26, 3-9.28, 3-9.33, 4-18.2, 5-2.4, 5-3.8, 5-3.9, 5-3.20, 5-3.26
Forest Service ............................................................................................................ 5-1.25, 5-1.77
freeway .......................................................................................................................................5-0.1
lease ............................................................................................................................................1-4.2

California Department of Transportation  Construction Manual  July 2017

Index I-1
 Index

Agreements (continued):
local agency ............................................................................................................................ 5-3.25
Maintenance ........................................................................................................................... 4-73.1
materials .................................................................................................................................. 3-9.34
railroad, right-of-way, with property owners ..................................................................................
3-5.21, 3-6.2, 3-7.6, 3-7.7, 4-17.1, 4-17.2, 4-19.1, 4-19.6, 4-80-1
4-80.2, 5-0.1, 5-1.25, 5-1.26, 5-1.77, 5-3.3, 5-3.18, 5-3.21, 7-1.9 thru 7-1.11, 7-1.21
stewardship and oversight ...................................................................... 5-0.9, 5-3.22 thru 5-3.24
takeover, tender-and-release ................................................................................................. 3-8.14
tentative ...........................................................................................................................3-9.7, 3-9.8
utility, service........................................... 4-87.1, 5-1.22, 5-1.24, 5-1.25, 5-1.38, 5-1.41, 5-1.77
Air entrainment .........................................................................4-40.2, 4-40.3, 4-40.10, 4-90.2, 6-1.39
Air pollution control ........................................ 4-17.2, 4-84.1, 7-1.11, 7-1.21, 7-1.22, 7-1.27, 7-1.29
Alternative dispute resolution processes ........................................................................... 3-5.36, 5-4.3
Antistrip treatment of aggregates and hot mix asphalt ............................................................. 4-39.18
Appearance, job site ....................................................................................................................... 3-5.19
Apprentices .......................................................................... 8-1.6, 8-1.17, 8-1.18, 8-1.22, 8-2.3, 8-2.4
Approach slabs ................................................ 4-36.3, 4-42.3, 4-51.1, 4-51.4, 4-60.2, 4-84.3, 4-90.4
Arbitration ................3-5-28, 3-5.37, 3-5.40, 3-5.44, 3-8.14, 3-9.21, 3-9.35, 5-3.14, 5-3.19, 5-3.23,
5-3.29, 5-4.1, 5-4.3, 5-4.9 thru 5-4.14, 5-4.17, 5-4.18, 5-4.21, 5-4.25, 5-4.27, 5-4.30, 5-4.55
Areas for use ................................................................................................................................... 3-5.19
Areas of localized roughness .................4-36.4, 4-39.31, 4-39.32, 4-39.35, 4-39.41, 6-1.37, 6-1.39
Asbestos sheet packing .................................................................................................................. 6-2.23
Asphalt
hot mix........................................................2-2.13, 3-6.5, 3-8.10, 3-9.14, 4-28.3, 4-28.4, 4-29.1,
4-36.2, 4-36.4, 4-37.2, 4-39.1 thru 4-39.42, 4-41.1, 4-41.5, 4-41.9, 4-61.3, 4-92.1 thru
4-92.7, 4-94.2, 4-92.3, 4-95.1, 5-1.9 thru 5-1.11, 5-1.28 thru 5-1.31, 5-1.33, 5-1.38, 5-1.40,
5-1.78, 5-3.7, 6-1.2, 6-1.7, 6-1.10, 6-1.13, 6-1.34 thru 6-1.36, 6-2.4, 6-2.6, 6-3.6, 7-1.36
membrane waterproofing ...................................................................................................... 4-54.1
performance grade ....................................................................................... 4-36.5, 4-92.1, 7-1.36
rubberized .. 4-39.1, 4-39.5, 4-36.6, 4-39.25, 4-39.33, 4-39.42, 4-92.1, 6-1.35, 6-1.36, 7-1.36
warm mix ...................................................................................................... 4-36.2, 4-39.1, 6-2.21
Asphalt rubber binder ............................................................................................... 4-37.1 thru 4-37.3,
4-39.4, 4-39.14, 4-39.17, 4-39.23, 4-92.1, 5-1.30, 6-1.7, 6-1.28, 6-1.29, 6-1.33
Asphalt rubber latex joint filler ..................................................................................................... 6-2.31
Asphalt treated permeable base ................................................4-29.2, 4-92.1, 5-1.28, 6-1.25, 6-1.26
Asphaltic emulsion, polymer-modified ...................................................................................................
4-37.1, 4-37.2, 4-37.8, 4-37.9, 4-37.12, 4-37.13, 4-94.1, 4-94.2, 6-1.28
Asphaltic emulsions ..................................................................4-27.4, 4-28.4, 4-30.1, 4-37.1, 4-37.2,
4-37.5 thru 4-37.23, 4-39.26, 4-39.41, 4-94.1 thru 4-94.4, 6-1.11, 6-1.19, 6-1.28, 6-1.37, 6-2.23
Asphalts ............................................................................................................... 4-39.1, 4-39.11, 4-92.1
Assignment ....................................................... 1-1.5, 1-1.6, 1-2.1, 1-3.1, 1-3.2, 2-1.1, 2-2.23, 3-5.2,
3-5.3, 3-6.1, 4-0.3, 4-12-14,4-39.2, 5-0.3, 5-1.1, 5-1.2, 5-1.11, 5-1.44, 6-2.5, 6-2.6, 6-2.8, 7-1.13
Audits.......................................................................................................2-1.2 thru 2-1.6, 2-1.9, 2-2.10,
3-5.4, 3-5.18, 3-8-17, 3-9.2, 3-9.7, 3-9-17,4-49.2, 4-64.1, 4-90.14, 5-1.8, 5-1.9, 5-1.52, 5-1.63,
5-1.75, 5-3.6, 5-3.9, 5-3.27, 5-3.31, 5-4.6, 5-4.14 thru 5-4.17, 6-2.2, 6-2.6, 6-2.12, 6-2.27, 8-2.2

California Department of Transportation  Construction Manual  July 2017

I-2 Index
 Index
Authority of engineer .................................................................................. 3-5.1, 3-5.9, 3-5.30, 7-1.12
Automotive equipment .....................................................................................................................1-4.3
Award and execution of contract .....................................................................................................3-3.1

B
Backflow preventers, irrigation systems ................................................... 3-8.9, 4-20.14 thru 4-20.16
Bars, raised (precast) ...................................................................................................................... 6-1.50
B
Barbed wire .............................................................................................. 4-80.1, 4-80.2, 6-1.48, 6-2.23
Barricades ....................................................................................................................................................
3-5.23, 3-7.3, 4-12.1, 4-12.2, 4-12.6, 4-12.7, 4-12.13, 4-12.14, 4-12.17, 4-87.2, 5-1.33, 6-2.21
Barriers, railings and ..................................................................................... 4-12.1, 4-83.1 thru 4-83.7
Basement soil ........................................................................................... 5-1.28, 5-1.38, 5-1.39, 5-1.78
Bases
aggregate ......................................... 3-5.19, 4-19.15, 4-26.1 thru 4-26.4, 5-1.28, 5-1.30, 6-1.21
asphalt treated permeable ..................................................4-29.2, 4-92.1, 5-1.28, 6-1.25, 6-1.26
cement treated.....................................................................................................................................
3-8.10, 4-27.1 thru 4-27.5, 4-40.4, 4-94.1, 5-1.28, 6-1.22, 6-1.23, 6-3.3, 6-3.4
cement-treated permeable .............................................................. 4-29.2, 4-94.1, 5-1.28, 6-1.26
concrete ............................................................. 3-5.25, 4-20.2, 4-28.1 thru 4-28.5, 6-1.5, 6-1.24
lean concrete .................................................................................... 4-28.1, 4-40.4, 4-41.1, 6-1.24
rapid strength concrete................................................................................................ 6-1.5, 6-1.24
Batch plants ................................................................................................ 4-28.1, 4-39.24, 4-4.1, 6-3.6
Bearing devices, structures ............................................................................................................ 4-51.3
Beginning of work.................................................................................3-8.1, 3-8.3, 3-8.4, 3-8.5, 5-5.2
Bid openings ................................................................................3-2.1 thru 3-2.3, 3-4.3, 3-5.5, 4-37.8,
4-37.13, 4-37.17, 4-37.20, 4-37.23, 4-92.7, 5-0.3, 5-1.23, 5-1.43, 5-1.44, 5-1.58, 5-1.71, 5-4.22
Bids .....................................3-2.1, 3-5.5, 3-5.36, 3-8.10, 3-8.15, 5-0.3, 5-1.23, 5-1.71, 5-3.9, 8-1.21
Bitumen ratio ..................................................................................................4-37.11, 4-37.15, 4-37.22
Bituminous adhesive, pavement markers ................................................................ 4-81.1 thru 4-81.3
Bituminous: binder, material, coatings ....................................................................................................
4-37.1, 4-37.3 thru 4-37.7, 4-67.1, 4-67.2, 4-81.1, 4-94.1, 4-94.2
Blasting .........................................................2-1.1, 2-1.3, 2-2.13, 4-19.1 thru 4-19.4, 4-19.9, 4-19.15
Board of Review............................................................................................................................. 5-3.19
5-4.6 thru 5-4.10, 5-4.13, 5-4.19 thru 5-4.21, 5-4.23 thru 5-4.25, 5-4.27
Board of Review report ............................................. 5-4.7, 5-4.9, 5-4.19 thru 5-4.21, 5-4.24, 5-4.25
Bolted connections ............................................................................................... 4-56.3, 6-2.16, 6-2.18
Borrow
excavation ....................................................................................4-19.1, 4-19.6, 4-19.14, 4-19.17
imported ...................................................................3-6.2, 4-19.6, 4-19.10, 6-1.11, 7-1.9, 8-1.13
local............................................................................................................................. 3-6.3, 4-19.10
Brick................................................................................................................................................. 6-2.23
Bridge deck ...................................................... 4-16.2, 4-48.1, 4-51.1, 4-60.1, 4-60.2, 4-90.4, 8-1.15
Bridge removal .................................................................................................................. 4-60.2, 4-60.3
Bridge railing ........................................................................................... 4-83.3, 4-83.5, 5-3.17, 6-2.17
Budget, budgeting ............................1-1.2, 1-1.3, 1-3.3, 3-8.2, 3-8.4, 5-0.9, 5-2.1 thru 5-2.3, 5-4.18

California Department of Transportation  Construction Manual  July 2017

Index I-3
 Index

Buy America requirements ................................................................... 3-6.3, 3-6.4, 4-39.23, 4-39.39,

4-52.1, 4-56.1, 4-56.2, 4-75.1, 4-86.2, 5-0.4, 5-0.9, 5-0.10, 5-3.23, 5-3.24, 6-2.2, 6-2.3, 6-3.2

C C
Cable railing .................................................................................................................................... 4-83.5
Calibration program for equipment .................................................................................................6-3.2
California Manual on Uniform Traffic Control Devices (California MUTCD) ................................
...........................................................1-3.3, 2-2.1, 2-2.21, 4-12.1, 4-81.1, 4-82.2, 4-86.2, 4-87.1
California test methods ..................................................................................................... 3-6.6, 4-39.42
California test number:
105 ................................................................................................................. 6-1.22, 6-1.30, 6-1.32
109 ..............................................................................................................................................6-1.1
110 ..............................................................................................................................................6-3.3
115 ..............................................................................................................................................6-3.3
121 ...................................................................................................................................1-4.3, 6-3.5
125 ............... 4-39.2, 4-39.5, 4-39.9, 4-39.14, 4-39.18 thru 4-39.20, 4-39.22, 4-39.28, 4-90.2,
4-90.6, 4-90.8, 4-92.2 thru 4-92.4, 6-1.1, 6-1.3, 6-1.17, 6-1.19 thru 6-1.21, 6-1.23,
6-1.24, 6-1.26, 6-1.27, 6-1.31, 6-1.37, 6-1.39 thru 6-1.41, 6-1.47, 6-2.31, 6-2-32
202 ..................................................................................... 6-1.15 thru 6-1.18, 6-1.20 thru 6-1.22,
6-1.25, 6-1.29 thru 6-1.31, 6-1.42, 6-1.43, 6-1.47, 6-1.49, 6-3.3, 6-3.4
204 ............................................................................................................... 4-39.8, 4-39.10, 6-1.16
205 .................................................................................................... 6-1.17, 6-1.25, 6-1.30, 6-1.49
206 .............................................................................................................................. 6-1.43, 6-1.50
207 ........................................................................................................................................... 6-1.43
208 ........................................................................................................................................... 6-1.33
211 .................................................................................................... 6-1.25, 6-1.29, 6-1.30, 6-1.42
212 ........................................................................................................................................... 6-1.17
213 ........................................................................................................................................... 6-1.42
214 .............................................................................................................................. 6-1.25, 6-1.43
216 ...................................................................6-1.15, 6-1.16, 6-1.19 thru 6-1.21, 6-1.23, 6-1.27
217 ......................................................6-1.15, 6-1.17, 6-1.20 thru 6-1.22, 6-1.30, 6-1.31, 6-1.42
223 ............................................................................................................................ 4-90.8, 4-90.14
226 ................................................................................................................. 6-1.18, 6-1.21, 6-1.23
227 .................................................................................................... 6-1.25, 6-1.26, 6-1.29, 6-1.42
229 ..........................................................................6-1.17, 6-1.21, 6-1.30, 6-1.42, 6-1.49, 6-1.50
231 ................................4-25.3, 4-26.3, 6-1.15, 6-1.16, 6-1.19 thru 6-1.23, 6-1.27, 6-3.5, 6-3.6
301 ............................................................................................. 6-1.15, 6-1.16, 6-1.20 thru 6-1.22
302 ................................................................................................................. 6-1.25, 6-1.29, 6-1.30
312 ................................................................................................................... 6-1.22, 6-1.23, 6-3.4
338 ................................................................................................................... 4-27.2, 6-1.23, 6-3.4
339 ........................................................................................................................................... 6-1.37
342 ..................................................................................................4-40.10, 4-42.3, 6-1.39, 6-1.40
368 ........................................................................................................................................... 4-39.5
373 ........................................................................................................................................... 6-1.18
375 ............................................................................................................... 4-39.30, 6-1.36, 6-1.38

California Department of Transportation  Construction Manual  July 2017

I-4 Index
 Index
California test number (continued):
382 ........................................................................................................................................... 6-1.25
401 ........................................................................................................................................... 4-94.2
406 ........................................................................................................................................... 6-2.33
415 .............................................................................................................................. 6-1.44, 6-1.46
417 ........................................................................................................................................... 6-1.26
422 ................................................................................................................. 6-1.22, 6-1.26, 6-1.44
504 .................................................................4-90.2, 4-90.9, 6-1.39, 6-1.45, 6-1.47, 6-3.3, 6-3.4
518 ......................................................................................... 4-90.2, 4-90.9, 6-1.45, 6-1.47, 6-3.4
521 ......................................................................................... 4-90.2, 6-1.24, 6-1.45, 6-1.47, 6-3.5
523 .................................................................................................... 4-40.6, 4-90.2, 6-1.24, 6-1.39
524 .................................................................................................... 4-41.8, 4-90.2, 6-1.24, 6-1.40
529 .............................................................................................................4-90.10, 4-90.11, 6-1.45
531 ............................................................................................................... 4-40.13, 6-1.27, 6-1.39
533 .................................................................4-90.2, 4-90.9 thru 4-90.11, 4-90.14, 6-1.45, 6-3.4
535 ........................................................................................................................................... 4-40.9
539 .................................................................................................................... 4-90.2,6-1.47, 6-3.4
540 .............................................................................. 4-90.2, 6-1.12, 6-1.45, 6-1.47, 6-3.4, 6-3.5
541 .............................................................................................................................. 4-41.4, 6-1.49
543 ..............................................................................................................................................6-3.4
643 ........................................................................................................................................... 6-1.16
Carpobrotus cuttings ...................................................................................................................... 4-20.5
Cash expenditure voucher ............................................................................................................. 5-1.21
Cast-in-place
concrete pipe ..............................................................................................................................3-8.9
concrete ...............................................................................4-49.1, 4-49.2, 4-50.1, 4-50.2, 4-52.2
Cement mortar ................................................................................................................................ 4-65.2
Cement treated
permeable base ............................................................................................. 4-29.2, 4-94.1, 5-1.28
permeable material....................................................................................... 4-68.2, 4-68.4, 4-68.5
Cement treated bases..................................................................................................................................
3-8.10, 4-27.1 thru 4-27.5, 4-40.4, 4-94.1, 5-1.28, 6-1.22, 6-1.23, 6-3.3, 6-3.4
Certificate of environmental compliance.......................................................................... 7-1.1, 7-1.39
Certification of samplers and testers ...............................................................................................6-1.1
Certification program for suppliers of asphalt.........................................................................................
4-39.4, 4-39.39, 4-39.32, 4-92.2 thru 4-92.4, 4-92.6, 6-2.23, 6-2.31
Certifications ..................................................................................................................... 3-5.10, 4-36.2,
4-36.6, 4-39.31, 4-40.3, 4-90.2, 5-1.31, 6-2.28, 7-1.2, 7-1.6, 7-1.18 thru 7-1.23, 7-1.31, 7-1.33
Chain link fence .................................................................................................... 4-80.1, 4-80.2, 6-1.48
Chain link railing ............................................................................................................................ 4-83.5
Changeable message signs, portable .............................................. 4-12.3, 4-12.10, 4-12.16, 4-12.18
Change order .............................................................................................................. 3-5.33 thru 3-5.35,
3-8.5, 5-1.12, 5-1.13, 5-1.35, 5-1.52, 5-1.55, 5-1.79, 5-3.1 thru 5-3.34
Change order billing....................................................................... 3-9.8, 5-1.13, 5-1.59, 5-1.63, 8-1.9
Change order memorandum .................................................................. 5-1.13, 5-3.25, 5-4.28, 5-4.31
Change order category code............................................................................................. 5-1.73, 5-3.13

California Department of Transportation  Construction Manual  July 2017

Index I-5
 Index

Change order requirements for FHWA ....................................................................................... 5-3.22

Channelizers............................... 4-12.1, 4-12.2, 4-12.6, 4-12.7, 4-12.5 thru 4-12.17, 6-2.20, 6-2.21
Character of workers .........................................................................................................................3-5.9
Chip seals ........................................................................................2-2.14, 4-37.1 thru 4-37.10, 6-1.29
Claims .......................................3-5.28, 3-5.29 thru 3-5.42, 5-1.15, 5-1.37, 5-3.19, 5-4.1 thru 5-4.31
Minor B contracts................................................................................................................... 5-4.12
overhead ................................................................................................... 5-4.5, 5-4.14 thru 5-4.16
payments ....................................................................................................................3-9.21, 5-4-14
resolution process ................................................................................ 5-4.4, 5-4.9, 5-4.10, 5-4.26
settlements............................................................................................................................... 5-4.13
Cleanup..................................................................2-2.7, 3-4.7, 4-22.1, 4-37.6, 4-75.2, 7-1.36, 7-1.38
Cleanup, final ..................................................................................................................... 4-22.1, 4-75.2
Clearance and bridge permit rating changes ..................................................................................3-7.4
Clearing and grubbing ........4-17.1 thru 4-17.3, 4-22.1, 4-80.1, 5-1.33, 5-3.21, 7-1.3, 7-1.4, 7-1.29
Clear recovery zone.............................................................................. 2-2.5 thru 2-2.7, 2-2.10, 4-83.2
Coating tests .......................................................................................................................................6-1.9
Compaction ................................................................................................................................... 4-19.12
4-19.13, 4-39.29, 4-39.41, 5-1.10, 6-1.5, 5-1.15, 6-1.16, 6-1.18 thru 6-1.23, 6-1.27, 6-3.3, 6-3.5
determination by cores ........................................................................................................ 4-39.30
Compliance, Certificates of ......................................... 3-6.1, 3-6.3, 3-6.4, 3-9.21, 6-2.22 thru 6-2.31
Compressive strength samples and tests .................................... 4-53.3, 4-90.13, 5-1.18, 6-3.4, 6-3.5
Concrete
curbs and sidewalks ........................................................................................... 4-73.1 thru 4-73.5
lightweight ............................................................................................................................ 4-90.16
minor ..............................................................................................4-90.12, 6-1.47, 6-2.24, 7-1.36
pavement, portland cement ......................................................................... 3-9.19, 5-1.29, 5-1.30
precast...................... 4-50.2, 4-58.1, 4-70.1, 4-70.2, 4-90.14 thru 4-90.16, 6-2.3, 6-2.6, 6-2.28
railing....................................................................................................................................... 4-83.6
rapid strength ............... 4-41.3, 4-41.7, 4-90.13, 4-90.14, 6-1.5, 6-1.13, 6-1.24, 6-1.40, 6-2.28
recycled ................................................................................................................................... 4-90.1
removal...................................................................................... 4-15.1, 4-41.5 thru 4-41.7, 4-60.2
repair ........................................................................................................................................ 4-41.2
retaining walls.................................................................................. 4-51.1, 4-80.1, 4-83.3, 4-96.1
self-consolidating ..................................................................................................4-90.15, 4-90.16
structures ..................................................................................... 4-51.1 thru 4-51.5, 6-1.7, 6-1.41
Concrete backfill for pipe trenches ............................................................................................... 4-61.2
Concrete barriers................................................................................................... 3-5.25, 4-83.3, 4-83.6
Concrete pavement.....................................................................................................................................
Continuously reinforced ......................................................4-40.3 thru 4-40.5, 4-40.10, 4-40.13
Jointed plain ............................................... 4-40.1 thru 4-40.5, 4-40.7, 4-40.9, 4-40.10, 4-40.19
Concrete structures ..................................................................................................... 4-51.1 thru 4-51.5
Cones, traffic .............................................. 4-12.1, 4-12.2, 4-12.6, 4-12.7, 4-12.10, 4-12.16, 4-12.17
Construction area signs ....................................................................................................... 3-8.2, 4-12.1
4-12.2, 4-12.4, 4-12.7, 4-12.8, 4-12.12, 4-12.16, 4-12.17, 4-12.18, 4-20.10, 5-3.18, 6-2.21
Contingency plan......................................................................................... 2-2.13 thru 2-2.15, 4-12.11
Continuous mixing plants................................................................................................. 4-39.24, 6-3.6

California Department of Transportation  Construction Manual  July 2017

I-6 Index
 Index
Contract acceptance, see Acceptance of contract
Contract award and execution..........................................................................................................3-3.1
Control of
materials ...................................................................................................................3-6.1 thru 3-6.7
work ........................................................................................................................3-5.1 thru 3-5.45
Controlling operation ......................................................3-5.33, 3-5.34, 4-20.8, 5-0.6, 5-4.14, 5-4.22
Coordination with other entities................................................................................ 3-5.10 thru 3-5.17
Copeland Act .................................................................................................................................. 8-1.20
Corrugated metal pipe................................................................................................ 4-66.1 thru 4-66.2
Cost reduction incentive, see Value engineering
COZEEP (Construction Zone Enhanced Enforcement Program) ........................................................
2-2.5, 2-2.15, 5-1.6, 5-1.7, 5-1.26, 5-1.38, 5-1.40
Critical path method ............................................................ 3-8.1, 5-0.5, 5-1.27, 5-4.16, 5-4.19, 7-1.2
Crumb rubber modifier ..............................................................................................................................
4-37.5, 4-39.1, 4-39.14, 4-39.23, 4-39.39, 4-92.2, 5-1.30, 6-1.7, 6-1.28, 6-1.33, 6-2.24, 7-1.36
Culverts....... 3-5.27, 4-19.4, 4-19.11, 4-19.12, 4-19.17, 4-22.1, 4-36.3, 4-61.1 thru 4-61.3, 4-64.2,
4-65.1 thru 4-65.3, 4-66.2, 4-68.1, 4-71.1 thru 4-71.3, 5-1.80, 5-3.17, 6-2.14, 6-2.25, 6-2.28
box .............................................................................................................................. 4-51.1, 6-2.28
concrete ...................................................................................................................... 4-51.1, 4-61.1
alternative slotted pipe .............................................................................................. 4-61.1, 4-61.2
temporary ................................................................................................................... 4-61.1, 4-61.2
steel pipe............................................................................................................................... 4-19.12,
structural plate culverts ............................................................ 4-61.1, 4-67.1 thru 4-67.3, 6-2.29
Curb ramps (wheelchair ramps) ..................................................... 4-73.1 thru 4-73.5, 4-87.5, 5-1.10
Curbs and sidewalks............................................................ 4-73.1 thru 4-73.5, 4-87.5, 5-1.10, 5-1.33
Curing compound.......................................................................................................................................
3-8.10, 4-28.2, 4-28.4, 4-40.6, 4-40.9, 4-53.2, 4-90.7, 6-1.46, 6-1.47, 6-2.16, 6-2.24, 7-1.12

D
Daily extra work ............................................................................................................................ 5-1.33,
5-1.36, 5-1.41, 5-1.47, 5-1.52, 5-1.55, 5-1.57, 5-1.59, 5-1.61, 5-1.63, 5-1.6, 5-1.74, 8-1.2
D
Damage, responsibility for ............................................................................................... 3-5.25, 3-5.26
Damages, liquidated............................................................................................ 3-5.29, 3-8.11, 3-8.12,
3-8.15, 3-8.16, 3-9.26, 3-9.28, 4-20.11, 5-1.36, 5-1.66, 5-1.68, 5-3.17, 5-4.14, 5-4.31, 8-1.21
Dampproofing................................................................................................................................. 4-54.1
Davis Bacon Act............................................................................................................................. 8-1.20
DBE (see Disadvantaged Business Enterprises)
Decreased quantities, increased or............................................................. 3-9.7, 3-9.14, 3-9.15, 5-3.6
Defective materials........................................................3-5.27, 4-82.1, 4-82.3, 4-92.5, 4-92.6, 8-1.14
Delays, right of way .......................................................................................................... 3-5.22, 5-1.63
Delegation of authority ................................................................................. 5-3.28, 5-4.28 thru 5-4.31
Delineation ........ 2-2.3 thru 2-2.5, 2-2.7, 2-2.9, 4-10.1, 4-12.6, 4-12.15, 4-12.16, 4-39.13, 4-39.33,
4-41.3, 4-41.7, 4-81.4, 4-82.1, 4-84.1, 4-87.2, 5-1.24, 5-3.17, 5-3.18, 5-3.21, 6-2.20, 6-2.21
Delineators, markers .....................................................................4-12.6, 4-12.15, 4-81.1 thru 4-81.4,
4-82.1 thru 4-82.3, 4-83.2, 4-84.3, 4-95.1, 5-1.80, 6-1.9, 6-1.49, 6-2.16, 6-2.20, 6-2.27
Department acceptance .................................................................. 3-5.1, 3-6.5, 4-39.15, 4-59.1, 9-2.2

California Department of Transportation  Construction Manual  July 2017

Index I-7
 Index

Department-furnished materials ...........................................................................................1-4.2, 3-2.3

3-6.1, 4-12.19, 4-20.13, 4-56.3, 4-81.1, 4-82.1, 4-86.2, 5-1.35, 5-1.48, 5-1.51, 5-2.1, 7-1.34
Details, shop ......................................................................................................................... 4-56.2, 6-2.3
Detours...................................................................... 2-2.1, 2-2.2, 2-2.4, 2-2.7, 2-2.10, 2-2.11, 2-2.20,
3-7.1 thru 3-7.3, 3-8.1, 4-12.3, 4-12.11, 4-39.29, 4-78.2, 4-78.3, , 5-1.24, 5-3.21, 5-5.5, 8-2.3
Differing site conditions ............................................................................................................................
3-4.2 thru 3-4.5, 3-5.30, 3-5.32, 3-5.33, 3-9.17, 4-84.4, 5-3.17, 5-3.19, 5-4.16, 6-1.15
Disabled Veteran Business Enterprises (DVBE)....................................................................................
3-5.4 thru 3-5.8, 3-9.27, 5-1.7, 5-1.27, 5-1.78, 8-1.2, 8-3.1 thru 8-3.14
Disadvantaged Business Enterprises (DBE) ...........................................................................................
3-5.4 thru 3-5.8, 3-9.27, 3-9.28, 5-1.7, 5-1.8, 5-1.27, 5-1.78, 8-1.2, 8-3.1 thru 8-3.14
Disposal of material outside the highway right-of-way ............................................................. 3-5.17
Disposal, staging and borrow sites (DSB) ..................................................................7-1.8 thru 7-1.11
Dispute process for acceptance tests .......................................................................................... 4-39.16
Dispute Resolution Board (DRB)............................................................................. 3-5.36 thru 3-5.41
Disputes .................. 2-2.20, 3-4.5, 3-5.29, 2-2.20, 3-4.5, 3-5.29, 3-5.31, 3-5.32, 3-5.36 thru 3-5.42
3-9.30, 5-0.6, 5-1.15, 5-1.16, 5-1.24, 5-1.37, 5-1.79, 5-2.1, 5-3.2, 5-4.1 thru 5-4.31, 9-1.2
Drain hole .............................................................................................................. 4-51.4, 4-87.5, 4-87.6
Drainage inlets ................................................................................................................... 4-51.1, 4-83.2
Drainage pumping equipment....................................................................................................... 4-74.1
Drains, overside .................................................................................................... 4-69.1, 4-69.2, 6-2.27
Drains, subsurface (edge, geocomposite systems, horizontal, underdrains)........................................
4-19.8, 4-29.1, 4-29.2, 4-68.1 thru 4-68.6, 4-96.1, 5-3.21, 6-2.30
Dry sieve analysis ..............................................................................................................................6-3.4
Dump truck rental........................................................................................................................... 3-9.13
Dust control ....................................... 4-10.2, 4-18.1, 4-18.2, 4-19.1, 4-21.4, 4-39.24, 7-1.12, 7-1.29
Dust palliative .............................................................................4-10.2, 4-18.1, 4-18.2, 7-1.11, 7-1.12
DVBE (see Disabled Veteran Business Enterprises)

E E
Earthwork .................................................................................................................. 4-19.1 thru 4-19.18
slides and slipouts................................................................................................................... 4-19.7
slope rounding ......................................................................................................... 4-19.9, 4-19.16
slopes, embankment............................................................................................................. 4-19.13
local borrow ............................................................................................................... 3-6.3, 4-19.10
Edge drains..............................................................4-29.2, 4-29.3, 4-68.1 thru 4-68.6, 4-96.1, 6-2.29
Electrical equipment and materials........................................................................... 4-86.1 thru 4-86.4
Electrical systems .................................................3-9.20, 4-86.1, 4-87.1 thru 4-87.16, 5-3.17, 7-1.29
Eliminated items ............................................................................................................................. 3-9.15
Emergency contract administration...............................................................................5-5.1 thru 5-5.5
Employee complaints........................................................................................................................8-1.2
Emulsions, asphaltic..................................................................4-27.4, 4-28.4, 4-30.1, 4-37.1, 4-37.2,
4-37.5 thru 4-37.23, 4-39.26, 4-39.41, 4-94.1 thru 4-94.4, 6-1.11, 6-1.19, 6-1.28, 6-1.37, 6-2.23
Encroachment Permit.......................................................................................................................2-2.3,
2-2.12, 2-2.13, 3-5.21, 3-5.44, 3-8.3, 5-1.24, 5-1.25, 5-1.81, 7-1.11, 7-1.21, 9-2.1 thru 9-2.3

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 Index
Engineer’s authority .................................................................................... 3-5.1, 3-5.9, 3-9.10, 7-1.12
Engineering fabrics ........................................................................................................................ 4-96.2
Entrained air ..............................................................................4-40.2, 4-40.3, 4-40.10, 4-90.2, 6-1.39
Environmental commitments record....................................................................................5-0.5, 7-1.1
Environmental compliance, certificate of ......................................................................... 7-1.1, 7-1.39
Environmental hazards and safety procedures ........................................................ 7-1.24 thru 7-1.32
Environmental Quality Act ..............................................................................................................7-1.9
Epoxy ................................................................................................................... 4-12.15, 4-95.1, 4-95.2
Equal employment opportunity ............................................................................... 3-9.27 thru 3-9.29,
5-0.4, 5-1.27, 5-1.36, 5-1.66, 5-1.78, 7-1.6, 8-1.2, 8-1.4, 8-1.11, 8-2.1 thru 8-2.7, 8-3.13
Equal Employment Opportunity is the Law Poster.......................................................................8-2.2
Equipment, plant....................................................................................................... 3-8.9, 4-74.1, 6-3.6
Equipment, pumping (and controls)................................................................................ 4-74.1, 4-74.2
Equipment rental rates ..........3-9.9 thru 3-9.12, 5-0.7, 5-1.35, 5-1.60, 5-1.61, 5-1.74, 5-3.7, 8-1.11
Erosion control............................................................................................................ 4-21.1 thru 4-21.6
Erosion control and highway planting ..................... 4-20.1, 4-20.3, 4-20.9, 4-20.11, 4-21.1, 7-1.29
Excavation........................ 2-1.3, 2-2.6, 2-2.13, 2-3.1, 3-4.1, 3-5.11 thru 3-5.13, 3-5.19 thru 3-5.22,
3-7.1 thru 3-7.3, 3-9.19, 4-19.1 thru 4-19.18, 5-3.17, 7-1.7, 7-1.8, 7-1.10, 7-1.27, 7-1.28
Execution of contract, award and ....................................................................................................3-3.1
Expansion joint armor.................................................................................................................... 4-51.3
Extra work ............................................................................. 1-1.7, 3-4.1, 3-4.2, 3-5.1, 3-5.18, 3-5.20,
3-5.24, 3-6.2, 3-8.3, 3-8.15, 3-9.1, 3-9.5 thru 3-9.8, 3-9.10 thru 3-9.13, 3-9.18, 3-.21, 3-9.29 thru
3-9.31, 3-9.38, 3-9.41, 4-12.17 thru 4-12.19, 4-19.7, 3-19.8, 4-19.11, 4-19.17, 4-20.15, 4-39.13,
4-84.4, 5-0.6, 5-0.7, 5-1.12 thru 5-1.14, 5-1.33, 5-1.36, 5-1.41 thru 5-1.43, 5-1.52, 5-1.55 thru
5-1.59, 5-1.61, 5-1.63, 5-1.66, 5-1.68, 5-1.72, 5-1.74, 5-3.1 thru 5-3.6, 5-3.8 thru 5-3.12,
5-3.26, 5-3.27, 5-3.29, 5-3.31, 5-3.33, 5-4.5, 5-4.14, 5-4.27, 5-4.30, 5-5.4, 8-1.2, 8-1.5, 8-1.14

F
Fabricated materials, acceptance of.................................................................................................6-2.1
Fabrication, out of state.....................................................................................................................3-6.5
F
Facilities, existing ............................................................................................................... 2-2.4, 2-2.22,
3-5.20, 3-5.24, 4-15.1, 4-15.2, 4-37.7, 4-37.12, 4-37.15, 4-73.1, 4-73.3, 4-81.4, 4-82.3, 4-87.2
Facility preservation ............................................................ 3-5.20 thru 3-5.23, 4-15.1, 4-78.3, 4-84.4
Fair Labor Standards Act..................................................................................................................3-7.1
False Information Act .................................................................................................................... 8-1.21
Falsework, erection or removal......... 3-5.18, 3-5.25, 3-7.2, 3-9.20, 4-48.1, 4-83.6, , 5-1.24, 6-2.29
lighting............................................................................................................. 2-2.5, 4-16.1, 4-16.2
safety............................................................................. 2-1.3, 2-2.5, 2-2.10, 2-2.14, 2-2.21, 2-3.1
Federal-aid contracts on the national highway system............................................................... 3-8.17
Federal Highway Administration involvement in contract administration ............................. 5-3.24
high-profile projects .................................................................................................. 5-1.79, 5-3.33
delegated projects ........................................................................................... 5-0.9, 5-0.10, 5-3.24
Fence, temporary ....................................................................................... 4-16.1, 4-80.1, 6-2.30, 7-1.6
Fences ............................................................................................................................................. 3-5.28,
4-16.1, 4-16.2, 4-19.5, 4-20.6, 4-20.9, 4-80.1, 4-80.2, 5-1.80, 5-3.17, 6-1.48, 7-1.3, 7-1.35

California Department of Transportation  Construction Manual  July 2017

Index I-9
 Index

Field
inspection ................................... 1-0.1, 3-5.43, 3-5.44, 3-6.1, 4-10.2, 4-37.1, 4-37.11, 4-37.15,
4-37.18, 4-37.22, 4-37.24, 4-39.40, 4-40.18, 4-90.12, 6-2.8, 6-2.9, 6-2.13, 6-2.34, 6-3.1
laboratory ...............................................................4-39.30, 5-1.31, 5-1.39, 5-1.40, 5-1.78, 6-3.2
office ....................................................................................................................................................
1-1.5, 1-1.7, 1-4.1, 1-4.2, 5-0.7, 5-1.20, 5-1.46, 5-1.75, 5-1.76, 5-4.14, 5-4.15, 5-4.31, 6-1.1
testing equipment ......................................................................................................................6-3.2
Filter fabric ..............................................................4-29.1, 4-29.2, 4-68.1 thru 4-68.5, 4-72.4, 4-96.1
Final cleanup ...................................................................................................................... 4-22.1, 4-75.2
Final inspection...................................................................... 3-5.42 thru 3-5.44, 4-74.1, 5-0.8, 7-1.16
Finishing roadway ..................................................................................... 3-4.7, 4-22.1, 4-22.2, 5-1.33
Flaggers ............ 2-2.9, 4-12.1, 4-12.6, 4-12.10, 4-12.13, 4-12.16, 4-12.17, 4-12.19, 4-19.3, 5-3.11
Flagging ................................................................................................................ 3-9.28, 3-9.30, 4-12.1,
4-12.6, 4-12.16, 4-12.17, 5-1.36, 5-1.60, 5-1.70, 5-1.72, 5-1.73, 5-3.9, 5-3.10, 5-3.17, 5-3.29
Flashing arrow signs ........................................................... 4-12.3, 4-12.9, 4-12.16, 4-12.18, 4-12.19
Flashing beacons, portable ................................................................................ 4-12.3, 4-12.9, 4-12.18
Flexible start ............................................................................................................................3-8.2, 3-8.3
Fog seal coat..................................................................................................................... 4-39.33, 4-84.3
Force account payment ....................................................... 3-9.6, 3-9.9, 3-9.29, 5-1.59, 5-1.62, 5-3.5
Foreign materials ..................................................................................... 4-29.2, 4-51.3, 4-56.2, 4-61.2
Forms
CEM-0101, Resident Engineer’s Report of Assignment ................. 3-5.2, 5-0.7, 5-1.1, 5-1.21
CEM-0501, Relief from Maintenance......................................................... 3-5.28, 5-1.1, 5-1.23
CEM-0601, Construction Safety Report .................................................................. 5-1.2, 5-1.23
CEM-0602, Project Safety Program Statement....................................................... 5-1.2, 5-1.23
CEM-0603, Major Construction Incident Notification .............................................2-3.2, 5-1.2
CEM-0606, Construction Safety Checklists ...................................... 2-1.3, 2-1.4, 5-1.2, 5-1.23
CEM-1201, Subcontracting Request ............................ 3-5.4, 3-5.6, 3-5.9, 5-1.2, 8-3.3, 8-3.10
CEM-1202A, Contractor Action Request—Change of Name/Address ......3-5.4, 3-7.5, 5-1.2
CEM-1202B, Contractor Action Request—Assignment of Contract Monies ...........................
3-5.3, 3-5.4, 5-1.2, 5-1.44
CEM-1203, Contractor Action Request—Assignment of Contract Performance .....................
3-5.3, 3-5.4, 5-1.2
CEM-1901, Burial Location of Soil Containing Aerially Deposited Lead .......... 5-1.2, 7-1.28
CEM-1902, Burial Location of Soil Containing Naturally Occurring Asbestos ...............5-1.3
CEM-1903, Burial Location of Soil Containing Aerially Deposited Lead Topographic
Survey ................................................................................................................................5-1.3
CEM-2006, Legally Responsible Person Authorization of Approved Signatory .............5-1.3
CEM 2006T, Legally Responsible Person Authorization of Approved Signatory—Lake
Tahoe Hydrologic Unit ....................................................................................................5-1.3
CEM-2008, SWPPP/WPCP Amendment Certification and Acceptance ..........................5-1.3
CEM-2009, SWPPP/WPCP Amendments Log....................................................................5-1.3
CEM-2023, Stormwater Training Record .............................................................................5-1.3
CEM-2024, Stormwater Training Log ...................................................................................5-1.3
CEM-2030, Stormwater Site Inspection Report...................................................... 5-1.3, 7-1.17

California Department of Transportation  Construction Manual  July 2017

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 Index
Forms (continued):
CEM-2031T, Daily Stormwater Site Inspection Report—Lake Tahoe Hydrologic Unit.........
5-1.3
CEM-2032, Permanent Erosion Control Establishment (PECE) Report ...........................5-1.4
CEM-2034, Monthly Stormwater Best Management Practices & Materials Inventory
Report—Optional......................................................................................................................5-1.4
CEM-2035, Stormwater Corrective Actions Summary .......................................................5-1.4
CEM-2035T, Stormwater Corrective Actions Summary—Lake Tahoe Hydrologic Unit .......
5-1.4
CEM-2045, Rain Event Action Plan ........................................................................ 5-1.4, 7-1.15
CEM-2045T, Rain Event Action Plan— Lake Tahoe Hydrologic Unit .............. 5-1.4, 7-1.15
CEM-2051, Stormwater Sampling and Analysis Log—Optional ......................................5-1.4
CEM-2052, Stormwater Sample Field Test Report/Receiving Water Monitoring Report .......
5-1.4
CEM-2058, Stormwater Meter Calibration Record—Specialty Meters ............................5-1.4
CEM-2061, Notice of Discharge Report.............................................. 5-1.4, 7-1.15 thru 7-1.17
CEM-2061T, Notice of Discharge Report—Lake Tahoe Hydrologic Unit, Stormwater
Sample Field Test Report/Receiving Water Monitoring Report ....... 5-1.5, 7-1.15 thru 7-1.17
CEM-2062, Numeric Action Level Exceedance Report......................................................5-1.5
CEM-2062T, Numeric Action Level Exceedance Report—Lake Tahoe Hydrologic Unit......
5-1.5
CEM-2063, Numeric Effluent Limitation Violation Report................................................5-1.5
CEM-2063T, Numeric Effluent Limitation Violation Report—Lake Tahoe Hydrologic
Unit .....................................................................................................................................5-1.5
CEM-2070, SWPPP/WPCP Annual Certification of Compliance .....................................5-1.5
CEM-2075, Project Stormwater Annual Report ...................................................................5-1.5
CEM-2075T, Project Stormwater Annual Report—Lake Tahoe Hydrologic Unit ..........5-1.5
CEM-20CC, Attachment CC, Water Pollution Control Best Management
Practices List .....................................................................................................................5-1.6
CEM-20DAPP, Appendix D, Notification Log ....................................................................5-1.6
CEM-20DCON, SWPPP/WPCP Attachment D, Contractor Personnel Training Record .......
5-1.6
CEM-20DSUB, SWPPP/WPCP Attachment D, Subcontractor Personnel Stormwater
Training Record ................................................................................................................5-1.6
CEM-20EE, SWPPP Attachment EE, Stormwater Sampling Locations...........................5-1.6
CEM-2101, COZEEP Daily Report ............................................... 2-2.17, 2-2.19, 5-1.6, 5-1.26
CEM-2102, COZEEP/MAZEEP Task Order ............................................ 2-2.18, 5-1.6, 5-1.26
CEM-2103, COZEEP/MAZEEP Cancellation Form ............................... 2-2.18, 5-1.7, 5-1.26
CEM-2401, Substitution Report for Disadvantaged Business Enterprise (DBE) or
Underutilized Disadvantaged Business Enterprise (UDBE) .................5-1.7, 8-3.7, 8-3.8
CEM-2402(F), Final Report—Utilization of Disadvantaged Business Enterprises (DBE),
First—Tier Subcontractors ................................................................................ 5-1.7, 5-1.27
CEM-2402(S), Final Report—Utilization of Disabled Veteran Business Enterprises
(DVBE), State Funded Projects Only ............................................................................5-1.7
CEM-2403(F), Disadvantaged Business Enterprises (DBE) Certification Status Change .......
5-1.7, 5-1.27

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 Index

Forms (continued):
CEM-2404(F), Monthly DBE/UDBE Trucking Verification ............................... 5-1.7, 5-1.27
CEM-2405, Disabled Veteran Business Enterprise (DVBE) Substitution Request to the
Department of General Services (DGS) .......................................................... 5-1.7, 8-3.10
CEM-2406, Monthly disadvantaged Business Enterprises (DBE) Payment ..............................
5-1.8, 8-3.4, 8-3.13
CEM-2501, Fringe Benefit Statement .........................................................................5-1.8, 8-1.5
CEM-2502, Contractor or Subcontractor Payroll ......................................................5-1.8, 8-1.5
CEM-2503, Statement of Compliance ........................................................................5-1.8, 8-1.5
CEM-2504, Employee Interview: Labor Compliance/EEO................................................5-1.8
CEM-2504 (Spanish), Entrevista de Empleado: Cumplimiento Laboral/IEO ...........................
5-1.8, 8-1.3, 8-1.11, 8-2.1, 8-2.2
CEM-2505, Owner-Operator Listing .......................................................... 5-1.8, 8-1.10, 8-1.14
CEM-2506, Labor Compliance—Wage Violation................................................. 5-1.8, 8-1.18
CEM-2507, Labor Violation: Case Summary ......................................................... 5-1.8, 8-1.18
CEM-2508, Contractor’s Payroll Source Document Audit Summary ................. 5-1.8, 8-1.18
CEM-2509, Checklist—Source Document Audit .................................................. 5-1.8, 8-1.18
CEM-2510, Truck Owner-Operator Certification of Ownership.......................... 5-1.9, 8-1.11
CEM-2601, Construction Progress Chart ................................................... 3-9.23, 3-9.25, 5-1.9
CEM-2701, Weekly Statement of Working Days .........................................................................
3-8.1, 3-8.2, 3-8.4 thru 3-8.6, 3-8.12, 3-9.24, 3-9.25, 4-20.10, 5-1.9, 5-1.27, 5-1.41, 5-4.14
CEM-2702, Overrun in Contract Time ....................................................... 5-1.9, 5-4.14, 5-4.31
CEM-3101, Notice of Materials to Be Used...................................................................................
3-6.1, 4-0.1, 5-0.5, 5-1.9, 5-1.28, 5-1.38, 5-1.40, 6-2.1 thru 6-2.7, 6-2.10, 6-2.11, 6-2.35
CEM-3501, Hot Mix Asphalt Production Report .....................4-39.17, 4-39.25, 5-1.9, 5-1.28
CEM-3502, Hot Mix Asphalt Placement Report ......................4-39.25, 4-39.27, 5-1.9, 5-1.28
CEM-3511, Contractor Job Mix Formula Proposal ......................................................................
4-39.3 thru 4-39.7, 4-92.3, 5-1.9, 5-1.28
CEM-3512, Contractor Hot Mix Asphalt Design Data ... 4-39.3, 4-39.6, 4-39.7, 5-1.9, 5-1.29
CEM-3513, Caltrans Hot Mix Asphalt Verification......................................................................
4-39.3 thru 4-39.7, 4-39.10, 5-1.9, 5-1.29
CEM-3514, Contractor Job Mix Formula Renewal ............................................. 4-39.7, 5-1.10
CEM-3673A, Americans with Disabilities Act (ADA) Compliance Inspection Report—
Sidewalk ......................................................................................................................... 5-1.10
CEM-3673B, Americans with Disabilities Act (ADA) Compliance Inspection Report—
Sidewalk at Driveway ................................................................................................... 5-1.10
CEM-3673C, Curb Ramp (Case A) Americans with Disabilities Act (ADA) Compliance
Inspection Report .............................................................................................. 4-73.4, 5-1.10
CEM-3673D, Curb Ramp (Case B) Americans with Disabilities Act (ADA) Compliance
Inspection Report ........................................................................................................... 5-1.10
CEM-3673E, Curb Ramp (Case C) Americans with Disabilities Act (ADA) Compliance
Inspection Report ........................................................................................................... 5-1.10
CEM-3701, Test Result Summary...................................................................................................
4-39.15, 4-39.35, 4-92.5, 4-94.2, 5-1.10, 5-1.29, 6-1.4, 6-1.12
CEM-3702, Relative Compaction Summary ........................................................ 5-1.10, 5-1.29
CEM-3703, Caltrans Production Start-Up Evaluation .......................... 4-39.35, 5-1.11, 5-1.29

California Department of Transportation  Construction Manual  July 2017

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 Index
Forms (continued):
CEM-3736, Pavement Smoothness Inertial Profiler Submittal Record ......................................
4-36.4, 5-1.11, 5-1.29
CEM-3736AC, Asphalt Concrete Pavement Smoothness Corrections Information .................
4-36.4, 5-1.11, 5-1.29
CEM-3736C, Concrete Pavement Smoothness Corrections Information...................................
4-36.4, 5-1.11, 5-1.29
CEM-3801, Request for Assignment of Inspectors, Samplers, and Testers ...... 5-1.11, 5-1.31
CEM-3802, Quality Control Inspector Affidavit of Proficiency ......................... 5-1.11, 5-1.31
CEM-3803, Daily Summary of Quality Control Testing ..................................... 5-1.11, 5-1.31
CEM-3804, Hot Mix Asphalt Inspection and Testing Summary........................ 5-1.11, 5-1.31
CEM-4101, Materials Release Summary .............................................................. 5-1.11, 5-1.31
CEM-4102, Material Inspected and Released on Job....................................................................
4-20.14, 5-1.12, 5-1.31, 5-1.32, 6-2.7, 6-2.35, 6-3.2
CEM-4202, Material Plant Safety Checklist ......................................................... 5-1.12, 5-1.32
CEM-4204, California Test 109 Sticker........................................... 3-9.3, 3-9.4, 4-90.6, 5-1.12
CEM-4401, Solid Waste Disposal and Recycling Report ...................... 5-1.12, 5-1.32, 7-1.37
CEM-4501, Resident Engineer’s Daily Report/Assistant Resident Engineer’s
Daily Report ................................................................................ 2-1.5, 5-0.6, 5-1.12, 5-1.32
CEM-4601, Assistant Resident Engineer’s Daily Report .............................................................
2-1.3, 3-5.22, 4-39.18, 4-39.25, 4-39.26, 4-39.32, 5-0.6, 5-0.7, 5-1.12, 5-1.32, 5-1.33
CEM-4701, Drainage System Summary ............................................................... 5-1.12, 5-1.33
CEM-4801, Quantity Calculations.......................................................................... 3-9.18, 5-1.12
CEM-4900, Change Order.................................................... 5-1.12, 5-1.13, 5-1.35, 5-3.1, 5-3.2
CEM-4901, Change Order Input................................................... 5-1.13, 5-1.35, 5-1.55, 5-3.13
CEM-4902, Extra Work Bill (Short Form).................................. 5-1.13, 5-1.59, 5-1.61, 5-1.62
CEM-4902A, Extra Work Bill—Title Page ....................................................................... 5-1.13
CEM-4902B, Extra Work Bill—Labor Charges ............................................................... 5-1.13
CEM-4902C, Extra Work Bill—Equipment Charges....................................................... 5-1.13
CEM-4902D, Extra Work Bill—Material Charges .............................................. 5-1.13, 5-1.61
CEM-4903, Change Order Memorandum......................................................................................
5-1.13, 5-1.35, 5-3.1, 5-3.12, 5-3.13, 5-3.24, 5-3.25
CEM-4904, Caltrans Authorization for Using Internet Extra Work Bill System........... 5-1.14
CEM-4905, Contractor Authorization for Using Internet Extra Work Bill System ...... 5-1.14
CEM-5101, Request for Payment for Materials on Hand.............................................................
3-9.21 thru 3-9.23, 5-0.5, 5-1.14, 5-1.35
CEM-5501, Partnering Facilitator Evaluation—Kick-Off................................... 5-1.14, 5-1.36
CEM-5502, Partnering Facilitator Evaluation—Close-Out................................. 5-1.14, 5-1.36
CEM-6003, Progress Pay—Estimate Project Initiation or Update ..............................................
3-8.2, 5-1.14, 5-1.36, 5-1.44, 5-1.45, 5-1.64, 5-1.73
CEM-6004, Contract Transactions Input ........................................................................................
3-9.18, 5-1.14, 5-1.34, 5-1.37, 5-1.45, 5-1.47, 5-1.49, 5-1.50, 5-1.52, 5-1.53
CEM-6101, Project Record—Estimate Request ............................................................................
3-6.5, 3-9.24 thru 3-9.26, 3-9.29, 5-1.14, 5-1.37, 5-1.44, 5-1.64 thru 5-1.67, 5-1.69, 5-1.72
CEM-6201, Notice of Potential............................................................................... 5-1.15, 5-1.37
CEM-6201A, Initial Notice of Potential Claim .................................................................. 5-1.15

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 Index

Forms (continued):
CEM-6201B, Supplemental Notice of Potential Claim .................................................... 5-1.15
CEM-6201C, Full and Final Documentation of Potential Claim ..................................... 5-1.15
CEM-6201D, Initial Potential Claim Record ................................ 3-5.29, 5-0.6, 5-1.15, 5-4.18
CEM-6201E, Supplemental Potential Claim Record ................... 3-5.30, 5-0.6, 5-1.15, 5-4.18
CEM-6201F, Full and Final Potential Claim Record ................... 3-5.31, 5-0.6, 5-1.15, 5-4.18
CEM-6202, Dispute Resolution Board Establishment Report ......................................... 5-1.15
CEM-6203, Dispute Review Board (DRB) Update Report ............................................. 5-1.15
CEM-6204, Dispute Resolution Board Dispute Meeting Report........................ 3-5.42, 5-1.15
CEM-6205, Dispute Review Board (DRB) Completion Report ..................................... 5-1.16
CEM-6206, Dispute Resolution Advisor—Establishment Report ..................... 3-5.39, 5-1.16
CEM-6207, Dispute Resolution Advisor—Dispute Meeting Report ................. 3-5.42, 5-1.16
CEM-6208, Dispute Resolution Ladder Establishment ....................................... 3-5.37, 5-1.16
CEM-6209, Elevation of a Dispute............................................................ 3-5.37, 5-1.16, 5-4.12
CEM-6301, Contract Acceptance ................................................. 3-5.43, 5-1.16, 5-1.37, 5-1.44
CEM-6302, Final Materials Certification ................................................. 5-1.16, 5-1.37, 6-1.13
CEM-6303, Final Acceptance Checklist for Federal-Aid Projects or Division Interest
(PODI) ................................................................................................................. 5-0.9, 5-1.16
CEM-9001, Construction Manual Proposed Change .................................. 1-0.2, 5-1.1, 5-1.16
OFG-1, Oversight Engineer’s Preconstruction Checklist ................................................. 5-1.17
OFG-2, Local Agency and Oversight Engineer Preconstruction
Conference Checklist .................................................................................................... 5-1.17
OFG-3, Oversight Engineer Contract Provisions Checklist.............................................. 5-1.17
OFG-4, Oversight Engineer’s Construction Contract Administration
Verification Checklist.................................................................................................... 5-1.17
OFG-5, Federal-Aid Projects................................................................................................ 5-1.17
OFG-6, Final Acceptance Checklist for Caltrans Oversight Projects ................... 5-1.17, 9-2.3

Materials Engineering and Testing Services Forms

MR-0518, Job Cement Samples Record ................................................................ 5-1.18, 6-2.32
TL-0015, Quality Assurance-Nonconformance Report .......................... 5-1.17, 5-1.31, 6-2.13
TL-0016, Quality Assurance-Nonconformance Resolution ................... 5-1.17, 5-1.31, 6-2.13
TL-0028, Notice of Materials to Be Inspected at the Jobsite ........................................................
4-86.2, 5-1.17, 5-1.28, 5-1.38, 5-1.40, 6-2.7, 6-2.10, 6-2.35, 6-3.1
TL-0029, Report of Inspection of Material .....................................................................................
3-6.4, 3-9.19, 3-9.21, 4-0.1, 4-55.1, 4-56.4, 4-57.1, 5-1.12,
5-1.18, 5-1.31, 5-1.32, 5-1.39, 5-1.41, 6-2.7, 6-2.10, 6-2.12 thru 6-2.14, 6-2.22, 6-2.35
TL-0038, Inspection Request .......................................................... 5-1.18, 6-2.8, 6-2.10, 6-2.11
TL-0101, Sample Identification Card ..............................................................................................
5-1.18, 6-1.1, 6-1.3, 6-1.4, 6-1.10, 6-1.30, 6-2.12, 6-2.31, 6-2.33, 6-2.44
TL-0502, Field Sample of Portland Cement Concrete Sample Card..... 5-1.18, 6-1.10, 6-1.11
TL-0608, Notice of Materials to Be Furnished ..............................................................................
5-1.18, 5-1.28, 5-1.38, 5-1.40, 6-2.7, 6-2.8, 6-2.10, 6-2.11, 6-2.35
TL-0649, Inspector’s Report of Material on Hand ............................................... 3-9.22, 5-1.18
TL-6013, Materials Suitability Documentation Report........................... 5-1.18, 5-1.31, 6-2.13
TL-6014, Materials Suitability Report.....5-1.18, 5-1.31, 5-1.32, 6-2.7, 6-2.10, 6-2.14, 6-2.35

California Department of Transportation  Construction Manual  July 2017

I-14 Index
 Index
TL-6037, Fabrication Progress Report ................................................................... 3-9.22, 5-1.18
Other State Forms
DPD-3013, Request for Construction Staking ...................................................... 5-1.19, 5-1.23
LA-17, Report of Chemical Spray Operations ................................................................... 5-1.19
Traffic Operations Forms
TR-0019, Notice of Change in Clearance or Bridge Weight Rating .................... 3-7.4, 5-1.19
TR-0020, Notice of Change in Vertical or Horizontal Clearance ......................... 3-7.4, 5-1.19
TR-0029, Notice of Change in Clearance or Bridge Weight Rating .................... 3-7.4, 5-1.19
Federal Forms
FHWA-1391, Federal-Aid Highway Construction Contractors Annual EEO Report .. 5-1.20
DOL SF-308, Request for Wage Determination and Response to Request ................... 5-1.20
Forms used for contract administration ..........................................................................................5-1.1
Funds/Funding ................ 5-2.1 thru 5-2.4, 5-3.25, 5-3.26, 5-4.14, 5-5.1, 5-5.3, 8-1.19, 9-1.2, 9-1.3

G
Garment, high-visibility standards...................................................................................................2-1.9
Geosynthetics..............................................................................4-26.3, 4-72.2, 4-96.1, 6-1.49, 6-2.26
G
Glass beads........................................................................................ 4-84.1 thru 4-84.5, 6-2.26, 6-2.34
Grading plane..... 3-5.19, 4-19.7, 4-25.1 thru 4-25.3, 4-26.1, 4-26.2, 4-26.4, 4-27.4, 4-29.3, 4-65.3
Grates, frames, and miscellaneous metal .... 4-37.7, 4-37.10, 4-71.2, 4-71.3, 4-75.1, 6-2.17, 6-2.25
Groove and grind pavement ............................................................................................. 4-36.1, 4-42.1
Guard railing, metal beam ............................................................................................................. 4-83.1
Guide posts.........................................................................................................................................6-1.9

H
Handrailing...................................................................................................................................... 4-83.5
Hazardous spills........................................................................................................ 2-3.2, 2-3.3, 7-1.38
H
Hazardous waste .................................................2-1.10, 4-19.1, 4-42.1, 5-1.26, 5-1.38, 5-1.77, 7-1.1
Hearing process for substitution ............................................................3-5.6, 3-5.7, 8-3.7 thru 8.3-10
Highway planting .......................................... 3-5.28, 4-20.1, 4-20.3, 4-20.9, 4-20.11, 4-21.1, 7-1.29
Hook details .................................................................................................................................... 4-52.1
Horizontal drains .................................................................................................. 4-19.6, 4-19.8, 4-68.1
Hot mix asphalt ..................................................................................................................................4-39
aggregate treatment ..................................................................................4-39.8, 4-39.18, 4-39.19
construction processes ........................................................................................................... 4-39.1
production .................................................................... 4-39.2, 4-39.6, 4-39.10, 4-39.20, 4-39.21
Hydraulic jacks .................................................................................................................... 4-87.5, 6-3.3
Hydroseeding ..................................................................................................................... 4-21.1, 4-21.2

I
Imported borrow............................... 3-6.2, 4-19.6, 4-19.10, 4-19.15, 4-19.17, 6-1.5, 7-1.10, 8-1.13
Increased and decreased quantities ................................................. 3-4.2, 3-8.12, 3-9.7, 3-9.14, 5-3.6
I
Incident notification, major construction .............................................................................2-3.2, 5-1.2

California Department of Transportation  Construction Manual  July 2017

Index I-15
 Index

Indemnification and insurance .........................................................................................................3-7.5

evidence of insurance ...............................................................................................................3-7.5
railroad protective insurance .........................................................................................3-7.6, 3-7.7
Independent Assurance Program...................................................................... 4-24.3, 4-39.2, 4-39.15
Inertial profiler .............4-36.2 thru 4-36.5, 4-39.31 thru 4-39.33, 4-39.41, 4-40.10, 4-42.1 , 4-42.3
Inspection, access .......................................................................................... 2-1.4, 3-5.1, 3-5.43, 6-2.8
Insurance ............................................................................................................................................3-7.5
International Roughness Index ..........................................................4-36.4, 4-36.5, 4-39.35, 4-39.41
Interviews, onsite .........................................................................................................5-1.8, 8-1.3, 8-2.1
Items
eliminated................................................................................................................................ 3-9.15
final pay......................................................................................................................................3-9.5

J J
Jacking
pavement ...................................................................................................... 4-41.1, 4-41.2, 4-41.4,
reinforced concrete pipe ........................................................................................................ 4-65.2
Job mix formula
acceptance ................................................................................................... 4-39.4, 4-39.7, 4-39.38
adjusted.................................................................................................................................... 4-39.6
renewal .................................................................................................................................... 4-39.6
review ...................................................................................................................................... 4-39.3
submittal ..................................................................................................................... 4-39.2, 4-39.3
verification ...................................................................................................... 3-6.5, 4-39.4, 4-39.5
Joint filler, expansion .............................................................................. 4-51.3, 6-1.49, 6-2.26, 6-2.31
Joint sealing compounds................................................................................................................ 6-2.31
Joint, square........................................................................................................................................2-2.7

L L
Labor code.....................................................................................2-1.6, 2-1.7, 3-7.1, 8-1.1 thru 8-1.22
Labor compliance ......................................... 3-5.6 thru 3-5.8, 5-0.4, 5-1.66, 5-1.76, 8-1.1 thru 8-.22
Labor surcharge ........................................................................................... 3-9.8, 3-9.9, 5-1.60, 5-1.61
Lane closures ......................... 2-2.1, 2-2.11, 2-2.17, 4-12.5, 4-12.11, 4-41.2, 4-42.1, 4-81.1, 5-1.27
Laws, regulations, and specifications ..............................................................................................8-2.1
Laws to be observed..........................................................................................................................3-7.1
Lean concrete base ......................................................................................................................... 4-28.1
Legal relations and responsibility ....................................................................................................3-7.1
Licenses, contractor........................................................................................................... 3-5.10, 7-1.19
Lime stabilization .............................................................................................................. 4-24.1, 4-94.1
Lines and grades ................................................................................................. 3-5.21, 4-19.12, 4-73.3
Liquid antistrip treatment ................................................................................4-39.8, 4-39.10, 4-39.20
Liquid asphalts .............................................................................................................................. 4-39.41
Liquidated damages ......................................................3-5.29, 3-8.11, 3-8.12, 3-8.15, 3-8.16, 3-8.26
Load limits....................................................................................................................................... 3-5.24

California Department of Transportation  Construction Manual  July 2017

I-16 Index
 Index
Local
funding ................................................................................................... 5-2.3, 5-2.4, 5-3.25, 9-1.1
roads......................................................................................................................................... 5-1.81
Local borrow............................................................................................ 3-6.3, 4-19.10, 4-19.14, 7-1.9
Local material ......................................................................................................... 3-5.10, 3-5.16, 3-6.2
Log of test borings..................................................................................................................3-4.3, 3-4.4

M
Maintenance and protection .......................................................................................................... 3-5.23
Maintenance and responsibility, relief from........................................................ 3-5.26, 3-5.43, 3-8.3
M
Management review committee ........................................................................................ 3-4.4, 3-5.30
Manholes ...................................................................................4-37.7, 4-37.10, 4-70.2, 4-71.2, 4-71.3
Manual on Uniform Traffic Control Devices (see California)
Manufactured materials, acceptance of...........................................................................................6-2.1
Map, climate ................................................................................................................................... 4-92.1
Marination of lime treated aggregate ............................................................ 4-39.8, 4-39.10, 4-39-18
Markers
delineators, delineation .......................... 2-2.3 thru 2-2.7, 2-2.9, 4-10.1, 4-12.1, 4-12.2, 4-12.6,
4-12.15, 4-12.16, 4-39.13, 4-39.33, 4-81.1 thru 4-81.4, 4-82.1, 4-83.2, 4-84.1, 4-87.2
pavement ...................... 4-10.1, 4-10.2, 4-12.6, 4-12.15, 4-20.14, 4-41.3, 4-81 , 4-84.3, 4-95.1
Material plants ..................................................................................................................... 6-3.6, 8-1.13
Material transfer vehicle .................................................................. 3-5.25, 4-39.12, 4-39.26, 4-39.27
Mean roughness index ........................................................................4-36.4, 4-36.5, 4-39.32, 4-39.35
Median barriers .................................................................................................................... 2-2.6, 4-83.4
Mesh reinforcing, wire................................................................................................................... 6-2.18
Metal beam guard railing.................................................................................................. 4-69.1, 4-83.1
Metal railing ................................................................................................................ 4-83.2 thru 4-83.4
Methods of payment .........................................................................................................................5-3.5
Micro-surfacing, seal coats..............................................................................4-37.1, 4-37.13, 4-37.15
Mineral aggregate, voids in ............................................................................................ 4-39.29, 6-1.34
Minor B contracts .................................................................. 3-2.1, 5-1.44, 5-4.1, 5-4.11, 5-5.1, 5-5.4
Minor B claims ............................................................................................................................... 5-4.12
Minor B limits, emergency contracts in excess of ................................................ 5-1.44, 5-5.1, 5-5.4
Minor concrete.................................................................................................... 4-61.2, 4-90.1, 4-90.12
Minor structures.............................................................................................................................. 4-51.2
Miscellaneous
iron and steel ........................................................................................................................... 4-75.1
metal ........................................................................................................................................ 4-75.1
Miscellaneous drainage facilities .................................................................................................. 4-70.1
Mix design.............................................................4-28.1, 4-30.1, 4-40.1, 4-90.1 thru 4-90.16, 4-92.1
Mobilization ......................................................................................................................... 2-2.13, 5-5.2
Monuments ........................................................................................................................ 4-78.1, 5-1.80

California Department of Transportation  Construction Manual  July 2017

Index I-17
 Index

N N
Negative estimates.......................................................................................................................... 3-9.26
Night work ............................................................................. 1-2.3, 2-1.9, 2-2.8, 4-12.2, 7-1.19, 9-1.2
Noise control ................................................................................................................................... 7-1.18
Non-highway facilities, utility....................................................................................................... 3-5.21
Nonreinforced concrete pipe ......................................................................................................... 4-65.1
Notices, stop .................................................................................................................................... 3-9.25
Nuclear gauges ....................................................................................................... 1-4.2, 4-39.14, 6-3.5

O O
Obliterating roads and detours .................................................... 2-2.7, 4-10.1, 4-15.1, 4-22.1, 4-78.3
Office Engineer, Division of Engineering Services ................................................3-2.1, 3-2.2, 3-3.1
Operation (activity), controlling................. 3-5.33, 3-8.1, 3-8.4, 3-8.5, 4-20.8, 5-0.6, 5-3.13, 5-4.14
Order of work....................................................................... 3-5.3, 3-8.3, 3-8.7, 4-19.2, 4-21.1, 5-3.30
Overhead claims .................................................................................................................. 5-4.3, 5-4.14
Overhead costs, adjustment of ......................................................................................... 3-9.17, 3-9.31
Overhead sign structures ............................................................................ 3-9.22, 4-56.1, 6-2.3, 6-2.5
Overside drains ............................................................................................................................... 4-69.1
Oversight ................................................................... 2-2.3, 3-5.40, 4-60.2, 5-0.9, 5-3.22, 6-1.9, 9-2.1
Owner-operated equipment................................................ 3-9.8, 3.9-9, 8-1.3, 8-1.10, 8-1.11, 8-1.12
Owner-operators ..................................................... 3-5.18, 8-1.2, 8-1.4, 8-1.5, 8-1.10, 8-1.11, 8-1.14

P P
Paint ................................................................................................................................. 4-12.8, 4-12.15,
4-59.1, 4-78.2, 4-84.1 thru 4-84.5, 4-91, 6-2.19, 6-2.33, 7-1.12, 7-1.24, 7-1.32 thru 7-134
Painting ........................................................... 4-12.5, 4-12.14, 4-56.4, 4-57.1, 4-59.1, 4-91.1, 6-2.33
Palliative, dust .................................................................................................................... 4-18.1, 7-1.11
Parking, accessible ............................................................................................................ 2-2.20, 2-2.21
Partial payments ................................................................................................................................3-9.1
Partnering .................................................................................................................. 3-5.2, 3-5.36, 5-4.3
Pavement
hot mix asphalt ..................................3-6.5, 4-28.3, 4-29.1, 4-37.2, 4-39.1 thru 4-39.43, 4-92.1
joints, contact .......................................................................................................................... 4-40.7
joints, longitudinal............................. 4-28.2, 4-39.10, 4-39.27, 4-39.31, 4-40.8, 4-40.9, 4-41.7
joints, square ..............................................................................................................................2-2.7
joints, transverse ........3-7.3, 4-39.11, 4-39.27, 4-39.33, 4-40.7, 4-40.9, 4-41.1, 4-41.6, 4-41.7
grind .....................................4-36.1, 4-39.11, 4-39.27, 4-39.31, 4-40.11, 4-41.1, 4-42.1, 7-1.19
groove ............................................................................................... 4-36.1, 4-40.8, 4-41.8, 4-42.1
jacking .............................................................................................. 4-41.1, 4-48.1, 4-50.2, 4-65.2
portland cement concrete ..........................2-2.21, 3-9.19, 4-41.4, 4-72.3, 4-83.6, 4-90.1, 6-3.4
rubberized hot mix asphalt .......................................................................... 4-39.1, 4-92.1, 7-1.36
slip-form .................................................................................................................................. 4-40.4
smoothness......................................................4-36.1 thru 4-36.6, 4-39.1, 4-40.1, 4-42.1, 6-1.37
subsealing................................................................................................................................ 4-41.1

California Department of Transportation  Construction Manual  July 2017

I-18 Index
 Index
Pavement (continued):
thickness deficiency ....................................................................................... 4-40.13 thru 4-40.18
tie bars ........................................................................................................................ 4-40.2, 4-40.3
warm mix asphalt ...................................................................................................... 4-39.1, 6-2.21
Pavement markers ................................................................. 4-10.1, 4-12.6, 4-12.16, 4-20.16, 4-81.1
Pavement recesses ............................................................................................................. 4-81.2, 4-81.3
Pavement reinforcing fabric .......................................................................................................... 8-1.15
Pavement tapered edge ................................................................................................... 4-39.10, 4-40.2
Payment ..............................................................................................................................................3-9.1
adjustment .....................................................3-4.2, 3-9.1, 3-9.14, 4-39.37, 5-3.6, 5-3.26, 5-4.17
adjustment, delays ........................................................................................... 3-5.29, 3-8.7, 3-8.8
Payment (continued):
extra work ................................. 3-5.24, 3-9.5, 3-9.18, 3-9.8, 3-9.21, 5-1.43, 5-3.25-3.33, 8-1.5
final ................................................................................................................ 3-5.18, 3-9.27, 3-9.33
force account...................................................................................................................3-9.5, 3-9.8
interest ..................................................................................................................................... 3-9.21
offset ........................................................................................................................................ 3-9.34
price index fluctuations ............................................................................................ 3-9.16, 3-9.17
Payroll records ............................................................ 5-1.76, 8-1.3 thru 8-1.11, 8-1.15, 8-1.20, 8-3.4
Pedestrian facilities.......................................................................................... 2-2.4, 2-2.20 thru 2-2.23
Perforated pipe ................................................................................................................................ 4-68.1
Permeable base
asphalt treated ............................................................................................................ 4-29.2, 4-92.1
cement treated............................................................................................................ 4-29.2, 4-94.1
Permits .......................1-1.6, 2-1.3, 3-5.10, 3-5.44, 3-6.2, 3-7.4, 5-0.1, 7-1.1, 7-1.17, 7-1.19, 7-1.21
encroachment............................................................................ 2-2.13, 3-5.21, 3-8.3, 9-2.1, 9-2.2
environmental ..........................................................4-17.2, 4-42.2, 7-1.1, 7-1.17, 7-1.19, 7-1.21
home storage..............................................................................................................................1-4.3
list of potential permits ...................................................................................... 7-1.21 thru 7-1.22
Pervious backfill material ............................................................................................................ 4-19.12
Pesticides .................................................................................................. 4-20.1, 4-20.3, 4-20.6, 7-1.24
Piling ........................................................................................................... 3-9.21, 4-49.1, 6-2.6, 6-2.17
Pipe
alternative pipe and pipe arch culverts................................................................................. 4-62.1
corrugated metal ..................................................................................................................... 4-66.1
corrugated metal, aluminum ................................................................................................. 4-66.1
corrugated metal, steel ........................................................................................................... 4-66.1
joints, culvert and drainage ................................................................................................... 4-61.1
plastic........................................................................................................... 4-20.15, 4-61.2, 4-64.1
reinforced concrete...................................................................................................... 3-6.3, 4-65.1
structural metal plate .............................................................................................................. 4-67.1
Plans
intent of................................................................................................. 1-1.5, 3-4.1, 5-3.11, 5-3.20
work drawings ................................................................................... 3-5.18, 3-9.27, 4-50.1, 5-0.5
Plant establishment work........................................................................ 3-5.28, 3-9.24, 4-20.1, 4-20.9
Plant operations ..............................4-20.8, 4-39.7, 4-39.17, 4-39-18, 4-90.6, 4-90.8, 4-92.3, 8-1.13

California Department of Transportation  Construction Manual  July 2017

Index I-19
 Index

Plant stakes, highway planting...................................................................................................... 4-20.7

Plants
erosion control .................................................................................................... 4-20.1 thru 4-21.4
highway planting.............................................. 4-20.1, 4-20.9, 4-20.11, 4-20.16, 4-21.1, 7-1.29
irrigation ..................................................................................4-20.1, 4-20.6, 4-20.8 thru 4-20.12
watering......................................................................................................... 4-10.1, 4-20.8, 4-20.9
Plastic lumber structures ................................................................................................................ 4-57.1
Plastic pipe ........................................................................................................4-20.14, 4-20.15, 4-64.1
Pollution control
air ...................................................................................................... 4-84.1, 7-1.11, 7-1.27, 7-1.29
noise ......................................................................................................................................... 7-1.11
stormwater ................................................................................ 3-5.10, 7-1.12, 7-1.14 thru 7-1.18
water .....................................................3-8.3, 4-17.1, 4-19.2, 4-19.9, 4-20.5, 7-1.11 thru 7-1.19
Portable
changeable message signs ......................................................................... 4-12.3, 4-12.8, 4-12.13
delineators .........................................................................4-12.1, 4-12.2, 4-12.6, 4-12.17, 6-2.21
Portland cement concrete ......................................................................... 2-2.21, 4-72.3, 4-83.6, 6-3.4
Portland cement concrete pavement................................................................................ 3-9.19, 4-90.1
Potential claim, notice of ............................................................................ 3-5.35, 5-0.6, 5-3.45, 5-4.1
Potential claim records............................................................. 3-5.28 thru 3-5.32, 3-5.35 thru 3-5.37,
3-5.40, 5-1.15, 5-3.16, 5-4.1 thru 5-4.5, 5-4.11, 5-4.18, 5-4.20, 5-4.21, 5-4.23, 5-4.24
Precast raised traffic bars ............................................................................................................... 6-2.28
Preconstruction conference with the contractor ......................................................................................
2-2.2, 2-2.10, 2-2.13, 2-2.21, 3-5.22, 3-5.25, 3-5.36, 3-8.1, 5-0.3, 8-2.1, 8-3.4
Preliminary construction claim findings ..... 3-5.31, 5-4.3 thru 5-4.9, 5-4.12, 5-4.15, 5-4.18, 5-4.21
Preliminary tests .................................................................................................................. 5-1.28, 6-1.2
Preparing planting areas.................................................................................................... 4-20.6, 4-20.9
Prepaving conference...................................................................................................... 4-39.10, 4-92.2
Preservation, property and facility................................................................................................ 3-5.20
Preservative treatment of lumber, timber and piling ..................................................... 4-57.1, 4-82.2
Prestressing concrete ...................................................................................................................... 4-50.1
Prevailing wage .........................................3-9.8, 8-1.1, 8-1.5, 8-1.12 thru 8-1.17, 8-1.20 thru 8.1.22
Priority tests............................................................................................................... 5-0.5, 6-1.4, 6-1.13
Production start-up evaluation ...................................................... 4-39.13, 4-39.16, 4-39.20, 4-39.28
Progress
calculating ............................................................................................................................... 3-9.20
of work ................................................................................................... 3-5.3, 3-5.32, 3-8.1, 3-8.7
prosecution.................................................................................................................................3-8.1
schedule.....................................................................................................3-5.3, 3-8.1, 3-8.5, 5-0.4
withholds ................................................................................................................................ 3-9.23
Progress pay estimate project initiation or update ..................................................................................
3-8.2, 3-8.8, 3-9.18, 5-1.41, 5-1.44, 5-1.64, 5-1.65, 5-1.74
Project records ........................................................................................................ 3-5.18, 3-5.29, 5-1.1
categories, alphabetical list of ............................................................................................... 5-1.39
categories, numbers, and headings ....................................................................................... 5-1.38
Property preservation ........................................................................................................ 3-5.20, 4-17.1

California Department of Transportation  Construction Manual  July 2017

I-20 Index
 Index
Proposal requirements and conditions ............................................................................................3-2.1
Proposed final estimate ........................................................... 3-5.28, 3-9.2, 3-9.27 thru 3-9.34, 5-4.1
Prosecution and progress ..............................................................................................3-8.1 thru 3-8.11
Protests....................................................................................................................... 3-5.2, 3-5.28, 5-4.1
Pumping plant electrical equipment ............................................................................................. 4-74.1
Pumping plant equipment.............................................................................................................. 4-74.1
Public access to project records .................................................................................................... 5-1.75
Public convenience.................................................................................................................3-7.2, 3-8.7
Public interest finding .....................................................3-6.3, 4-19.10, 5-3.3, 5-3.20, 5-3.23, 5-3.24
Public relations ............................................................................................................... 1.2, 2-3.2, 5-5.5
Pull boxes ............................................................................. 4-20.13, 4-20.14, 4-20.16, 4-87.5, 6-2.25

Q
Quality assurance.................................................................. 1-2.2, 3-5.1, 3-6.5, 4-0.2, 4-21.4, 4-21.6,
4-39.2, 4-39.14, 4-39.15,4-39.34, 4-40.1, 4-83.5, 4-86.3, 4-90.4, 4-92.5, , 6-2.33, 9-2.1, 9-2.2
Q
Quality assurance program............................................................ 3-6.5, 4-39.34, 6-1.1, 6-2.1, 6-2.11
Quality control ..............................3-5.1, 3-6.5, 4-0.2, 5-0.4, 6-1.9, 6-2.2, 6-2.4, 6-2.12, 9-2.1, 9-2.2
Quality control quality assurance .........................................................................................3-6.5, 9-2.2

R
Railings (Type K), temporary .............................................. 4-12.2, 4-12.3, 4-12.8, 4-12.10, 4-12.18
Railings and barriers...................................................................................... 4-12.1, 4-83.1 thru 4-83.7
R
Records, project ........................ 1-1.3, 1-1.4, 3-5.18, 3-5.29, 5-0.6, 5-1, 5-3.31, 5-4.11, 8-1.2, 8-2.2
Reinforced concrete pipe ..................................................................................... 4-65.1, 6-2.13, 6-2.14
Reinforcement ......................................................................................... 4-52.1, 4-53.1, 4-58.2, 4-73.3
Reinforcing fabric........................................................................................................................... 8-1.15
Relative compaction...................................... 4-19.15, 4-25.3, 4-26.3, 4-30.2, 4-39.30, 4-87.6, 6-3.5
Relief from maintenance and protection..............3-52.3, 3-42.4, 3-5.26 thru 3-5.28, 3-5.43, 4-22.1
Remote control valves ..................................................................................................4-20.12, 4-20.13
Removal of rejected and unauthorized work........................................ 3-5.19, 3-4.25, 4-39.5, 4-92.5
Removal, bridge ................................................................................................................ 4-60.2, 4-60.3
Rental
dump truck .............................................................................................................................. 3-9.13
equipment...................................... 3-9.10, 3-9.12, 3-9.25, 5-0.7, 5-1.61, 8-1.11, 8-1.12, 8-1.14
Requests for information (RFI).......................................... 3-4.4, 3-5.2, 3-5.28, 3-5.29, 3-9.25, 5-4.2
Responsibility for damage ........................................................................ 3-5.25, 3-5.26, 3-5.27, 3-8.3
Retaining walls, concrete............................................................................................................... 4-51.1
Retentions .............................................................................................................. 5-1.46, 5-1.67, 5-1.68
Retroreflective pavement markers...................................................................... 4-81.1, 4-81.3, 4-84.3
Right-of-way delays .......................................................................................................... 3-5.22, 5-1.63
Roadside signs ...................................................................................................................... 4-82, 7-1.34
Roadway excavation ......................................... 2-2.13, 4-19.1, 4-19.7, 4-19.9, 4-19.15 thru 4-19.17
Rock slope protection ................................................................................................ 4-72.1 thru 4-72.5
Rock slope protection fabric ............................................................................................ 4-72.3, 4-96.1
Root protectors, highway planting................................................................................................ 4-20.2
Rumble strips ......................................................................... 4-39.33, 4-40.11, 4-84.1, 4-84.3, 4-84.5

California Department of Transportation  Construction Manual  July 2017

Index I-21
 Index

S S
Safety
blasting ................................................................................................................ 4-19.2 thru 4-19.4
Code of Safe Practices.......................................................................................................................
2-1.1, 2-1.9, 2-1.10, 2-2.9, 4-12.1, 4-49.1, 4-50.1, 5-0.4, 5-5.3, 7-1.29
excavation ...................................................................................................3-7.1 thru 3-7.3, 4-19.2
falsework ......................................................................................................... 2-2.5, 2-2.10, 4-16.2
funnel ..........................................................................................................................................3-7.2
Safety and health standards .................................................................... 2-1.1 thru 2.1.10, 3-5.1, 3-7.1
Safety data sheet ............................... 2-1.3, 4-37.24, 4-39.3, 4-39.26, 4-84.1, 4-94.2, 6-2.26, 7-1.24
Sample .........................3-5.1, 3-5.18, 3-6.5, 3-6.6, 4-12.2, 4-20.2, 4-21.4, 4-21.5, 6-1.1 thru 6-1.51
Sampling and testing .............................. 3-5.1, 3-6.5, 4-0.1, 4-0.2, 4-21.4, 4-21.5, 6-1.1 thru 6-1.51
Scale sheets ........................................................................................................................................3-9.4
Scales .............................................................................................3-9.3 thru 3-9.5, 6-3.2, 6-3.6, 8-1.13
Scales and balances ...........................................................................................................................6-3.2
Scope of work ...............................................................................3-4.1 thru 3-4.8, 4-73.5, 5-2.2, 5-5.3
Screens and sieves .............................................................................................................................6-3.3
Seal coats .........................................3-5.28, 4-12.16, 4-37.1, 4-39-33, 4-81.3, 4-84.3, 4-94.1, 7-1.36
Seed.................................................................................................................................................. 4-21.2
Seed sampling ................................................................................................................................. 4-21.4
Semifinal estimate ................................................................................................ 3-9.27, 3-9.30, 3-9.33
Shop details .......................................................................................................................... 4-56.2, 6-2.3
Shoring.......................................................................................................... 2-1.3, 3-5.18, 3-7.1, 4-19.2
Shortage of materials............................................................................................ 3-8.8, 3-8.10, 4-19.10
Shotcrete ......................................................................................................... 4-52.2, 4-53.1 thru 4-53.3
Shoulder backing ....................................... 4-19.1, 4-19.6, 4-19.14, 4-19.15, 4-19.18, 7-1.19, 7-1.29
Sidehill embankment ..................................................................................................................... 4-19.5
Sidewalks ................................................................2-2.20, 2-2.21, 2-2.22, 4-73.1 thru 4-73.5, 5-1.80
Sieve analysis ..........................................................................................................................6-3.3, 6-3.4
Signs........................................................................................................................................1-4.2, 2-2.2,
2-2.3, 2-2.9, 2-2.9, 2-2.10, 3-7.3, 4-12.2 thru 4-12.13, 4-12.16, 4-19.4, 4-20.10, 5-2.1, 7-3.4
pickup/removal.................................................................................. 3-4.8, 4-12.4, 4-12.8, 4-22.1
placement .......................................................... 2-2.3, 2-2.5, 2-2.8, 3-5.24, 3-8.2, 4-10.1, 4-12.1
portable changeable message signs ....... 2-2.5, 2-2.9, 2-2.13, 4-12.3, 4-12.4, 4-12.10, 4-12.16
sign structures ..............................................................................3-9.22, 4.56.1 thru 4-56.5, 6-2.6
temporary ........... 2-1.10, 2-2.4 thru 2-2.6, 2-2.8, 2-2.22, 4-12.6, 4-12.9, 4-12.14 thru 4-12.16
Silos, hot mix asphalt ................................................................................................................... 4-39.25
Slides and slipouts ...................................................................................4-19-7, 4-19.8, 4-68.1, 5-3.21
Slope
embankment ......................................4-19.1, 4-19.3, 4-19.6 thru 4-19.9, 4-47.1, 4-60.2, 7-1.19
paving ...................................................................................................................................... 4-72.4
protection ............................................................................................... 4-21.2, 4-72.1 thru 4-72.5
rounding ................................................................................................................... 4-19.9, 4-19.16
Slotted pipe, edge drains ................................................................................................................ 4-68.2
Slurry seal ..................................................................................................... 4-37.1, 4-37.9 thru 4-37.13

California Department of Transportation  Construction Manual  July 2017

I-22 Index
 Index
SMARTS......................................................................................................................................... 7-1.13
Soil, basement ................................................................................................................................. 4-24.1
Solid waste disposal and recycling reporting .............................................................................. 7-1.37
Sound control requirements .......................................................................................................... 7-1.18
Sound walls ................................................................................................................. 4-58.1 thru 5-58.2
Source documents ..........................................3-9.2, 3-9.18, 3.9.19, 5-3.13, 8-1.2, 8-1.4, 8-1.9, 8-2.2
Speed zones........................................................................................................................................2-2.7
Stabilized soils ............................................................................................................ 4-24.1 thru 4-24.4
Stabilizing agents..................................................................................... 4-21.2, 4-21.4, 4-24.1, 4-94.1
Stakes and marks ............................................................................................................................ 3-5.18
State Contract Act .......................................................................................................1-1.5, 1-1.6, 3-6.2
State right of way, contractor’s use ....................................................... 3-5.20, 3-5.21, 4-22.1, 7-1.11
Stop notices ..................................................................................................................................... 3-9.25
Storm Water Multiple Application and Report Tracking System (SMARTS)....................... 7-1.13
Straw, erosion control .................................................................................................................... 4-21.2
Striping ..............................................................................2-2.10, 4-42.1, 4-84.1, 4-84, 6-2.33, 6-2.34
Structural metal plate pipe, arches and pipe arches .................................................................... 4-67.1
Structural steel............................................................................... 4-55.1, 4-67.1, 4-78.1, 6-2.3, 6-2.11
Structure backfill ..............................................................................................4-19.11, 4-19.12, 4-65.3
Structure excavation......................................................................................................4-19.11, 4-19.17
Structure excavation and backfill ...................................................................4-19.4, 4-19.11, 4-19.17
Structures-related work.....................................................................................................................4-0.3
Subbases, aggregate ................................................................................................... 4-25.1 thru 4-25.4
Subcontracting ........................................................................................2-1.1, 2-1.9, 3-5.4 thru 3-5.10,
3-7.1, 3-7.7, 3-9.13, 5-1.76, 8-1.3 thru 8-1.5, 8-1.12 thru 8-1.15, 8-1.18, 8-1.21, 8-3.3
Subgrade enhancement geosynthetic ................................................4-19.1, 4-19.6, 4-19.14, 4-19.18
Submittals........................................................................................................................................ 3-5.18
Subsealing, pavement .................................................................................................................... 4-41.1
Subsistence and travel allowance .........................................................................................3-9.9, 8-1.6
Substitution process.................................................................................................. 3-5.5, 8-3.4, 8-3.10
Substitution request-UDBE/DBE/DVBE ........................................................................ 8-3.7, 8-3.10
Subsurface drains........................................................................................... 4-19.8, 4-68.1 thru 4-68.6
Superintendence ................................................................................................................................5-0.4
Surcharge, labor .............................................................................. 3-9.8, 3-9.9, 5-1.60, 5-1.61, 5-1.74
Surety .............................................................................................................................................. 3-8.12
work completed ...................................................................................................................... 3-8.14
work not completed ............................................................................................................... 3-8.15
Surface Mining and Reclamation Act of 1975 (SMARA) .................................. 3-6.2, 5-5.5, 7-1.10
Survey monuments......................................................................................................................... 4-78.1
Suspension of work, temporary .................................. 2-1.5, 2-2.2, 3-7.6, 3-8.6, 3-8.7, 3-8.16, 7-1.3

T
Tack coat ..............................................................................................4-39.12, 4-39.26, 4-92.1, 4-94.1
Tapered edge .................................................................................................................... 4-39.10, 4-40.2
T
Tapered notch wedge ................................................................................................................... 4-39.10
Temporary fence..................................................................................................... 4-16.1, 4-80.1, 7-1.6

California Department of Transportation  Construction Manual  July 2017

Index I-23
 Index

Temporary pedestrian facilities.............................2-2.21 thru 2-2.23, 3-7.3, 4-12.11, 4-16.1, 4-16.2

Temporary railing (Type K)............................................................................................. 4-12.2, 4-12.8
Temporary suspension of work ......................................................................2-1.5, 2-2.2, 3-8.6, 3-8.7
Termination of contract .................................................................................................... 3-8.17, 3-8.26
Termination of control ............................................................................................... 3-8.12 thru 3-8.14
Test borings, log of.................................................................................................................3-4.3, 3-4.4
Test/testing ..................................................................................................................................................
1-0.1, 1-1.6, 1-1.7, 3-5.1, 3-5.19, 3-6, 3-9, 4-0, 6-1, 6-2, 6-3.1 thru 6-.36, 7-1.31, 7-1.33
Test cylinders ....................................................................................................................... 4-90.1, 6-3.5
Thermal expansion, coefficient of ................................................................................... 4-40.3, 4-40.7
Thermoplastic traffic stripes and pavement markings ........................................... 4-84.1 thru 4-84.5
Thrie beam barrier .......................................................................................................................... 4-83.2
Time adjustment ........................ 3-5.22, 3-5.33, 3-8.5, 3-8.8, 3-8.17, 3-8.20, 3-9.17, 5-3.10, 5-3.13
Time-related overhead ......................................................................................... 3-9.17, 5-1.44, 5-4.14
Time of completion .......................................................................... 3-4.2, 3-5.23, 5-3.3, 5-3.4, 5-3.10
Title VI and Title VII ................................................................................7-1.6, 8-1.4, 8-2.1 thru 8-2.3
Traffic cones .............................................................................4-12.1, 4-12.2, 4-12.6, 4-12.7, 4-12.10
Traffic control ..........................................................................................2-1.3, 2-2.1, 3-8.5, 4-12, 4-81
Traffic control devices, construction area .........2-2.1, 2-2.21, 4-12.1, 4-12.6, 4-12.17, 4-81, 4-82.2
Training ..............................................1-1.5, 1-3.1, 1-3, 1-5.1, 2-1.1, 2-23, 3-5.8, 4-12.5, 7-1, 8-1.17
Training, just-in-time .......................................................................................................... 1-3.3, 4-40.2
Training special provision ................................................................................................................8-2.3
Transportation management center ........................................2-2.9, 2-2.12, 4-12.4, 4-12.12, 4-12.13
Transportation management plans................................................................................................ 2-2.11
Treated permeable bases............................................................................... 4-29.1 thru 4-29.3, 4-40.4
Trenches ...................................................................... 3-7.3, 4-19.6, 4-19.8, 4-20.14, 4-20.16, 4-61.2
Truck rental, dump ......................................................................................................................... 3-9.13
Tunnel Safety .....................................................................................................................................3-7.2

U U
Underdrains ................................................................................................................. 4-68.1 thru 4-68.3
Underutilized disadvantaged business enterprise (UDBE) ...............................................8-3.2, 8-3.7
Unsuitable material, earthwork ........................................................................... 4-19.1, 4-19.7, 5-3.21
Use of materials found on the job site .............................................................................................3-4.1
Use of pesticides ................................................................................................... 4-20.3, 4-20.6, 7-1.22
Utility and nonhighway facilities.................................................................................................. 3-5.21
Utility relocation ........................................................................... 3-5.21, 3-5.22, 3-8.3, 4-19.2, 4-86.6

V V
Value engineering .............................................................................................................................3-4.5
Vehicle code......................................................................................................................... 3-5.24, 3-7.1
Violation hearing ...................................................................... 2-1.6, 3-5.6, 3-5.7, 8-3.7 8-3.8, 8-3.10

California Department of Transportation  Construction Manual  July 2017

I-24 Index
 Index

W
Wage, prevailing........................................3-9.8, 8-1.1, 8-1.5, 8-1.12 thru 8-1.17, 8-1.20 thru 8.1.22
Water................................................................. 3-5.27, 4-10.1, 4-18.1, 4-19.5, 4-20.8, 4-20.13, 7-1.4
W
Water pollution control .................................................4-17.1, 4-21.1, 7-1.11, 7-1.12, 7-1.18, 7-1.19
Water pollution control plan .................................................................... 4-19.2, 4-19.9, 5-0.4, 7-1.15
Water stops, concrete structures.................................................................................................... 4-51.4
Water supply ................................................................................................................................... 4-51.4
Waterproofing................................................................................................................................. 4-54.1
Waterproofing, asphalt membrane ............................................................................................... 4-54.1
Weekly Statement of Working Days ...................................................... 3-5.29, 3-5.34, 3-8.4, 3-8.11
Weep holes
concrete slope protection....................................................................................................... 4-72.4
concrete structures.................................................................................................................. 4-51.4
Weigh sheets ................................................................................................................................... 4-21.3
Weighmaster certificate ........................................................................................... 3-5.25, 3-9.3, 3-9.4
Weights and measures .................................................................................................... 3-9.2 thru 3.9.5
Weights and measures coordinator.................................................................3-9.3, 6-1.1, 6-2.6, 6-3.6
Weight limitations ............................................................................................................... 3-5.24, 5-0.5
Welded steel pipe ........................................................................................................................... 4-70.1
Wheelchair ramps
curb ramps, concrete ............................................................................. 4-73.1 thru 4-73.5, 4-87.5
Wire mesh, fences ............................................................................................................. 4-80.1, 4-80.2
Wiring ................................................................................................................4-20.13, 4-20.16, 4-86.3
Wood structures .......................................................................................................... 4-57.1 thru 4-57.2
Working drawings ..................................................................................... 3-5.18, 3-9.27, 4-50.1, 5-0.5

Z
Zero balance ....................................................................................................................... 3-8.16, 3-9.33
Zero tolerance .................................................................................................................... 3-5.9, 4-39.25
Z

California Department of Transportation  Construction Manual  July 2017

Index I-25